U.S. DEPARTMENT OF EDUCATION

Office of Postsecondary Education 

Washington, DC 20006-8510

Fiscal Year 2015

APPLICATION FOR GRANTS 

UNDER THE

STRENGTHENING INSTITUTIONS

PROGRAM

CFDA # 84.031A 

Form Approved

OMB No. 1840 - 0114, Expiration Date: XX/XX/2018

CLOSING DATE: XX X, 2015
i

Table of Contents

Dear Applicant Letter....................................................................................................... 1

Competition Highlights .................................................................................................... 3

Grants.gov Submission Procedures and Tips for Applicants........................................... 6

Application Transmittal Instructions............................................................................... 10

Notice Inviting Applications ........................................................................................... 12

Program Statute ............................................................................................................ 50

Intergovernmental Review of Federal Programs ........................................................... 63

General Education Provisions Act (GEPA) Section 427................................................ 64

Government Performance and Results Act (GPRA) ..................................................... 65

Instructions for Completing the Application ................................................................... 67

Project Narrative Instructions ........................................................................................ 69

Instructions for Standard Forms .................................................................................... 79

Supplemental Information and Instructions ................................................................... 89

84.031A Strengthening Institutions Program Profile...................................................... 90

Application Checklist ..................................................................................................... 92

Paperwork Burden Statement ....................................................................................... 93
1

Dear Applicant Letter

Draft letter below.

Thank you for your interest in applying for a new grant under the fiscal year (FY) 2015 Title III 

Part A, Strengthening Institutions Program (SIP) grant competition (Catalog of Federal Domestic 

Assistance [CFDA] numbers 84.031A & 84.031F). The FY 2015 competition will not fund 

applications under CFDA 84.031F. This letter highlights specific elements in the SIP 

competition application booklet. As you formulate your application, please review these 

requirements and carefully and thoroughly review the entire application booklet.

In order to receive a grant under the Title III, Part A program, an institution of higher education 

(IHE) must have applied for a “determination of eligibility” and must have been deemed an 

“eligible institution.” The Notice Inviting Applications (NIA) for the Designation as an Eligible 

Institution was published in the Federal Register on November 3, 2014. 

For FY 2015, the Title III, Part A, SIP program will fund both Individual Development Grants 

and Cooperative Arrangement Development Grants. Cooperative Arrangement Development 

Grants are where an eligible institution and one or more additional institutions combine the 

resources of all participating institutions to carry out allowable grant activities, while avoiding 

costly duplication of effort. The institution that submits the grant application is the lead 

institution and the fiscal agent for that partnership. The lead institution must be an eligible 

institution.

The FY 2015 Title III, Part A, SIP program, CFDA 84.031A, includes a competitive preference

priority. This priority affords applicants the possibility of adding three (3) additional points to an 

application’s total score. This priority is: Supporting Strategies for which there is Moderate 

Evidence of Effectiveness. Only projects that are supported by moderate evidence (as defined in 

the Federal Register NIA for New Awards for the FY 2015 SIP) will receive additional points.

Applicants demonstrating that one of their proposed process, product, strategy, or practice is 

based on research that meets the moderate evidence of effectiveness standard will receive the 

three points. Applicants seeking to address this competitive preference priority should identify a 

minimum of one study to a maximum of two studies that support their proposed project and 

meet, individually or together, the definition of moderate evidence of effectiveness. Applicants 

who do not address the competitive preference or who fail to demonstrate moderate evidence in 

the submitted studies will not receive any additional points. No partial points will be awarded.

Following a peer review by three non-Federal reviewers, the Institute of Education Sciences 

(IES) and the What Works Clearinghouse (WWC) will determine whether the submitted 

evidence meets the moderate evidence standards. Institutions are not required to address the 

competitive preference priority. For additional information about the competitive preference

priority, please refer to the Federal Register NIA for New Awards for the FY 2015 SIP. The 

NIA is included in this application booklet.

Applications for the FY 2015, Title III, Part A, SIP awards must be submitted electronically

using Grants.gov at: http://www.grants.gov. An applicant who is unable to submit using 
2

Grants.gov must submit a written request to waive the electronic submission requirement at least 

two weeks before the deadline date. In order to submit a paper application, an applicant must 

have received approval for a non-electronic submission. Additional information about 

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

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

application booklet. 

Do not rely upon any information that is inconsistent with the guidance contained within this 

application package and the NIA. The NIA for the FY 2015 Title III, Part A, SIP is the official 

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

contained within the official document. I urge you to carefully read all the information contained 

in this application booklet.

If you have any questions or require additional information, please contact Nalini Lamba-Nieves

at nalini.lamba-nieves@ed.gov or Pearson Owens at pearson.owens@ed.gov.

For an overview of significant competition elements, we encourage applicants to review the 

application booklet “Competition Highlights” section.

We appreciate your interest in the Strengthening Institutions Program and look forward to 

receiving your application.

Sincerely,

Leonard L. Haynes, III, Ph.D.

Senior Director

 for Institutional Service
3

Competition Highlights

Grants.gov:

1. Strengthening Institutions Program (SIP) grant applications for FY 2015 must be submitted 

electronically through Grants.gov at: http://www.grants.gov.

2. Please note that the Grants.gov site is different from the Department’s e-Application system 

used in past competitions. Once you download the application package from Grants.gov, you 

will be working offline and saving data on your computer. Be sure to note where you are 

saving the Grants.gov file on your computer. You will need to log on to Grants.gov to 

upload and submit your application. 

3. We urge you to consider the following three important administrative factors when applying 

for this grant program:

1. Register at the Grants.gov website early. The registration procedures may require 

five (5) or more days to complete.

2. Consider submitting your application 2-3 days prior to the closing date. The time it 

takes to upload an application will vary depending on your application and the speed 

of your Internet connection. The application submission process must be complete 

prior to the deadline for transmittal of applications.

3. Remember to provide the DUNS number that was used when your organization 

registered with the System for Award Management (SAM), formerly the Central 

Contractor Registry (CCR).

4. Grants.gov does not allow applicants to “un-submit” or delete 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. If the Department 

receives duplicate applications, we will accept and process the application with the latest 

“date/time received” validation.

5. 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.

Eligibility: 

6. All grant applicants for SIP must have applied for and received FY 2015 Designation of 

Eligibility. Applicants failing to apply for eligibility will not have their application entered 

in the review process. The deadline for applying for basic eligibility was December 22, 

2014.
4

7. Your institution's application for a FY 2015 Title III, SIP grant MUST be in the same name 

provided in the FY 2015 Designation of Eligibility application, or it will be deemed not 

eligible to be read. 

Allowable Activities & Program Regulations: 

8. Authorized grant activities for the SIP are listed in Title III, Part A, Section 311 of the Higher 

Education Act, as amended (HEA); however, Section 301 of the Higher Education 

Opportunity Act of 2008 (HEOA) modified the authorized grant activities for SIP. Please 

review these modifications prior to preparing your SIP application.

9. Applicants should also review the program regulations (34 CFR 607.10 and 607.30) for 

guidance on which activities and costs are allowable. For example, you may not use your 

grant funds to:

 Recruit students;

 Provide scholarships for students;

 Carry out activities that are operational rather than developmental;

 Carry out student activities such as entertainment, cultural or social enrichment 

programs, student publications, social clubs or associations;

 Pay for organized fund raising and; 

 Cover indirect costs.

Page Limits: 

10. All applicants are required to adhere to the page limit for the Project Narrative portion of the 

application. Applications for Individual Development Grants have a 50-page limit and 

Cooperative Arrangement Development Grant applications have a 70-page limit. Applicants 

addressing the competitive preference priority have an additional five pages for a total of 55 

pages for Individual Development Grants and 75 pages for Cooperative Arrangement 

Development Grants. 

Competitive Preference Priority:

11. Applicants addressing the competitive preference priority -- Supporting Strategies for which 

there is Moderate Evidence of Effectiveness -- must provide information addressing this 

priority in a separate document, under Part III, Other Attachments in Grants.gov. The

document should be titled, “Competitive Preference Priority— Supporting Strategies for 

which there is Moderate Evidence of Effectiveness.” Applicants may use up to five pages to 

address the competitive preference priority. No portion of these five pages can be used as 

additional pages to respond to the selection criteria. 

12. Applicants addressing the competitive preference priority must provide a minimum of one to 

a maximum of two evidence studies for one strategy within the grant’s proposed activities. 

The evidence studies referenced must also be attached as a separate PDF titled Evidence 

Studies under Other Attachments, in Grants.gov, for the determination of moderate evidence. 
5

Submitted studies must meet the moderate evidence definition for an application to receive 

the three points.

13. If the evidence in one of the submitted activities is not deemed moderate, the institution will 

not receive the additional three points. 

14. Institutions should include in their Abstracts whether or not they are addressing the 

competitive preference priority. If addressing the priority, the Abstract should include the 

citation of studies referenced.

Cooperative Arrangement Development Grants: 

15. The lead institution in a Cooperative Arrangement Development Grant is the institution that 

submits the application on behalf of the cooperative partners and is the fiscal agent for the 

grant. The lead institution must be an eligible institution. Partner institutions do not need 

to be eligible institutions to participate in the cooperative arrangement. Applicants may

submit an Individual and a Cooperative Arrangement Development Grant application and be 

awarded both. 

16. The Department will make five-year awards for Individual and Cooperative Arrangement 

Development Grants in rank order from the funding slate according to the average score 

received from a panel of three readers. However, applications within funding range that 

addressed the competitive preference priority will have the evidence submitted in response to 

that priority reviewed by IES. Those applicants whose evidence is found to not meet the 

requirements of moderate evidence will not receive the additional three (3) points. 

17. For FY 2015, applicants can only receive funding for one Title III or Title V program.

Current SIP grantees may apply for and be awarded a Cooperative Arrangement 

Development Grant. 

Program Profile and Abstract: 

18. All applicants are required to submit a SIP Profile Form, which contains the tie-breaker 

information. Applicants are asked to carefully read question #4 on the Program Profile Form 

and, if applicable, to check the box or place an X next to the box certifying that they will 

comply with the statutory requirement and program assurances regarding endowments cited 

in the program regulations. 

19. All applicants must provide an abstract limited to one single-spaced page. The abstract must 

be uploaded as a PDF file only. Complete instructions for submitting the abstract are 

included in the Instructions for Completing the Application Package.

20. Information on SIP is accessible at the Department’s Web site at: 

http://www2.ed.gov/programs/iduestitle3a/index.html.
6

Grants.gov Submission Procedures and Tips for Applicants

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 – Browser Support

Grants.gov is a Custom Java Application that uses standard web-browsers as the client. Grants.gov leverages the 

latest web technologies such as Ajax which relies extensively on JavaScript, HTML, and CSS. Grants.gov 

recommends you use the most up-to-date web browser possible for the best User Experience. We strongly 

recommend ED Staff use Firefox or Chrome; we currently do not have the latest version of Microsoft IE here 

at Education. If you are unsure about which version of the browser you are using, please check the following 

places: 

 Microsoft IE – the About Internet Explorer setting under Help on your toolbar 

 Firefox – the About Firefox setting under Help on your toolbar 

 Chrome- the About Google Chrome setting under the Customize and Control Google Chrome option 

(located on the far right ) in your toolbar options for your browsers. 

The table below lists supported Web Browsers:

Web Browser Support Comments

Microsoft IE 9/10/11 Supported

Mozilla Firefox Supported

Versions change frequently; we recommend you have the 

latest version. Legacy versions are functional but may 

experience some issues. It is recommended to upgrade to the 

latest version.

Google Chrome Supported

Versions change frequently; we recommend you have the 

latest version. Legacy versions are functional but may 

experience some issues. It is recommended to upgrade to the 

latest version.

Apple Safari Supported

Versions change frequently; we recommend you have the 

latest version. Legacy versions are functional but may 

experience some issues. It is recommended to upgrade to the 

latest version.

For additional information of updates, please see the Grants.gov Browser Support Page. 

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

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.
7

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

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/grant-application-process/application-statuses.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/technical-support/troubleshooting/encounteringerror-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-us.html, or access the Grants.gov SelfService web portal at: https://grants-portal.psc.gov/Welcome.aspx?pt=Grants
8

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/support/general-support/faqs.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/technical-support/recommended-software.html. If

electronic submission is required and you are concerned about your ability to submit electronically as a nonwindows 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.)

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. 

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, 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. 
9

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.

2/2015
10

Application Transmittal Instructions

ATTENTION ELECTRONIC APPLICANTS: Please note that you must follow the 

Application Procedures as described in the Federal Register NIA announcing the grant 

competition. 

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

waiver instructions can be found in the Federal Register NIA. 

According to the instructions found in the Federal Register NIA, 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 84.031A)

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. 
11

(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.

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 84.031A)

550 12th Street, SW

Room 7039, Potomac Center Plaza

Washington, DC 20202-4260 

The Application Control Center accepts hand deliveries daily between 8:00 a.m. and 4:30:00 

p.m., Washington, DC time, except Saturdays, Sundays, and Federal holidays. 

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

application to the Department--

(1) You must indicate on the envelope and--if not provided by the Department--in Item 11 of the 

SF 424 the CFDA number, including suffix letter, if any, of the competition under which you 

are submitting your application; and

(2) The Application Control Center will mail to you a notification of receipt of your grant 

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

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

Control Center at (202) 245-6288.

Late Applications

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

Notice Inviting Applications

4000-01-U

DEPARTMENT OF EDUCATION

Applications for New Awards; Strengthening Institutions Program

AGENCY: Office of Postsecondary Education, Department of 

Education

ACTION: Notice.

Overview Information:

Strengthening Institutions Program 

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

2015.

Catalog of Federal Domestic Assistance (CFDA) Number: 84.031A.

Dates:

Applications Available: [INSERT DATE OF PUBLICATION IN THE 

FEDERAL REGISTER].

Deadline for Transmittal of Applications: [INSERT DATE 60 DAYS 

AFTER DATE OF PUBLICATION IN THE FEDERAL REGISTER].

Deadline for Intergovernmental Review: [INSERT DATE 120 DAYS 

AFTER DATE OF PUBLICATION IN THE FEDERAL REGISTER].

Full Text of Announcement

I. Funding Opportunity Description

Purpose of Program: The Strengthening Institutions Program 

(SIP) provides grants to eligible institutions of higher

education (IHEs) to help them become self-sufficient and expand 
13

their capacity to serve low-income students by providing funds 

to improve and strengthen the institution’s academic quality, 

institutional management, and fiscal stability. 

Priority: This notice contains one competitive preference 

priority. The competitive preference priority is from 34 CFR 

75.226.

Competitive Preference Priority: For FY 2015 and any subsequent 

year in which we make awards from the list of unfunded 

applicants from this competition, this priority is a competitive 

preference priority. Under 34 CFR 75.105(c)(2)(i), we award 

three additional points to an application that meets this 

priority.

This priority is:

Competitive Preference Priority —- Supporting Strategies 

for which there is Moderate Evidence of Effectiveness (3 

additional points).

 Projects that propose a process, product, strategy, or 

practice supported by moderate evidence of effectiveness (as 

defined in this notice).

Note: Applicants seeking to address this competitive preference 

priority should identify a minimum of one study to a maximum of 

two studies that support their proposed project and meet the 

definition of “moderate evidence of effectiveness.” Applicants 

should provide a citation and link for each supporting study on 
14

the one-page abstract submitted with the application. All cited 

studies must also be submitted with the application as a PDF.

To qualify as moderate evidence of effectiveness, among 

other things, a study’s evaluation design must meet What Works 

Clearinghouse (WWC) Evidence Standards (as defined in this 

notice). Both quasi-experimental design studies and randomized 

controlled trials (as defined in this notice) may meet WWC 

Evidence Standards. The WWC review protocol for individual 

studies in the postsecondary education topic area, which 

describes the specific types of outcomes, populations, and other 

criteria that will be used by the Department to determine 

whether a study meets WWC Evidence Standards, can be found at: 

http://ies.ed.gov/ncee/wwc/pdf/reference_resources/wwc_pe_protoc

ol_v3.0.pdf.

Applicants may cite to studies that (1) have already been 

determined by the Department to meet the WWC Evidence Standards 

(e.g., studies listed in the WWC-reviewed studies database or in 

the WWC database under the postsecondary topic area as having 

met WWC standards with or without reservations) or (2) have not 

yet been reviewed by the Department but that the applicant 

thinks will meet the WWC Evidence Standards. In the case of 

studies that have not yet been reviewed, the Department will 

review the studies to determine if they meet WWC Evidence 

Standards, in accordance with the procedures described under 
15

Review and Selection Process in section IV of this notice. In 

both cases, the studies will be reviewed by the Department to 

determine if they also meet the other requirements of the 

definition for “moderate evidence of effectiveness.” 

In order to receive the three additional points under this 

competitive preference priority, applicants should propose to 

implement the strategy from their supporting study or studies as 

closely as possible and describe in the narrative response to 

this priority how they will do so. Where modifications to a 

cited strategy will be made to account for student or 

institutional characteristics, resource limitations, or other 

special factors, the applicant should provide a justification or 

basis for the modifications in the narrative response to this 

priority. Modifications may not be proposed to the core aspects 

of any cited strategy. 

Definitions: These definitions are from 34 CFR 77.1(c) and 

apply to the priority in this notice.

 Large sample means an analytic sample of 350 or more students 

(or other single analysis units), or 50 or more groups (such as 

classrooms or schools) that contain 10 or more students (or 

other single analysis units).

 Moderate evidence of effectiveness means one of the 

following conditions is met: 
16

(i) There is at least one study of the effectiveness of 

the process, product, strategy, or practice being proposed that 

meets the What Works Clearinghouse Evidence Standards without 

reservations, found a statistically significant favorable impact 

on a relevant outcome (with no statistically significant and 

overriding unfavorable impacts on that outcome for relevant 

populations in the study or in other studies of the intervention 

reviewed by and reported on by the What Works Clearinghouse), 

and includes a sample that overlaps with the populations or 

settings proposed to receive the process, product, strategy, or 

practice.

(ii) There is at least one study of the effectiveness of 

the process, product, strategy, or practice being proposed that 

meets the What Works Clearinghouse Evidence Standards with 

reservations, found a statistically significant favorable impact 

on a relevant outcome (with no statistically significant and 

overriding unfavorable impacts on that outcome for relevant 

populations in the study or in other studies of the intervention 

reviewed by and reported on by the What Works Clearinghouse), 

includes a sample that overlaps with the populations or settings 

proposed to receive the process, product, strategy, or practice, 

and includes a large sample and a multi-site sample. (Note: 

multiple studies can cumulatively meet the large and multi-site 
17

sample requirements as long as each study meets the other 

requirements in this paragraph.)

 Multi-site sample means more than one site, where site can be 

defined as an LEA, locality, or State.

 Quasi-experimental design study means a study using a 

design that attempts to approximate an experimental design by 

identifying a comparison group that is similar to the treatment 

group in important respects. These studies, depending on design 

and implementation, can meet What Works Clearinghouse Evidence 

Standards with reservations (but not What Works Clearinghouse 

Evidence Standards without reservations).

 Randomized controlled trial means a study that employs random 

assignment of, for example, students, teachers, classrooms, 

schools, or districts to receive the intervention being 

evaluated (the treatment group) or not to receive the 

intervention (the control group). The estimated effectiveness 

of the intervention is the difference between the average 

outcomes for the treatment group and for the control group. 

These studies, depending on design and implementation, can meet 

What Works Clearinghouse Evidence Standards without 

reservations.

 What Works Clearinghouse Evidence Standards means the standards 

set forth in the What Works Clearinghouse Procedures and 

Standards Handbook (Version 3.0, March 2014), which can be found 
18

at the following link: 

http://ies.ed.gov/ncee/wwc/DocumentSum.aspx?sid=19.

Program Authority: 20 U.S.C. 1057-1059d (title III, part A, of 

the Higher Education Act of 1965, as amended (HEA)).

Note: In 2008, the HEA was amended by the Higher Education 

Opportunity Act of 2008 (HEOA) (P.L. 110-315). The HEOA made a 

number of technical and substantive revisions to SIP, and the 

program regulations in 34 CFR part 607 have not yet been updated 

to reflect these statutory changes.

Applicable Regulations: (a) The Education Department General 

Administrative Regulations (EDGAR) in 34 CFR parts 75, 77, 79, 

81, 82, 84, 97, 98, and 99. (b) The Office of Management and 

Budget Guidelines to Agencies on Governmentwide Debarment and 

Suspension (Nonprocurement) in 2 CFR part 180, as adopted and 

amended as regulations of the Department in 2 CFR part 3485. 

(c) The Uniform Administrative Requirements, Cost Principles, 

and Audit Requirements for Federal Awards in 2 CFR part 200, as 

adopted and amended in 2 CFR part 3474. (d) The regulations 

for this program in 34 CFR part 607. 

II. Award Information

Type of Award: Discretionary grants—Individual Development 

Grants and Cooperative Arrangement Development Grants. 

Estimated Available Funds: $18,197,309.
19

Contingent upon the availability of funds and the quality 

of applications, we may make additional awards in FY 2016 from 

the list of unfunded applicants from this competition.

Individual Development Grants:

Estimated Range of Awards: $400,000-$450,000 per year.

Estimated Average Size of Awards: $425,000 per year.

Maximum Award: We will reject any application that proposes a 

budget exceeding $450,000 for a single budget period of 12 

months. The Assistant Secretary for the Office of Postsecondary 

Education may change the maximum amount through a notice 

published in the Federal Register.

Estimated Number of Awards: 36. 

Cooperative Arrangement Development Grants:

Estimated Range of Awards: $600,000-$650,000 per year.

Estimated Average Size of Awards: $625,000 per year.

Maximum Award: We will reject any application that proposes a 

budget exceeding $650,000 for a single budget period of 12 

months. The Assistant Secretary for the Office of Postsecondary 

Education may change the maximum amount through a notice 

published in the Federal Register.

Estimated Number of Awards: 3. 

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

notice. 

Project Period: Up to 60 months for each type of award. 
20

III. Eligibility Information

1. Eligible Applicants: (a) This program is authorized 

by title III, part A, of the HEA. To qualify as an eligible 

institution under any title III, part A program, an institution 

must be--

(i) Accredited or pre-accredited by a nationally 

recognized accrediting agency or association that the Secretary 

has determined to be a reliable authority as to the quality of 

education or training offered;

(ii) Legally authorized by the State in which it is 

located to be a junior or community college or to provide an 

educational program for which it awards a bachelor's degree;

(iii) Designated as an “eligible institution” by 

demonstrating that it has: (A) an enrollment of needy students 

as described in 34 CFR 607.3; and (B) low average educational 

and general expenditures per full-time equivalent (FTE) 

undergraduate student as described in 34 CFR 607.4. 

Note: For purposes of establishing eligibility for this 

competition, the notice inviting applications for eligibility 

designation for FY 2015 was published in the Federal Register on 

November 3, 2014 (79 FR 65197) and applications were due on 

December 22, 2014. Only institutions that submitted the 

required application and received designation through this 
21

process are eligible to submit applications for this 

competition.

(b) A grantee under the Developing Hispanic-Serving 

Institutions (HSI) Program, which is authorized under title V of 

the HEA, may not receive a grant under any HEA, title III, part 

A program, including SIP. Furthermore, a current HSI Program 

grantee may not give up its HSI grant to receive a grant under 

SIP or any title III, part A program as described in 34 CFR 

607.2(g)(1).

An eligible HSI that is not a current grantee under the HSI 

Program may apply for a FY 2015 grant under all title III, part 

A programs for which it is eligible, as well as receive 

consideration for a grant under the HSI Program. However, a 

successful applicant may receive only one grant as described in 

34 CFR 607.2(g)(1). 

(c) An eligible IHE that submits an application for an 

Individual Development Grant and a Cooperative Arrangement 

Development Grant may be awarded both grants. 

(d) An eligible IHE that currently has a SIP Individual 

Development Grant may apply for and be awarded a Cooperative 

Development Grant. A grantee with an Individual Development 

Grant or Cooperative Arrangement Development Grant may be a 

partner or subgrantee in one or more Cooperative Arrangement 

Development Grants. The lead institution in a Cooperative 
22

Arrangement Development Grant must be an eligible institution. 

Partners or subgrantees are not required to be eligible 

institutions.

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

require cost sharing or matching unless the grantee uses a 

portion of its grant for establishing or improving an endowment 

fund. If a grantee uses a portion of its grant for endowment 

fund purposes, it must match those grant funds with non-Federal 

funds (20 U.S.C. 1059c(c) (3)(B)).

b. Supplement-Not-Supplant: This program involves 

supplement-not-supplant funding requirements. Grant funds shall 

be used so that they supplement and, to the extent practical, 

increase the funds that would otherwise be available for the 

activities to be carried out under the grant and in no case 

supplant those funds (34 CFR 607.30(b)). 

IV. Application and Submission Information

 1. Address to Request Application Package: You can obtain 

an application via the Internet using the following address: 

www.Grants.gov. If you do not have access to the Internet, 

please contact one of the program contact persons listed under 

For Further Information Contact in section VII of this notice.

 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.
23

 Individuals with disabilities can obtain a copy of the 

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

large print, audiotape, or compact disc) by contacting one of 

the program contact persons listed under For Further Information 

Contact in section VII of this notice.

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 (Part III of the 

application) is where you, the applicant, address the selection 

criteria and the competitive preference priority that reviewers 

use to evaluate your application. We have established the 

following mandatory page limits for Individual Development Grant 

and Cooperative Arrangement Development Grant applications: 

  If you are not addressing the competitive preference 

priority you must limit your application narrative to no more 

than 50 pages for an Individual Development Grant application 

and to no more than 70 pages for a Cooperative Arrangement 

Development Grant application. 

  If you are addressing the competitive preference priority 

you must limit your application narrative to no more than 55 

pages for an Individual Development Grant application and 75 
24

pages for a Cooperative Arrangement Development Grant 

application. 

Applicants should provide information addressing the 

competitive preference priority in the section of the 

application titled “Competitive Preference Priority—Supporting 

Strategies for which there is Moderate Evidence of 

Effectiveness.” 

For the purpose 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" margins.

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

all text in the application narrative, except titles, headings, 

footnotes, quotations, references, and captions. Text in 

charts, tables, figures, and graphs in the application narrative 

may be single spaced and will count toward the page limit.

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

smaller than 10 pitch (characters per inch). However, you may 

use a 10-point font in charts, tables, figures, graphs, 

footnotes, and endnotes.

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

Courier, Courier New, or Arial. An application submitted in any 
25

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

accepted.

The page limit applies to all of the application narrative 

section, including your complete response to the selection 

criteria and the competitive preference priority. However, the 

page limit does not apply to Part I, the Application for Federal 

Assistance (SF 424-cover sheet); the Department of Education 

Supplemental Information Form (SF 424); Part II, the Budget 

Information-Non-Construction Programs Form (ED 524); Section A -

Budget Summary – U.S. Department of Education Funds; Section B –

Budget Summary – Non-Federal Funds; and Section C – Budget 

Narrative; Part IV, the assurances and certifications; the onepage program abstract; or bibliography. The page limit also 

does not apply to any copies of studies that are submitted in 

response to the competitive preference priority. However, if 

you include any attachments or appendices not specifically 

listed in this section or requested in the application package, 

these items will be counted as part of your application 

narrative for the purpose of the page-limit requirement. 

Note: The Budget Information-Non-Construction Programs Form (ED 

524) Sections A-C are not the same as the narrative response to 

the Budget section of the selection criteria.

 We will reject your application if you exceed the page 

limit.
26

3. Submission Dates and Times:

Applications Available: [INSERT DATE OF PUBLICATION IN THE 

FEDERAL REGISTER].

Deadline for Transmittal of Applications: [INSERT DATE 60 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 one of the program contact persons 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.

Deadline for Intergovernmental Review: [INSERT DATE 120 DAYS 

AFTER DATE OF PUBLICATION IN THE FEDERAL REGISTER].
27

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: (a) General. We specify 

unallowable costs in 34 CFR 607.10(c). We reference additional 

regulations outlining funding restrictions in the Applicable 

Regulations section of this notice.

(b) Applicability of Executive Order 13202. Applicants 

that apply for construction funds under the title III, part A, 

HEA programs must comply with Executive Order 13202, as amended. 

This Executive order provides that recipients of Federal 

construction funds may not “require or prohibit bidders, 

offerors, contractors, or subcontractors to enter into or adhere 

to agreements with one or more labor organizations, on the same 

or other construction project(s)” or “otherwise discriminate 

against bidders, offerors, contractors, or subcontractors for 

becoming or refusing to become or remain signatories or 

otherwise to adhere to agreements with one or more labor 

organizations, on the same or other related construction 

project(s).” Projects funded under this program that include 

construction activity will be provided a copy of this Executive 

order and will be asked to certify that they will adhere to it.
28

6. Data Universal Numbering System Number, Taxpayer 

Identification Number, and System for Award Management: 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 System 

for Award Management (SAM) (formerly 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 SAM registration with current 

information while your application is under review by the 

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 to two business days.

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 two to five 

weeks for your TIN to become active.

The SAM registration process can take approximately seven

business days, but may take upwards of several weeks, depending 
29

on the completeness and accuracy of the data entered into the 

SAM database by an entity. Thus, if you think you might want to 

apply for Federal financial assistance under a program 

administered by the Department, please allow sufficient time to 

obtain and register your DUNS number and TIN. We strongly 

recommend that you register early.

Note: Once your SAM registration is active, you will need to 

allow 24 to 48 hours for the information to be available in 

Grants.gov and before you can submit an application through 

Grants.gov. 

If you are currently registered with SAM, 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 registration annually. This may take 

three or more business days. 

Information about SAM is available at www.SAM.gov. To 

further assist you with obtaining and registering your DUNS 

number and TIN in SAM or updating your existing SAM account, we 

have prepared a SAM.gov Tip Sheet, which you can find at: 

http://www2.ed.gov/fund/grant/apply/sam-faqs.html.

 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 
30

outlined at the following Grants.gov Web page: 

www.grants.gov/web/grants/register.html.

7. Other Submission Requirements: Applications for grants 

under the Strengthening Institutions 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 Strengthening 

Institutions Program, CFDA number 84.031A, 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 email 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.
31

You may access the electronic grant application for this 

competition at www.Grants.gov. You must search for the 

downloadable application package for this program by the CFDA 

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

search (e.g., search for 84.031, not 84.031A).

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.
32

• 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 

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 competition 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. 
33

• You must upload any narrative sections and all other 

attachments to your application as files in a PDF read-only, 

non-modifiable format. Do not upload an interactive or fillable 

PDF file. If you upload a file type other than a read-only, 

non-modifiable PDF or submit a password-protected file, we will 

not review that material.

• 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 email. 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 
34

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 

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 persons 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 
35

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 

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 prevents 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 
36

the Department, we must receive the faxed statement no later 

than two weeks before the application deadline date.

Address and mail or fax your statement to: Nalini LambaNieves, U.S. Department of Education, 1990 K Street, NW., room 

6024, Washington, DC 20006-8513. FAX: (202) 502-7861.

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 84.031A)

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.
37

(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 84.031A)

550 12th Street, SW.

Room 7039, Potomac Center Plaza

Washington, DC 20202-4260
38

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.

V. Application Review Information

1. Selection Criteria: The selection criteria for this 

program are from 34 CFR 607.22(a)-(g). Applicants must address 

each of the following selection criteria. The total maximum 

number of points under the selection criteria is 100 points; the 

maximum score under each criterion is noted in parentheses. The 

complete text of the selection criteria is in the application 

package for this competition.

(a) Quality of the Applicant’s Comprehensive Development 

Plan. (Maximum 25 Points) The extent to which--
39

(1) The strengths, weaknesses, and significant problems of 

the institution's academic programs, institutional management, 

and fiscal stability are clearly and comprehensively analyzed 

and result from a process that involved major constituencies of 

the institution;

(2) The goals for the institution's academic programs, 

institutional management, and fiscal stability are realistic and 

based on comprehensive analysis;

(3) The objectives stated in the plan are measurable, 

related to institutional goals, and, if achieved, will 

contribute to the growth and self-sufficiency of the 

institution; and

(4) The plan clearly and comprehensively describes the 

methods and resources the institution will use to 

institutionalize practice and improvements developed under the 

proposed project, including, in particular, how operational 

costs for personnel, maintenance, and upgrades of equipment will 

be paid with institutional resources.

(b) Quality of Activity Objectives. (Maximum 15 Points) 

The extent to which the objectives for each activity are--

(1) Realistic and defined in terms of measurable results; 

and

(2) Directly related to the problems to be solved and to 

the goals of the comprehensive development plan.
40

(c) Quality of Implementation Strategy. (Maximum 20 

Points) The extent to which--

(1) The implementation strategy for each activity is 

comprehensive;

(2) The rationale for the implementation strategy for each 

activity is clearly described and is supported by the results of 

relevant studies or projects; and

(3) The timetable for each activity is realistic and 

likely to be attained.

(d) Quality of Key Personnel. (Maximum 7 Points) The 

extent to which--

(1) The past experience and training of key professional 

personnel are directly related to the stated activity 

objectives; and

(2) The time commitment of key personnel is realistic.

(e) Quality of Project Management Plan. (Maximum 10 

Points) The extent to which--

(1) Procedures for managing the project are likely to 

ensure efficient and effective project implementation; and

(2) The project coordinator and activity directors have 

sufficient authority to conduct the project effectively, 

including access to the president or chief executive officer.

(f) Quality of Evaluation Plan. (Maximum 15 Points) The 

extent to which--
41

(1) The data elements and the data collection procedures 

are clearly described and appropriate to measure the attainment 

of activity objectives and to measure the success of the project 

in achieving the goals of the comprehensive development plan; 

and

(2) The data analysis procedures are clearly described and 

are likely to produce formative and summative results on 

attaining activity objectives and measuring the success of the 

project on achieving the goals of the comprehensive development 

plan.

(g) Budget. (Maximum 8 Points) The extent to which the 

proposed costs are necessary and reasonable in relation to the 

project's objectives and scope.

2. Review and Selection Process: We remind potential 

applicants that in reviewing applications in any discretionary 

grant competition, the Secretary may consider, under 34 CFR 

75.217(d)(3), the past performance of the applicant in carrying 

out a previous award, such as the applicant’s use of funds, 

achievement of project objectives, and compliance with grant 

conditions. The Secretary may also consider whether the 

applicant failed to submit a timely performance report or 

submitted a report of unacceptable quality.

In addition, in making a competitive grant award, the 

Secretary also requires various assurances including those 
42

applicable to Federal civil rights laws that prohibit 

discrimination in programs or activities receiving Federal 

financial assistance from the Department of Education (34 CFR 

100.4, 104.5, 106.4, 108.8, and 110.23).

Awards will be made in rank order according to the average 

score received from an evaluation performed by a panel of nonFederal reviewers based on responses to the selection criteria 

and, if applicable, the competitive preference priority. If an 

application is scored highly, has the possibility of being 

funded, and includes a response to the competitive preference 

priority, IES will review the studies cited in the application 

to determine whether they meet the “moderate evidence of 

effectiveness” standard. Only those applications that address 

the competitive preference priority and have the possibility of 

being funded because of high scores and available funds for new 

awards will undergo further review by IES. At least one study 

submitted must be found to meet the definition of “moderate 

evidence of effectiveness,” in order for applicants to receive 

the additional points. 

Tie-breaker for Development Grants. In tie-breaking 

situations for Development Grants, 34 CFR 607.23(b) requires 

that we award one additional point to an application from an IHE 

that has an endowment fund of which the current market value, 

per full time equivalent (FTE) enrolled student, is less than 
43

the average current market value of the endowment funds, per FTE 

enrolled student, at comparable type institutions that offer 

similar instruction. We also award one additional point to an 

application from an IHE that has expenditures for library 

materials per FTE enrolled student that are less than the 

average expenditure for library materials per FTE enrolled 

student at similar type institutions. We also add one 

additional point to an application from an IHE that proposes to 

carry out one or more of the following activities--

(1) Faculty development;

(2) Funds and administrative management;

(3) Development and improvement of academic programs;

(4) Acquisition of equipment for use in strengthening 

management and academic programs;

(5) Joint use of facilities; and

(6) Student services. 

For the purpose of these funding considerations, we use 

2012-2013 data. 

If a tie remains after applying the tie-breaker mechanism 

above, priority will be given in the case of applicants for: 

(a) Individual Development Grants, to applicants that have the 

lowest endowment values per FTE student; and (b) Cooperative 

Arrangement Development Grants, to applicants in accordance with 

section 394(b) of the HEA, if the Secretary determines that the 
44

cooperative arrangement is geographically and economically sound 

or will benefit the applicant institution. 

3. Special Conditions: Under 2 CFR 3474.10, the Secretary 

may impose special conditions and, in appropriate circumstances, 

high-risk conditions on a grant if the applicant or grantee is 

not financially stable; has a history of unsatisfactory 

performance; has a financial or other management system that 

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

not fulfilled the conditions of a prior grant (34 CFR 

607.24(c)(2)); 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); or we may send you an email 

containing a link to access an electronic version of your GAN. 

We may notify you informally, also.

If your application is not evaluated or not selected for 

funding, we notify you.

2. Administrative and National Policy Requirements: We 

identify administrative and national policy requirements in the 

application package and reference these and other requirements 

in the Applicable Regulations section of this notice.

We reference the regulations outlining the terms and 

conditions of an award in the Applicable Regulations section of 
45

this notice and include these and other specific conditions in 

the GAN. The GAN also incorporates your approved application as 

part of your binding commitments under the grant.

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

competition, you must ensure that you have in place the 

necessary processes and systems to comply with the reporting 

requirements in 2 CFR part 170 should you receive funding under 

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

under 2 CFR 170.110(b).

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

final performance report, including financial information, as 

directed by the Secretary. If you receive a 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 

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

4. Performance Measures: The Secretary has established 

the following key performance measures for assessing the 

effectiveness of the Strengthening Institutions Program: 

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

the number of full-time degree-seeking undergraduates enrolled 
46

at SIP institutions. Note that this is a long-term measure, 

which will be used to periodically gauge performance;

b. The percentage of first-time, full-time degree-seeking 

undergraduate students at four-year SIP institutions who were in 

their first year of postsecondary enrollment in the previous 

year and are enrolled in the current year at the same SIP 

institution;

c. The percentage of first-time, full-time degree-seeking 

undergraduate students at two-year SIP institutions who were in 

their first year of postsecondary enrollment in the previous 

year and are enrolled in the current year at the same SIP 

institution; 

d. The percentage of first-time, full-time degree-seeking 

undergraduate students enrolled at four-year SIP institutions 

graduating within six years of enrollment; and

e. The percentage of first-time, full-time degree-seeking 

undergraduate students enrolled at two-year SIP institutions 

graduating within three years of enrollment. 

 5. Continuation Awards: In making a continuation award

under 34 CFR 75.253, the Secretary considers, among other 

things: whether a grantee has made substantial progress in 

achieving the goals and objectives of the project; whether the 

grantee has expended funds in a manner that is consistent with 

its approved application and budget; and, if the Secretary has 
47

established performance measurement requirements, the 

performance targets in the grantee’s approved application. 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

For Further Information Contact: Nalini Lamba-Nieves, Pearson 

Owens, or Don Crews, U.S. Department of Education, 1990 K 

Street, NW., room 6024, Washington, DC 20006-8513. You may 

contact these individuals at the following email addresses and 

telephone numbers: 

 Nalini.Lamba-Nieves@ed.gov; (202) 502-7562

 Pearson.Owens@ed.gov; (202) 502-7804

 Don.Crews@ed.gov; (202) 502-7574

If you use a TDD or a TTY, call the 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 
48

compact disc) on request to either program contact person 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 all 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 the site.
49

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.

Delegation of Authority: The Secretary of Education has 

delegated authority to Jamienne S. Studley, Deputy Under 

Secretary, to perform the functions and duties of the Assistant 

Secretary for Postsecondary Education.

Dated:

__________________________

Jamienne S. Studley,

Deputy Under Secretary.
50

Program Statute 

HIGHER EDUCATION ACT OF 1965, AS AMENDED

TITLE III---INSTITUTIONAL AID

SEC. 301. FINDINGS AND PURPOSES.

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

(1) there are a significant number of institutions of higher education serving high percentages of 

minority students and students from low-income backgrounds, that face problems that threaten 

their ability to survive;

(2) the problems relate to the management and fiscal operations of certain institutions of higher 

education, as well as to an inability to engage in long-range planning and development activities, 

including endowment building;

(3) in order to be competitive and provide a high-quality education for all, institutions of higher 

education should improve their technological capacity and make effective use of technology;

(4) the title III program prior to 1985 did not always meet the specific development needs of 

historically Black colleges and universities and other institutions with large concentrations of 

minority, low-income students;

(5) the solution of the problems of these institutions would enable them to become viable, 

fiscally stable and independent, thriving institutions of higher education;

(6) providing assistance to eligible institutions will enhance the role of such institutions in 

providing access and quality education to low-income and minority students;

(7) these institutions play an important role in the American system of higher education, and 

there is a strong national interest in assisting them in solving their problems and in stabilizing 

their management and fiscal operations, and in becoming financially independent; and

(8) there is a particular national interest in aiding those institutions of higher education that have 

historically served students who have been denied access to postsecondary education because of 

race or national origin and whose participation in the American system of higher education is in 

the Nation’s interest so that equality of access and quality of postsecondary education 

opportunities may be enhanced for all students.

(b) PURPOSE. --It is the purpose of this title to assist such institutions in equalizing educational 

opportunity through a program of Federal assistance.

PART A--STRENGTHENING INSTITUTIONS

SEC. 311. PROGRAM PURPOSE.

(a) GENERAL AUTHORIZATION. --The Secretary shall carry out a program, in accordance 

with this part, to improve the academic quality, institutional management, and fiscal stability of 

eligible institutions, in order to increase their self-sufficiency and strengthen their capacity to 

make a substantial contribution to the higher education resources of the Nation.

(b) GRANTS AWARDED; SPECIAL CONSIDERATION. –

(1) From the sums available for this part under section 399(a)(1), the Secretary may award grants 

to any eligible institution with an application approved under section 351 in order to assist such 

an institution to plan, develop, or implement activities that promise to strengthen the institution.
51

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

(A) which has endowment funds (other than any endowment fund built under section 332 of this 

Act as in effect on September 30, 1986, and under part B) the market value of which, per fulltime equivalent student, is less than the average current market value of the endowment funds, 

per full-time equivalent student (other than any endowment fund built under section 332 of this 

Act as in effect on September 30, 1986, and under part B) at similar institutions; or 

(B) which has expenditures per full-time equivalent student for library materials which is less 

than the average of the expenditures for library materials per full-time equivalent student by

other similarly situated institutions.

(3) Special consideration shall be given to applications which propose, pursuant to the 

institution’s plan, to engage in

(A) faculty development; 

(B) funds and administrative management;

(C) development and improvement of academic programs;

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

programs;

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

and

(F) student services.

(c) AUTHORIZED ACTIVITIES.--Grants awarded under this section shall be used for 1 or 

more of the following activities:

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

including instructional and research purposes.

(2) Construction, maintenance, renovation, and improvement in classrooms, libraries, 

laboratories, and other instructional facilities, including the integration of computer technology

into institutional facilities to create smart buildings.

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

attaining advanced degrees in the field of instruction of the faculty.

(4) Development and improvement of academic programs. 

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

telecommunications program material.

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

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

strengthening funds management.

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

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

alumni and the private sector.

(10) Establishing or improving an endowment fund.

(11) Creating or improving facilities for Internet or other distance learning academic instruction 

capabilities, including purchase or rental of telecommunications technology equipment or 

services.

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

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

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

(d) ENDOWMENT FUND.
52

(1) IN GENERAL.--An eligible institution may use not more than 20 percent of the grant funds 

provided under this part to establish or increase an endowment fund at such institution.

(2) MATCHING REQUIREMENT.--In order to be eligible to use grant funds in accordance with 

paragraph (1), the eligible institution shall provide matching funds from non-Federal sources, in 

an amount equal to or greater than the Federal funds used in accordance with paragraph (1), for 

the establishment or increase of the endowment fund.

(3) COMPARABILITY.--The provisions of part C, regarding the establishment or increase of an 

endowment fund, that the Secretary determines are not inconsistent with this subsection, shall 

apply to funds used under paragraph (1).

SEC. 312. DEFINITIONS; ELIGIBILITY.

(a) EDUCATIONAL AND GENERAL EXPENDITURES. -- For the purpose of this part, the 

term “educational and general expenditures” means the total amount expended by an institution 

of higher education for instruction, research, public service, academic support (including library

expenditures), student services, institutional support, scholarships and fellowships, operation and 

maintenance expenditures for the physical plant, and any mandatory transfers which the 

institution is required to pay by law.

(b) ELIGIBLE INSTITUTION. -- For the purpose of this part, the term “eligible institution” 

means --

(1) an institution of higher education--

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

(B) except as provided in section 392(b), the average educational and general expenditures of 

which are low, per full-time equivalent undergraduate student, in comparison with the average 

educational and general expenditures per full-time equivalent undergraduate student of 

institutions that offer similar instruction;

(C) which is

(i) legally authorized to provide, and provides within the State, an educational program for 

which such institution awards a bachelor’s degree;

(ii) a junior or community college; or

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

Micronesia, and Palau Community College;

(D) which is accredited by a nationally recognized accrediting agency or association determined 

by the Secretary to be reliable authority as to the quality of training offered or which is, 

according to such an agency or association, making reasonable progress toward accreditation;

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

(F) located in a State; and

(2) any branch of any institution of higher education described under paragraph (1) which by 

itself satisfies the requirements contained in subparagraphs (A) and (B) of such paragraph. 

For purposes of the determination of whether an institution is an eligible institution under this 

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

factor described under paragraph (1)(B).

(c) ENDOWMENT FUND.-- For the purpose of this part, the term ‘‘endowment fund” means a 

fund that--

(1) is established by State law, by an institution of higher education, or by a foundation that is 

exempt from Federal income taxation;

(2) is maintained for the purpose of generating income for the support of the institution; and
53

(3) does not include real estate.

(d) ENROLLMENT OF NEEDY STUDENTS. -- For the purpose of this part, the term 

“enrollment of needy students” means an enrollment at an institution of higher education or a 

junior or community college which includes--

(1) at least 50 percent of the degree students so enrolled who are receiving need-based assistance 

under title IV of this Act in the second fiscal year preceding the fiscal year for which the 

determination is being made (other than loans for which an interest subsidy is paid pursuant 

to section 428), or 

(2) a substantial percentage of students receiving Pell Grants in the second fiscal year preceding 

the fiscal year for which determination is being made, in comparison with the percentage of 

students receiving Pell Grants at all such institutions in the second fiscal year preceding the 

fiscal year for which the determination is made, unless the requirement of this subdivision is 

waived under section 392(a).

(e) FULL-TIME EQUIVALENT STUDENTS. For the purpose of this part, the term “full-time 

equivalent students” means the sum of the number of students enrolled full time at an institution, 

plus the full-time equivalent of the number of students enrolled part time (determined on the 

basis of the quotient of the sum of the credit hours of all part-time students divided by 12) at 

such institution.

(f) JUNIOR OR COMMUNITY COLLEGE.--For the purpose of this part, the term “junior or 

community college” means an institution of higher education--

(1) that admits as regular students persons who are beyond the age of compulsory school 

attendance in the State in which the institution is located and who have the ability to benefit from 

the training offered by the institution;

(2) that does not provide an educational program for which it awards a bachelor’s degree (or an 

equivalent degree); and 

(3) that--

(A) provides an educational program of not less than 2 years that is acceptable for full credit 

toward such a degree, or

(B) offers a 2-year program in engineering, mathematics, or the physical or biological sciences, 

designed to prepare a student to work as a technician or at the semiprofessional level in 

engineering, scientific, or other technological fields requiring the understanding and application 

of basic engineering, scientific, or mathematical principles of knowledge.

(g) HISTORICALLY BLACK COLLEGE OR UNIVERSITY.--For the purposes of this section, 

no historically black college or university which is eligible for and receives funds under part B of 

this title is eligible for or may receive funds under this part. 

SEC. 313. DURATION OF GRANT.

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

for 5 years.

(b) LIMITATIONS.--In awarding grants under this part the Secretary shall give priority to 

applicants who are not already receiving a grant under this part, except that for the purpose of 

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

considered a grant under this part. 

(c) PLANNING GRANTS.--Notwithstanding subsection (a), the Secretary may award a grant to 

an eligible institution under this part for a period of one year for the purpose of preparation of 

plans and applications for a grant under this part.
54

(d) WAIT-OUT-PERIOD.--Each eligible institution that received a grant under this part for a 5-

year period shall not be eligible to receive an additional grant under this part until 2 years after 

the date on which the 5-year grant period terminates.

SEC. 314. APPLICATIONS.

Each eligible institution desiring to receive assistance under this part shall submit an application 

in accordance with the requirements of section 391.

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

(a) GOALS.-- Any application for a grant under this part shall describe measurable goals for the 

institution’s financial management and academic programs, and include a plan of how the 

applicant intends to achieve those goals.

(b) CONTINUATION REQUIREMENTS. -- Any continuation application shall demonstrate the 

progress made toward achievement of the goals described pursuant to subsection (a).

PART F--GENERAL PROVISIONS

SEC. 391. APPLICATIONS FOR ASSISTANCE.

(a) APPLICATIONS.--(1) APPLICATIONS REQUIRED.-- Any institution which is eligible for 

assistance under this title shall submit to the Secretary an application for assistance at such time, 

in such form, and containing such information, as may be necessary to enable the Secretary to 

evaluate the institution’s need for the assistance. Subject to the availability of appropriations to 

carry out this title, the Secretary may approve an application for assistance under this title only if 

the Secretary determines that--

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

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

assistance is sought; and 

(C) the applicant’s performance goals are sufficiently rigorous as to meet the purposes of this 

title and the performance objectives and indicators for this title established by the Secretary

pursuant to the Government Performance and Results Act of 1993 and the amendments made by 

such Act.

(2) PRELIMINARY APPLICATIONS.-- In carrying out paragraph (1), the Secretary may

develop a preliminary application for use by eligible institutions applying under part A prior to 

the submission of the principal application.

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

(1) set forth, or describe how the institution (other than an institution applying under part C, D or 

E) will develop, a comprehensive development plan to strengthen the institution’s academic 

quality and institutional management, and otherwise provide for institutional self-sufficiency and 

growth (including measurable objectives for the institution and the Secretary to use in 

monitoring the effectiveness of activities under this title);

(2) set forth policies and procedures to ensure that Federal funds made available under this title 

for any fiscal year will be used to supplement and, to the extent practical, increase the funds that 

would otherwise be made available for the purposes of section 311(b) or 323, and in no case 

supplant those funds;

(3) set forth policies and procedures for evaluating the effectiveness in accomplishing the 

purpose of the activities for which a grant is sought under this title; 
55

(4) provide for such fiscal control and fund accounting procedures as may be necessary to ensure 

proper disbursement of and accounting for funds made available to the applicant under this title;

(5) provide (A) for making such reports, in such form and containing such information, as the 

Secretary may require to carry out the functions under this title, including not less than one 

report annually setting forth the institution’s progress toward achieving the objectives for which 

the funds were awarded, and (B) for keeping such records and affording such access thereto, as 

the Secretary may find necessary to assure the correctness and verification of such reports;

(6) provide that the institution will comply with the limitations set forth in section 357, except 

that for purposes of section 316, paragraphs (2) and (3) of section 396 shall not apply; 

(7) describe in a comprehensive manner any proposed project for which funds are sought under 

the application and include--

(A) a description of the various components of the proposed project, including the estimated time 

required to complete each such component;

(B) in the case of any development project which consists of several components (as described 

by the applicant pursuant to subparagraph (A)), a statement identifying those components which, 

if separately funded, would be sound investments of Federal funds and those components which 

would be sound investments of Federal funds only if funded under this title in conjunction with 

other parts of the development project (as specified by the applicant);

(C) an evaluation by the applicant of the priority given any proposed project for which funds are 

sought in relation to any other projects for which funds are sought by the applicant under this 

title, and a similar evaluation regarding priorities among the components of any single proposed 

project (as described by the applicant pursuant to subparagraph (A));

(D) a detailed budget showing the manner in which funds for any proposed project would be 

spent by the applicant; and 

(E) a detailed description of any activity which involves the expenditure of more than $25,000, 

as identified in the budget referred to in subparagraph (E); and 

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

(c) PRIORITY CRITERIA PUBLICATION REQUIRED.-- The Secretary shall publish in the 

Federal Register, pursuant to chapter 5 of title 5, United States Code, all policies and procedures 

required to exercise the authority set forth in subsection (a). No other criteria, policies, or 

procedures shall apply.

(d) ELIGIBILITY DATA.-- The Secretary shall use the most recent and relevant data concerning 

the number and percentage of students receiving need-based assistance under title IV of this Act 

in making eligibility determinations under section 312 and shall advance the base-year forward 

following each annual grant cycle.
56

Sec. 392. (20 U.S.C. 1068a) WAIVER AUTHORITY AND REPORTING 

REQUIREMENT.

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

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

institution--

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

tuition;

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

population;

(3) which is contributing substantially to increasing higher education opportunities for 

educationally disadvantaged, underrepresented, or minority students, who are low-income 

individuals;

(4) which is substantially increasing higher educational opportunities for individuals in rural or 

other isolated areas which are unserved by postsecondary institutions;

(5) located on or near an Indian reservation or a substantial population of Indians, if the 

Secretary determines that the waiver will substantially increase higher education opportunities 

appropriate to the needs of American Indians;

(6) that is a tribally controlled college or university as defined in section 2 of the Tribally 

Controlled College or University Assistance Act of 1978; or

(7) wherever located, if the Secretary determines that the waiver will substantially increase 

higher education opportunities appropriate to the needs of Black Americans, Hispanic 

Americans, Native Americans, Asian Americans, or Pacific Islanders, including Native 

Hawaiians.

(b) WAIVER DETERMINATIONS; EXPENDITURES.-- (1) The Secretary may waive the 

requirements set forth in section 312(b)(1)(B) if the Secretary determines, based on persuasive 

evidence submitted by the institution, that the institution’s failure to meet that criterion is due to 

factors which, when used in the determination of compliance with such criterion, distort such 

determination, and that the institution’s designation as an eligible institution under part A is 

otherwise consistent with the purposes of such parts.

(2) The Secretary shall submit to the Congress every other year a report concerning the 

institutions which, although not satisfying the criterion contained in section 312(b)(1)(B), have 

been determined to be eligible institutions under part A institutions which enroll significant 

numbers of Black American, Hispanic, Native American, Asian American, or Native Hawaiian 

students under part A, as the case may be. Such report shall--

(A) identify the factors referred to in paragraph (1) which were considered by the Secretary as 

factors that distorted the determination of compliance with subparagraphs (A) and (B) of section 

312(b)(1); and

(B) contain a list of each institution determined to be an eligible institution under part A 

including a statement of the reasons for each such determination.

(3) The Secretary may waive the requirement set forth in section 312(b)(1)(E) in the case of an 

institution located on or near an Indian reservation or a substantial population of Indians, if the 

Secretary determines that the waiver will substantially increase higher education opportunities 

appropriate to the needs of American Indians.
57

SEC. 393. APPLICATION REVIEW PROCESS.

(a) REVIEW PANEL.--(1) All applications submitted under this title by institutions of higher 

education shall be read by a panel of readers composed of individuals selected by the Secretary. 

The Secretary shall assure that no individual assigned under this section to review any

application has any conflict of interest with regard to the application which might impair the 

impartiality with which the individual conducts the review under this section.

(2) The Secretary shall take care to assure that representatives of historically and predominantly 

Black colleges, Hispanic institutions, Tribal Colleges and Universities, and institutions with 

substantial numbers of Hispanics, Native Americans, Asian Americans, and Native American 

Pacific Islanders (including Native Hawaiians) are included as readers.

(3) All readers selected by the Secretary shall receive thorough instruction from the Secretary

regarding the evaluation process for applications submitted under this title and consistent with 

the provisions of this title, including--

(A) explanations and examples of the types of activities referred to in section 311(b) that should 

receive special consideration for grants awarded under part A and of the types of activities 

referred to in section 323 that should receive special consideration for grants awarded under part 

B;

(B) an enumeration of the factors to be used to determine the quality of applications submitted 

under this title; and

(C) an enumeration of the factors to be used to determine whether a grant should be awarded for 

a project under this title, the amount of any such grant, and the duration of any such grant.

(b) RECOMMENDATIONS OF PANEL.-- In awarding grants under this title, the Secretary 

shall take into consideration the recommendations of the panel made under subsection (a).

(c) NOTIFICATION.-- Not later than June 30 of each year, the Secretary shall notify each 

institution of higher education making an application under this title of--

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

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

(3) the reasons for the decision of the Secretary in awarding or refusing to award a grant under 

this title, and any modifications, if any, in the recommendations of the panel made by the 

Secretary.

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

under part D.

SEC. 394. COOPERATIVE ARRANGEMENTS.

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

arrangements

(1) with funds available to carry out part A, between institutions eligible for assistance under part 

A and between such institutions and institutions not receiving assistance under this title; or

(2) with funds available to carry out part B, between institutions eligible for assistance under part 

B and institutions not receiving assistance under this title; for the activities described in section 

311(b) or section 323, as the case may be, so that the resources of the cooperating institutions 

might be combined and shared to achieve the purposes of such parts and avoid costly duplicative 

efforts and to enhance the development of part A and part B eligible institutions.

(b) PRIORITY. -- The Secretary shall give priority to grants for the purposes described under 

subsection (a) whenever the Secretary determines that the cooperative arrangement is 

geographically and economically sound or will benefit the applicant institution.
58

(c) DURATION. -- Grants to institutions having a cooperative arrangement may be made under 

this section for a period as determined under section 313 or section 323.

SEC. 395. ASSISTANCE TO INSTITUTIONS UNDER OTHER PROGRAMS.

(a) ASSISTANCE ELIGIBILITY.-- Each institution which the Secretary determines to be an 

institution eligible under part A or an institution eligible under part B may be eligible for waivers 

in accordance with subsection (b).

(b) WAIVER APPLICABILITY.-- (1) Subject to, and in accordance with, regulations 

promulgated for the purpose of this section, in the case of any application by an institution 

referred to in subsection (a) for assistance under any programs specified in paragraph (2), the 

Secretary is authorized, if such application is otherwise approvable, to waive any requirement for 

a non-Federal share of the cost of the program or project, or, to the extent not inconsistent with 

other law, to give, or require to be given, priority consideration of the application in relation to 

applications from other institutions.

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

this Act.

(c) LIMITATION. -- The Secretary shall not waive, under sub-section (b), the non-Federal share 

requirement for any program for applications which, if approved, would require the expenditure 

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

SEC. 396. LIMITATIONS.

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

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

(2) for an activity that is inconsistent with a State plan for desegregation of higher education 

applicable to such institution;

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

institution; or

(4) for purposes other than the purposes set forth in the approved application under which the 

funds were made available to the institution.

SEC. 397. PENALTIES.

Whoever, being an officer, director, agent, or employee of, or connected in any capacity with, 

any recipient of Federal financial assistance or grant pursuant to this title embezzles, willfully

misapplies, steals, or obtains by fraud any of the funds which are the subject of such grant or 

assistance, shall be fined not more than $10,000 or imprisoned for not more than 2 years, or both.

SEC. 398. CONTINUATION AWARDS

The Secretary shall make continuation awards under this title for the second and succeeding 

years of a grant only after determining that the recipient is making satisfactory progress in 

carrying out the grant.

SEC. 399. AUTHORIZATIONS OF APPROPRIATIONS.

(a) AUTHORIZATIONS.--

(1) PART A.--(A) There are authorized to be appropriated to carry out part A, $135,000,000 

(other than section 316) for fiscal year 1999, and such sums as may be necessary for each of the 

4 succeeding fiscal years.
59

(B) There are authorized to be appropriated to carry out section 316, $10,000,000 for fiscal year 

1999 and such sums as may be necessary for each of the 4 succeeding fiscal years.

(C) There are authorized to be appropriated to carry out section 317, $5,000,000 for fiscal year 

1999 and such sums as may be necessary for each of the 4 succeeding fiscal years.

(2) PART B.--(A) There are authorized to be appropriated to carry out part B (other than section 

326), $135,000,000 for fiscal year 1999, and such sums as may be necessary for each of the 4 

succeeding fiscal years.

(B) There are authorized to be appropriated to carry out section 326, $35,000,000 for fiscal year 

1999, and such sums as may be necessary for each of the 4 succeeding fiscal years.

(3) PART C.-- There are authorized to be appropriated to carry out part C, $10,000,000 for fiscal 

year 1999, and such sums as may be necessary for each of the 4 succeeding fiscal years.

(4) PART D.-- (A) There are authorized to be appropriated to carry out part D (other than section 

345(7), but including section 347), $110,000 for fiscal year 1999, and such sums as may be 

necessary for each of the 4 succeeding fiscal years.

(B) There are authorized to be appropriated to carry out section 345(7), such sums as may be 

necessary for fiscal year 1999 and each of the 4 succeeding fiscal years.

(5) PART E.-- There are authorized to be appropriated to carry out part E, $10,000,000 for fiscal 

year 1999, and such sums as may be necessary for each of the 4 succeeding fiscal years.

(b) USE OF MULTIPLE YEAR AWARDS.-- In the event of a multiple year award to any 

institution under this title, the Secretary shall make funds available for such award from funds 

appropriated for this title for the fiscal year in which such funds are to be used by the recipient.
60

HIGHER EDUCATION OPPORTUNITY ACT OF 2008, P.L. 110-315

TITLE III—INSTITUTIONAL AID

SEC. 301. PROGRAM PURPOSE.

Section 311 (20 U.S.C. 1057) is amended—

(1) in subsection (b)—

(A) in paragraph (1), by striking “351” and inserting “391”, and

(B) in paragraph (3)(F), by inserting “, including services that will assist in the education of 

special populations” before the period; and

(2) in subsection (c)—

(A) in paragraph (6), by inserting “, including innovative, customized, instruction courses 

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

program completion, which may include remedial education and English language instruction” 

before the period;

(B) by redesignating paragraphs (7) through (12) as paragraphs (8) through (13), respectively;

(C) by inserting after paragraph (6) the following: 

“(7) Education or counseling services designed to improve the financial literacy and economic 

literacy of students or the students’ families.”;

(D) in paragraph (12) (as redesignated by subparagraph (B)), by striking “distance learning 

academic instruction capabilities” and inserting “distance education technologies”; and

(E) in the matter preceding subparagraph (A) of paragraph (13) (as redesignated by subparagraph 

(B)), by striking “subsection (c)” and inserting “subsection (b) and section 391”.

SEC. 302. DEFINITIONS; ELIGIBILITY.

Section 312 (20 U.S.C. 1058) is amended—

(1) in subsection (b)(1)(A), by striking “subsection (c) of this section” and inserting “subsection 

(d)”;

(2) in subsection (d)(2), by striking “subdivision” and inserting “paragraph”;

(3) by redesignating subsection (g) as subsection (h); and

(4) by inserting after subsection (f) the following: 

“(g) LOW-INCOME INDIVIDUAL.—For the purpose of this part, 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.”.

SEC. 317. TECHNICAL ASSISTANCE.

Section 391 (20 U.S.C. 1068) is amended by adding at the end the following:

``(e) Technical Assistance.--The Secretary, directly or by grant or contract, may provide 

technical assistance to eligible institutions to prepare the institutions to qualify, apply for, and 

maintain a grant, under this title.''.

SEC. 318. WAIVER AUTHORITY.

Section 392 (20 U.S.C. 1068a) is amended by adding at the end the following:

``(c) Waiver Authority With Respect to Institutions Located in an Area Affected by a Gulf 

Hurricane Disaster.--
61

``(1) Waiver authority.--Notwithstanding any other provision of law, unless enacted with 

specific reference to this section, for any affected institution that was receiving assistance under 

this title at the time of a Gulf hurricane disaster, the Secretary shall, for each of the fiscal years 

2009 through 2011 (and may, for each of the fiscal years 2012 and 2013)--

``(A) waive--

``(i) the eligibility data requirements set forth in section 391(d);

``(ii) the wait-out period set forth in section 313(d);

``(iii) the allotment requirements under section 324; and

``(iv) the use of the funding formula developed pursuant to section 326(f)(3);

``(B) waive or modify any statutory or regulatory provision to ensure that affected institutions 

that were receiving assistance under this title at the time of a Gulf hurricane disaster are not 

adversely affected by any formula calculation for fiscal year 2009 or for any of the four 

succeeding fiscal years, as necessary; and

``(C) make available to each affected institution an amount that is not less than the amount made 

available to such institution under this title for fiscal year 2006, except that for any fiscal year for 

which the funds appropriated for payments under this title are less than the appropriated level for 

fiscal year 2006, the amount made available to such institutions shall be ratably reduced among 

the institutions receiving funds under this title.

``(2) Definitions.--In this subsection:

``(A) Affected institution.--The term `affected institution' means an institution of higher 

education that--

``(i) is--``(I) a part A institution (which term shall have the meaning given the 

term `eligible institution' under section 312(b)); or (II) a part B institution, as such term is 

defined in section 322(2), or as identified in section 326(e);

``(ii) is located in an area affected by a Gulf hurricane disaster; and

``(iii) is able to demonstrate that, as a result of the impact of a Gulf hurricane disaster, the 

institution--(I) incurred physical damage; (II) has pursued collateral source compensation from 

insurance, the Federal Emergency Management Agency, and the Small Business Administration, 

as appropriate; and (III) was not able to fully reopen in existing facilities or to fully reopen to the 

pre-hurricane enrollment levels during the 30-day period beginning on August 29, 2005.

``(B) Area affected by a gulf hurricane disaster; gulf hurricane disaster.--The terms `area affected 

by a Gulf hurricane disaster' and `Gulf hurricane disaster' 

have the meanings given such terms in section 209 of the Higher Education Hurricane Relief Act 

of 2005 (Public Law 109-148, 119 Stat. 2809).''.

SEC. 319. AUTHORIZATION OF APPROPRIATIONS.

Section 399(a) (20 U.S.C. 1068h(a)) is amended to read as follows:

``(a) Authorizations.--

``(1) Part a.--(A) There are authorized to be appropriated to carry out part A (other than sections 

316 through 320), $135,000,000 for fiscal year 2009, and such sums as may be necessary for 

each of the five succeeding fiscal years.

``(B) There are authorized to be appropriated to carry out section 316, $30,000,000 for fiscal 

year 2009, and such sums as may be necessary for each of the five succeeding fiscal years.

``(C) There are authorized to be appropriated to carry out section 317, $15,000,000 for fiscal 

year 2009, and such sums as may be necessary for each of the five succeeding fiscal years.
62

``(D) There are authorized to be appropriated to carry out section 318, $75,000,000 for fiscal 

year 2009 and each of the five succeeding fiscal years.

``(E) There are authorized to be appropriated to carry out section 319, $25,000,000 for fiscal year 

2009, and such sums as may be necessary for each of the five succeeding fiscal years.

``(F) There are authorized to be appropriated to carry out section 320, $30,000,000 for fiscal year 

2009, and such sums as may be necessary for each of the five succeeding fiscal years.

``(2) Part b.--(A) There are authorized to be appropriated to carry out part B (other than section 

326), $375,000,000 for fiscal year 2009, and such sums as may be necessary for each of the five 

succeeding fiscal years.

``(B) There are authorized to be appropriated to carry out section 326, $125,000,000 for fiscal 

year 2009, and such sums as may be necessary for each of the five succeeding fiscal years.

``(3) Part c.--There are authorized to be appropriated to carry out part C, $10,000,000 for fiscal 

year 2009, and such sums as may be necessary for each of the five succeeding fiscal years.

``(4) Part d.--(A) There are authorized to be appropriated to carry out part D (other than section 

345(9), but including section 347), $185,000 for fiscal year 2009, and such sums as may be 

necessary for each of the five succeeding fiscal years.

``(B) There are authorized to be appropriated to carry out section 345(9) such sums as may be 

necessary for fiscal year 2009 and each of the five succeeding fiscal years.

``(5) Part e.--(A) There are authorized to be appropriated to carry out subpart 1 of part E, 

$12,000,000 for fiscal year 2009, and such sums as may be necessary for each of the five 

succeeding fiscal years.

``(B) There are authorized to be appropriated to carry out subpart 2 of part E, such sums as may

be necessary for fiscal year 2009 and each of the five succeeding fiscal years.''.

SEC. 320. TECHNICAL CORRECTIONS.

Title III (20 U.S.C. 1051 et seq.) is further amended—

(1) in section 342(5) (20 U.S.C. 1066a(5))--

(A) in the matter preceding subparagraph (A), by inserting a comma after ''344(b)''; and

(B) in subparagraph (C), by striking ''equipment technology,,'' and inserting ''equipment, 

technology,'';

(2) in section 343(e) (20 U.S.C. 1066b(e)), by inserting ''Sale of Qualified Bonds.--'' before 

''Notwithstanding'';

(3) in the matter preceding clause (i) of section 365(9)(A) (20 U.S.C. 1067k(9)(A)), by striking 

``support'' and inserting ''supports'';

(4) in section 391(b)(7)(E) (20 U.S.C. 1068(b)(7)(E)), by striking ''subparagraph (E)'' and 

inserting ''subparagraph (D)'';

(5) in the matter preceding subparagraph (A) of section 392(b)(2) (20 U.S.C. 1068a(b)(2)), by 

striking ''eligible institutions under part A institutions'' and inserting ``eligible institutions under 

part A''; and

(6) in the matter preceding paragraph (1) of section 396 (20 U.S.C. 1068e), by striking ''360'' and 

inserting ''399''.
63

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.pdf

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# 84.031A, 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.
64

General Education Provisions Act (GEPA) Section 427

Section 427 requires each applicant to include in its application a description of the steps the 

applicant proposes to take to ensure equitable access to, and participation in, its federally-assisted 

program for students, teachers, and other program beneficiaries with special needs.

This section allows applicants discretion in developing the required description. The statute 

highlights six barriers that can impede equitable access or participation that you may address: 

gender, race, national origin, color disability, or age.

A general statement of an applicant’s nondiscriminatory hiring policy is not sufficient to meet this 

requirement. Applicants must identify potential barriers and explain steps they will take to 

overcome these barriers.

*Notes: 

 Applicants are required to address this provision by attaching a statement to the ED 

GEPA 427 Form that must be downloaded from Grants.gov. 

 All applicants must include information in their applications to address this provision in 

order to receive funding under this program.
65

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 2014-2018. 

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:

1. Postsecondary Education, Career and Technical Education, and Adult Education.

Increase college access, quality, and completion by improving higher education and 

lifelong learning opportunities for youth and adults.

2. Elementary and Secondary. Prepare all elementary and secondary students for college 

and career by improving the education system’s ability to consistently deliver excellent 

classroom instruction with rigorous academic standards while providing effective 

support services.

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.

4. Equity. Ensure effective educational opportunities for all students regardless of race, 

ethnicity, national origin, age, sex, disability, language, and socioeconomic status.

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, transparency, innovation, and technology.

6. U.S. Department of Education Capacity. Improve the organizational capacities of the 

Department to implement this Strategic Plan.
66

What are the Performance Indicators for SIP?

The specific performance indicators for SIP are as follows:

1. The number of full-time degree-seeking undergraduates enrolled at SIP institutions. Note 

that this is a long-term measure, which will be used periodically to gauge performance, 

beginning in FY 2009.

2. The percentage of first-time, full-time degree-seeking undergraduate students at 4-year 

SIP institutions who were in their first year of postsecondary enrollment in the previous 

year and are enrolled in the current year at the same SIP institution.

3. The percentage of first-time, full-time degree-seeking undergraduate students at 2-year 

SIP institutions who were in their first year of postsecondary enrollment in the previous 

year and are enrolled in the current year at the same SIP institution.

4. The percentage of first-time, full-time degree-seeking undergraduate students enrolled at 

4-year SIP institutions graduating within six years of enrollment.

5. The percentage of first-time, full-time degree-seeking undergraduate students enrolled at 

2-year SIP institutions who graduate within three years of enrollment. 

6. The cost per successful program outcome: federal cost per undergraduate and graduate 

degree at SIP institutions.

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

met?

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

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

goals and objectives are met.

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

https://apr.ed.gov. To login, please click on the training tab and request login information to 

obtain access. 
67

Instructions for Completing the Application

The SIP application consists of the following four parts. These parts are organized in the same 

manner that the submitted application should be organized. Remember to upload all forms and 

sections and follow carefully the Grants.gov application instructions. Note: All attachments 

must be PDF files. The parts are as follows: 

Part I: 424 Forms

 Application for Federal Assistance (SF 424)

 Department of Education Supplemental Information form for SF 424 

Part II: U.S. Department of Education Budget Summary Forms

 ED 524 (Section A and Section B) 

The “U.S. Department of Education Budget Information for Non-Construction Programs”

is where applicants provide budget information for Section A – Budget Summary U.S. 

Department of Education Funds and Section B – Budget Summary Non-Federal Funds.

Applicants should include costs for all project years. 

Part III: Department of Education Abstract Form

 Include a one-page Abstract as a PDF file. (If addressing the priority, please 

indicate so in the Abstract.)

Project Narrative Attachment Forms

 ED Abstract Form 

 Project Narrative Attachment Form

o Upload the 50-page (individual grants) or 70-page (cooperative grants)

responses to the selection criteria (project narrative); 

 Budget Narrative Attachment Form

 Program Profile

Other Attachments

Upload:

 the five-page competitive preference priority narrative and; 

 a separate PDF titled Evidence Studies (for the determination of moderate 

evidence) 

Part IV: Assurances, Certifications, and Survey Forms

 GEPA Section 427 requirement 

 Assurances for Non-Construction Programs (SF 424B)

 Lobbying Form (ED Form 80.0013)

 Disclosure of Lobbying Activities (SF-LLL)
68

ED Abstract Form: Attach your one-page project abstract that will provide an overview of the 

proposed project.

Project Narrative Attachment Form: The project narrative should include the narrative 

responses to the selection criteria and the competitive preference priority that will be used to 

evaluate your application submitted for this competition. Please include a Table of Contents as 

the first page of the application narrative. You must limit the application narrative to no more 

than 50 pages for the Individual Development Grant application or 70 pages for the Cooperative 

Arrangement Development Grant application. The Project Narrative pages should be 

consecutively numbered. If you are addressing the competitive preference priority, your 

response to the priority should not be more than five pages. This applies to both Individual and 

Cooperative Arrangement Development Grants. You must attach your project narrative to the 

Project Narrative Attachment Form in Grants.gov. Responses and studies addressing the 

competitive preference priority should be attached to the “Other Attachments” in Grants.gov.

Budget Narrative Attachment Form: Attach a detailed line item budget to justify that costs 

are reasonable and necessary to accomplish the proposed project objectives. Note: The selection 

criteria also require a budget section that you will respond to as a part of your project narrative. 

Program Profile: Included in this application is a SIP Program Profile. You must complete this 

profile and attach it to Part III, Project Narrative Attachment Form, in Grants.gov.

PDF of evidence studies to determine moderate evidence: In Part III, the Other Attachments

Form is where you attach both, your five-page Competitive Preference Priority-- Supporting 

Strategies for which there is Moderate Evidence of Effectiveness narrative and the 

accompanying evidence studies. 

NOTE: Please do not attach any narratives, supporting files, or application components to the 

Standard Form (SF 424). Although the form accepts attachments, the Department of 

Education will only review materials/files attached to the attachment forms listed above. All 

attachments must be in PDF format. Other types of files will not be accepted.
69

Project Narrative Instructions

The project narrative shall be attached to the “Project Narrative Attachment Form” in 

Grants.gov.

Before preparing the Project Narrative, applicants should review the program statute, program 

regulations, the Federal Register NIA, and the Dear Applicant Letter for specific guidance and 

requirements. 

The Secretary evaluates an application according to the program specific criteria in 34 CFR 

607.22. The Project Narrative should provide in detail the responses to each selection criterion. 

The maximum possible score for each category of selection criterion is indicated in parenthesis. 

For ease of reading by the reviewers, applicants should follow the sequence of the criteria as 

provided below. Applications should be written in a concise and clear manner. You must limit 

the section of the narrative that addresses the selection criteria and the competitive preference

priority to no more than 55 pages for the Individual Development Grant application or 75 pages 

for the Cooperative Arrangement Development Grant application. Applicants not addressing the 

competitive preference priority, must limit their responses to the selection criteria to 50 pages for 

Individual Development Grants or 70 pages for Cooperative Arrangement Development Grant 

applications.

Note: Please include a separate document with its own heading when responding to the 

competitive preference priority and attach it to the “Other Attachments Form” in Grants.gov. 

Applicants MUST address each of the following SIP selection criteria:

1. Quality of Comprehensive Development Plan (25 points)

2. Quality of Activity Objectives (15 points)

3. Quality of Implementation Strategy (20 points)

4. Quality of Key Personnel ( 7 points)

5. Quality of Project Management Plan (10 points)

6. Quality of Evaluation Plan (15 points)

7. Quality of Budget ( 8 points)

_________

Total Maximum Score for Selection Criteria 100 points

The following guidance may assist you in addressing the questions that will be used to 

evaluate your responses to the selection criteria:

(a) Quality of Comprehensive Development Plan (CDP)

(Maximum: 25 points). 

(1) The strengths, weaknesses, and significant problems of the institution’s 

academic programs, institutional management, and fiscal stability are clearly and 
70

comprehensively analyzed and result from a process that involved major 

constituencies of the institution. 

Content: Separately describe and analyze your institution's strengths, weaknesses, and 

significant problems in the following three areas as they relate to each proposed activity:

1. Academic programs,

2. Institutional management, and

3. Fiscal stability.

We are considering “weaknesses” and “significant problems” to be one and the same. 

Use the grant funds to address some of these weaknesses and problems. Here are some 

guidelines for stating the problems: 

 State what is “too high” or what is “too low.” For example, the percentage of freshmen 

students who fail four courses is too high. When you state the problem this way, the 

objectives become obvious. Such as, “to decrease, from 42 percent to 30 percent, the 

percentage of freshmen students who fail four courses.”

 Avoid problem statements that declare the problem as "the lack of " or "the need for" 

the very solution you are proposing for funding. Such as, “the problem with our 

academic programs is a lack of or need for student services outside the classroom. 

Thus, we propose an activity to establish those student services." This type of 

statement usually contains circular reasoning. 

 Provide summaries of or excerpts from recent data, reports, evaluations or studies that 

demonstrate that you have objectively and thoroughly analyzed your institution’s main 

problems. 

 Describe the process you used to formulate the above information. 

 Provide evidence of the extent and nature of the faculty, staff, students, community, 

industry, and other major constituents' involvement in this process. You may rely on 

previously written information, such as a self-study for accreditation, as long as your 

process for developing the information involved the major constituencies' 

representatives and reflects your institution's current situation.

(2) The goals for the institution’s academic programs, institutional management, 

and fiscal stability are realistic and based on comprehensive analysis. 

Content: Based on a comprehensive analysis of your institution's strengths, weaknesses, 

and significant problems, separately state the institutional goals as they relate to each

proposed activity you plan to address using Title III, Part A Strengthening Institutions 

Program funds. 
71

(3) The objectives stated in the plan are measurable, related to institutional goals, 

and if achieved, will contribute to the growth and self-sufficiency of the institution.

Content: Focusing only on the institutional objectives that are specifically related to 

your proposed Title III, Part A Strengthening Institutions Program activities, separately

provide measurable objectives for how you will reach each of the goals as you discussed 

in #2. Achieving the objectives outlined should contribute to the growth and selfsufficiency of the institution. 

Describe in measurable terms how objectives are related to the goals of the 

institution. The description should include details on the following:

Specific Tasks

Institutionalize personnel, programs, and services.

Methods Involved

Operational funding budgeted and allocated to sustain improvements.

Tangible Results

Program, services, and personnel fully institutionalized. 

(4) The plan clearly and comprehensively describes the methods and resources the 

institution will use to institutionalize practices and improvements developed under 

the proposed project, including, in particular, how operational costs for personnel, 

maintenance, and upgrades of equipment will be paid with institutional resources.

Content: In this section, separately describe the following for each proposed activity:

The methods your institution will use to integrate practices and improvements developed 

into its operations and, if appropriate, continue them after the grant ends. For example, 

provide specifics on how your institution will obtain approval from appropriate internal 

and/or external governance authorities to conduct new or revised curricula and use new 

intervention strategies. What will the time period be for these actions?

Provide the resources you will need to institutionalize newly developed practices and 

improvements and, most importantly, how you will fund them. In particular, discuss how 

your institution will fund operational costs such as personnel, maintenance, and upgraded 

equipment. For example, one way to ensure that positions continue after the grant ends is 

for your institution to pay a percentage of the salary during the grant and increase that 

percentage during years two, three, four, and five. 

(b) Quality of Activity Objectives (Maximum: 15 Points).

(1) The extent to which the objectives for each activity are realistic and defined in 

terms of measurable results.
72

Content: State your annual objectives, separately for each activity, which, when 

combined with their performance indicator(s), are measurable and realistic (not too high, 

not too low). Connect each objective to the problem or weakness it should address, as 

you described in the CDP. In addition: 

o DO NOT identify process objectives such as: "To establish a college-wide 

committee,” whose measurement is: "We formed a committee." Identify

processes or tasks under the Implementation Strategy as discussed next. 

o DO use words such as "to increase" or "to decrease" since you are more likely to be 

describing a genuine, outcome objective. 

o DO NOT begin your objective with words such as "to provide," "to develop," or "to 

establish." This heightens the likelihood you may be describing a process or task 

rather than an outcome objective. 

o DO provide a realistic number of objectives and performance indicators for each

proposed activity and for each year you are requesting funds for that activity.

(2) The extent to which the objectives for each activity are directly related to the 

problems to be solved and to the goals of the comprehensive development plan.

Content: Separately describe how meeting the objectives of each proposed activity

will address a problem identified in the CDP and affect your institution's ability to 

address its goals for its academic programs, institutional management, or fiscal 

stability.

If you need funds for more than one activity, you may propose different start and end 

dates and vary the duration of each. For example, you may need only three years to 

develop a new curriculum but five years to develop a new management information 

system. Any proposed activity should address a critical problem that the CDP describes 

as hindering institutional growth and self-sufficiency. If you propose to use up to 20% 

for endowment investing, do not write an activity narrative regarding this use of 

endowment investing, as we do not consider it an activity in the usual sense.

(c) Quality of Implementation Strategy (Maximum: 20 Points).

(1) The extent to which the implementation strategy for each activity is 

comprehensive. 

(2) The extent to which the rationale for the implementation strategy for each 

activity is clearly described and is supported by the results of relevant studies or 

projects.

Content: For each proposed activity, explain why you chose a specific method for 

implementing that activity. Include how you determined that method to be most 
73

effective, indicating relevant studies or projects that you reviewed and experts that you 

consulted. 

(3) The timetable for each activity is realistic and likely to be attained. 

 Chart an implementation strategy to meet your objectives for each year you are 

requesting funds and for each activity. 

 Use time frames that are realistic for completing a task. Chart each of the five 

years using the budget period of October 1 to September 30. 

 Describe in a comprehensive, sequential and clear manner who will do what and 

how they will do it to meet the objectives of each activity.

 Identify, by title, the primary participants who will carry out the tasks to meet the 

objectives. Describe how the personnel will perform the tasks and the results you 

expect from them.

(d) Quality of Key Personnel (Maximum: 7 Points). 

(1) The extent to which the experience and training of key professional personnel 

are directly related to the stated activity objectives.

(2) The extent to which the time commitment of key personnel is realistic.

Content: For each proposed activity, list, by title and name (if available) which positions 

are being proposed using Title III funds and describe the qualifications you require of that 

position and the amount of time each person will allot to the proposed activity. 

If you want to use a consultant, explain why a consultant is more advantageous than 

using the institution’s personnel.

(e) Quality of Project Management Plan (Maximum: 10 Points).

(1) The extent to which procedures for managing the project are likely to ensure 

efficient and effective project implementation. 

(2) The extent to which project coordinator and activity directors have sufficient 

authority to conduct the project effectively, including access to the president or chief 

executive officer.

For the Title III, Part A, Strengthening Institutions Program coordinator’s position, 

provide the following:

 Under “Quality of Key Personnel,” be sure to include the coordinator's required 

qualifications (education, experience, training, etc.) and the specific duties of the 

position. Directly relate the duties to the stated purposes and objectives of the 

project.
74

 Indicate how much time the Title III, Part A, coordinator will commit to the project. 

Make the time commitment realistic, not too high nor too low, relative to the tasks the 

individual will perform. 

Note: Your Title III, Part A coordinator’s time commitment to a project may vary

considerably from that in another project or another institution’s project. One project 

focused on developing a management information system, for example, may have a 

coordinator who is the director of technology in the ordinary hierarchy of the college. He 

or she may allot 10 percent time to coordinate the project for which the college will pay. 

On the other hand, a new coordinator of a faculty development project may be an 

instructional developer with a 50 percent time or 100 percent time commitment paid for 

with Title III, Part A, funds. Carefully think through the management structure and time 

commitment that will work best at your institution and specify the reasons for your 

choice.

 Describe the procedures the project coordinator (project director) will use to manage 

and monitor the project's progress such as how information will be provided to key

administrators so they can integrate project activities with related, on-going 

institutional activities.

 Describe the project coordinator's (project director) administrative authority over the 

activity director(s) who is normally responsible for accomplishing a specific activity's 

objectives. Also, describe the administrative authority of the activity director(s) over 

subordinates. 

 Chart the lines of authority of the project coordinator to key institutional decision 

makers, including the president. 

(f) Quality of Evaluation Plan (Maximum: 15 Points). 

(1) The extent to which the data elements and the data collection procedures are 

clearly described and appropriate to measure the attainment of activity objectives 

and to measure the success of the project in achieving the goals of the 

comprehensive development plan.

Content: For each proposed activity, describe the data collection procedures the 

institution will use to identify the data elements, objectives, and goals identified in the 

CDP. Include measure attainment of each proposed activity. Include procedures for 

analyzing and using both formative and summative data.

(2) The extent to which the data analysis procedures are clearly described and are 

likely to produce formative and summative results on attaining activity objectives 

and measuring the success of the project on achieving the goals of the 

comprehensive development plan. 
75

Content: For each proposed activity, describe in detail the project's evaluation plan, 

including who, what, when and how. Define the baseline indicators of progress that you 

will use. 

The detailed evaluation plan should:

 Produce a valid assessment of your implementation strategies; 

 Result in annual, quantifiable evidence of the extent to which you attained your 

objectives for each activity and your goals for which funding is requested; 

 Include the data elements and collection procedures that you will use; and

 Describe procedures for analyzing and using both formative and summative data. 

All applicants must submit a plan to conduct a project evaluation as part of their grant 

activities. The planned evaluation should be systematic in assessing the worth of a 

project and useful in guiding project objectives and focus primarily on determining the 

outcomes and impacts of the project relative to those objectives. The evaluation should 

also serve to strengthen the management of the project and lead to better knowledge of 

what works in producing the desired outcomes.

An individual or organization, independent of the project team (and all of its partners), 

but not necessarily external to the grantee institution, should execute the project 

evaluation plan. This independent evaluator should assist in the initial preparation of the 

evaluation plan and be willing to work alongside the project team throughout the duration 

of the project. The evaluator should possess good evaluation skills commonly found 

among practitioners of the American Evaluation Association. Helpful Web sites to 

consult when preparing an evaluation plan include:

 Department of Education’s Fund for the Improvement of Postsecondary Education: 

http://www.ed.gov/about/offices/list/ope/fipse/evaluate.html

 National Science Foundation: 

http://www.nsf.gov/pubs/2004/nsf04016/nsf04016_4.htm

 Kellogg Foundation: 

http://www.wkkf.org/default.aspx?tabid=75&CID=281&NID=61&LanguageID=0 

(for their evaluation handbook)

 Academic Competitiveness Council 

http://hub.mspnet.org/search/?action=true&search_text=evaluation

The project director and team should be committed to gathering the best evaluation data 

possible for formative and summative purposes. Projects should collect baseline data 

before the project starts as a basis for measuring progress. 

A summary of the evaluation report must be included in the final performance report 

submitted by the project to the Department of Education. The report, which also includes 
76

fiscal and management performance information, is due within 90 days after expiration of 

the award. The evaluation report should be included as an appendix to the final 

performance report as well as available upon request. (Please see 34 CFR 75.217 for 

information on how project performance may affect future funding.) 

For the Title III, Strengthening Institutions Program, the evaluation plan should produce a 

valid assessment of the implementation strategies. It should also result in annual, 

quantifiable evidence of the attainment of objectives for each activity and of the goals in 

the CDP. 

(g) Budget (Maximum: 8 Points).

The extent to which the proposed costs are necessary and reasonable in relation to 

the project’s objectives and scope.

Content: Review the program regulations (34 CFR 607.10 and 607.30) for guidance on 

which activities and costs are allowable. For example, you may not use your grant funds 

to:

- Recruit students;

- Provide scholarships for students;

- Carry out activities that are operational rather than developmental;

- Carry out student activities such as entertainment, cultural or social enrichment 

programs, student publications, social clubs or associations;

- Pay for organized fund raising and; 

- Cover indirect costs.

Prepare a separate, detailed, budget narrative for each proposed activity for each year you 

are requesting grant funds. Demonstrate and justify that all costs are reasonable in 

today’s market and necessary to accomplish your activity objectives. Please pay

particular attention in your justification to those (per item) costs exceeding $25,000, 

excluding salaries and fringe benefits. For each activity, provide itemized costs (in 

dollars), and a narrative justification to support your request for:

 Personnel

 Fringe Benefits

 Travel

 Equipment

 Supplies

 Contractual

 Construction

 Other

 Total

You must provide details so we can determine if the costs are allowable, necessary and 

reasonable. 
77

NOTE: The Title III, Strengthening Institutions Program, CFDA 84.031A, does not 

reimburse grantees for indirect costs they incur in carrying out a project funded 

under this program. Therefore, applicants should not show any dollar amounts for 

indirect costs on either line 10 of the application budget form (ED 524) or in their 

budget narrative. Applicants should also be aware that un-reimbursed indirect 

costs under grants of this program may not be charged as direct cost items in the 

same award, used to satisfy matching or cost-sharing requirements, or charged to 

another Federal award.

Do not include a budget narrative (as a separate activity) for endowment investing. 

Note: Check all combined totals for the proposed activity budgets and compare it to the 

total on the ED 524. The totals must match. 

U. S. Department of Education Budget Information Non-Construction Programs (Section 

A - Budget Summary U.S. Department of Education Funds and Section B – Budget 

Summary Non-Federal Funds (ED 524 form)).

First, carefully read the instructions contained in this document. Then, using the 

Department of Education Budget Information for Non-Construction Programs (ED524) 

form, prepare a budget for the entire project that totals all the costs for each year of the 

grant. If you choose to use up to 20 percent of grant funds to establish or increase your 

institution’s endowment fund through endowment investing, enter the amount of your 

contribution in the summary budget on the “other” line. If you have additional items for 

the other category, separate the endowment contribution from the other items and make 

two entries for “other.” Endowment monies should be listed first. 
78

Competitive Preference Priority Narrative

For the FY 2015 84.031A SIP competition, there is one competitive preference priority: 

Supporting Programs, Practices, or Strategies for which there is Moderate Evidence of 

Effectiveness.

Only projects that are supported by moderate evidence (as defined in the FY 2015, Title III, Part 

A, SIP competition Federal Register NIA) will be considered for the additional three (3) points.

The purpose of the evidence preference is to provide grants for proposed projects that have 

demonstrated evidence of effectiveness. As such, in responding to this preference, applicants are 

encouraged to explain how one of their activities in the application is supported by moderate 

evidence. To determine moderate evidence, applicants must identify a minimum of one to a 

maximum of two pieces of evidence that they deem the best indicator(s) that this activity meets 

the definition of moderate evidence. 

Applicants should also consider how their proposed implementation of practices with an existing 

evidence base presents new opportunities for evaluation or knowledge-building about these 

practices that could be used to improve these practices either at their institution or in other 

contexts.

If addressing the priority, you may use up to an additional five pages to address the competitive

priority, for a maximum total of 55-pages for individual grants and 75-pages for cooperative 

arrangement grants. No portion of these five pages can be used as additional pages to respond to 

the selection criteria. An applicant must include all supporting evidence in PDF format. 

This PDF information, will be attached as a separate document in Part III (Other Attachments

Form) in Grants.gov, with the title: Evidence Studies. If the Department determines that an 

applicant has provided insufficient information, the applicant will not have an opportunity to 

provide additional information to support the application.
79

Instructions for Standard Forms

o Instructions for the SF-424

o Instructions for Department of Education Supplemental Information for SF 

424

o Definitions for Department of Education Supplemental Information for SF 

424

o Instructions for ED 524

o Instructions for Completion of SF-LLL, Disclosure of Lobbying Activities

Other Information and Guidance:

o Supplemental Information and Instructions
89

Supplemental Information and Instructions 

SIP Profile: All applicants must complete the information requested on this page. Using the profile, the 

applicant will provide information on assurances and eligibility. Do not modify, amend or delete any of 

this document. 

Applicants must copy and paste this page into a separate document, or recreate the page exactly as it 

appears. Then, complete the page, save it to your computer and attach it to Part III, Project Narrative

Attachment Form, in Grants.gov, as a PDF document. Do not modify or amend the contents of the form 

in any way. 

Page Limits: The project narrative (Part III of the application) is where you, the applicant, address the 

selection criteria that reviewers use to evaluate your application. We have established mandatory page 

limits for Individual Development Grant applications and for Cooperative Arrangement Development 

Grant applications. Applicants not addressing the competitive preference priority must limit their 

narrative to no more than 50 pages for individual grants and 70-pages for cooperative grants. Applicants 

addressing the priority are limited to five additional pages for the competitive preference priority, for a 

total of 55-pages for individual grants and 75-pages for cooperative grants. 

Note: Please include a separate heading when responding to the competitive preference priority. 

The page limit does not apply to Part I, the Application for Federal Assistance (SF 424); the Department 

of Education Supplemental Information form (SF 424); Part II, Budget Information—Non-Construction 

Programs (ED Form 524); Part III, the one-page project abstract, the Program Profile, the PDF titled 

Evidence Studies; and Part IV, the assurances and certifications. However, the page limit does apply to 

all of the project narrative section (attached in Part III), including the budget narrative of the selection 

criteria. If you include any attachments or appendices not specifically requested in the application 

package, these items will be counted as part of the project narrative (Part III) for purposes of the page 

limit requirement. You must include your complete response to the selection criteria in the project 

narrative.

Formatting Requirements: A ‘‘page’’ is 8.5′′ x 11,′′ on one side only, with 1 inch margins at the top, 

bottom, and both sides. Double space (no more than three lines per vertical inch) all text in the 

application narrative, except titles, headings, footnotes, quotations, references, captions and all text in 

charts, tables, and graphs. Use one of the following fonts: Times New Roman, Courier, Courier New, or 

Arial. Applications submitted in any other font (including Times Roman and Arial Narrow) will not be 

accepted. Use font size 12.

Special Note: No special accommodations or reformatting justifications will be given for any 

applications not meeting page limits and formatting requirements.
90

84.031A Strengthening Institutions Program Profile

INSTRUCTIONS: ALL applicants must complete these pages. The completed pages must be 

attached to the “Other Attachments Form” in the application package in the Grants.gov system 

(as a .PDF document). DO NOT MODIFY OR AMEND THESE PAGES.

OPE ID #___________

1. INSTITUTION (Legal Name):

_____________________________________________________________________ 

2. Are you applying as a Branch Campus? _____YES _____NO

3. ADDRESS (Applicants must indicate the address where the project will be located):

Project Address: _______________________________________________________

City: _____________________________________State: ______Zip: _____________

4. ENDOWMENT FUND ASSURANCE:

□ By checking this box (or placing an “X” beside it), an applicant certifies that the 

institution of higher education proposes to use up to twenty percent (20%) of the 

Strengthening Institutions Program grant award, made under the authority of Title III, Part A 

of the Higher Education Act of 1965, as amended, to establish or increase the institution’s 

endowment fund. The institution agrees to abide by the Department of Education’s 

regulations governing the Endowment Challenge Grant program, 34 CFR Part 628, the 

program statute, and the program regulations, 34 CFR Part 607. The institution further 

agrees to raise the required matching funds.

5. COOPERATIVE ARRANGEMENT FOR PARTICIPATING INSTITUTIONS: The applicant 

institution must provide for each Participating Institution: the Institution Name, DUNS 

Number, Location (City and State).

6. Tie-Breaker Information

If the selection process ends in a tie and funds are not sufficient to fund all institutions, we 

will use the information provided here to determine who will receive a grant. In accordance 

with Section 607.23(b), the Secretary will award up to three (3) additional points based on 

the information provided here.

Content: On a separate page, provide the following information:

TOTAL 2012-2013 FULL-TIME EQUIVALENT (FTE) STUDENTS=___________

 Total market value of endowment fund at the end of 2012-2013 $__________

B. Total expenditures for library materials during 2012-2013 $__________

C. Check all activities the applicant proposes to carry out in application: 
91

a. Faculty development ____________

b. Funds and administrative management ____________

c. Development and improvement of academic ____________

programs

d. Acquisition of equipment for use in strengthening ____________

management and academic programs

e. Joint use of facilities ____________

f. Student services ____________
92

Application Checklist

Use This Checklist While Preparing Your Application Package: All items listed on this 

checklist are required.

 Application for Federal Assistance (SF 424) 

 Department of Education Supplemental Information for SF 424 

 Department of Education Budget Information Non-Construction Programs Form (ED 524)

 One-Page Program Abstract – Attached to the “ED Abstract Form” in Grants.gov

 Project Narrative for the proposed grant – Attached to the “Project Narrative Attachment Form” in 

Grants.gov. 

 Narrative for the competitive preference priority narrative, titled: “Competitive Preference Priority

-- Supporting Programs, Practices, or Strategies for which there is Moderate Evidence of 

Effectiveness.”) – Attached to the “Other Attachments Form” in Grants.gov

 Budget Narrative – Attached to the “Budget Narrative Attachment Form” in Grants.gov

 Strengthening Institutions Program Profile – Attached to the “Project Narrative Attachment Form” 

in Grants.gov

 PDF of Evidence Studies – Attached to the “Other Attachments Form” in Grants.gov

 Assurances and Certifications – found in Grants.gov

 Assurances for Non-Construction Programs (SF-424B)

 Grants.gov Lobbying Form (ED 80-0013)

 Disclosure of Lobbying Activities (SF-LLL)

 ED GEPA 427 Form
93

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 65 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 benefit as authorized by Title III, Part A, Sections 311-315, of the Higher Education Act of 1965, 

as amended by the HEOA; and governed by the program regulations in 34 CFR Part 607. Send comments 

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

for reducing this burden, to regulations.gov during the public comment period for this collection of 

information. If you have specific questions about the form, instrument or survey, please contact: Nalini 

Lamba-Nieves, Strengthening Institutions Program, U.S. Department of Education, 1990 K Street, NW, 

Room 6024, Washington, DC 20006-8544 directly.