U. S. DEPARTMENT OF EDUCATION

Office of Postsecondary Education 

Washington, DC 20006-8510

Fiscal Year 2014

APPLICATION FOR GRANTS 

UNDER THE

Title III, Part A

Alaska Native and Native Hawaiian-Serving Institutions Program

CFDA # 84.031N and 84.031W

Form Approved

OMB No. 1840-0810, Exp. Date: 

CLOSING DATE: June 2, 2014
i

Table of Contents

Page

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

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

Grants.gov Submission Procedures and Tips for Applicants.......................... 5 

Application Transmittal Instructions..................................................... 9

Notice Inviting Applications for New Awards.................................................... 11

Program Statute.............................................................................. 44

Intergovernmental Review................................................................. 56

General Education Provisions Act (GEPA).................................................. 57

Government Performance and Results Act (GPRA).................................... 58 

INSTRUCTIONS

Instructions for Completing the Application............................................. 60

Instructions for Project Narrative ........................................................... 62

Instructions for Priorities................................................................. 71 

Instructions for Standard Forms........................................................... 72 

Paperwork Burden Statement.............................................................. 73 
1

Dear Applicant:

Thank you for your interest in applying for a new grant under the fiscal year (FY) 2014 Title III, 

Part A, Alaska Native and Native Hawaiian-Serving Institutions (ANNH) Programs grant 

competition (Catalog of Federal and Domestic Assistance [CFDA] numbers 84.031N and 

84.031W). This letter highlights specific elements in the Title III, Part A, ANNH Competition 

Application Package. As you formulate your application, please review these requirements

carefully, and thoroughly review the entire Application Package before preparing and submitting 

your application.

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

(IHE) must have applied for and been designated as an eligible institution. The Notice Inviting 

Applications for the Designation as an Eligible Institution was published in the Federal Register

on January 13, 2014.

The FY 2014 ANNH grant competition offers IHEs two distinct application options. Under the 

Title III, Part A, ANNH Program applicants may address two Competitive Preference Priorities 

(CPPs) and one Invitational Priority (IP). Under the Title III, Part F, ANNH Program, covered in 

a separate document, applicants may address two CPPs and two IPs. Applicants will be given an 

additional five pages if addressing the CPPs, and an additional five pages if addressing the IP(s). 

This ANNH, Part A, Application Booklet includes two CPPs and one IP. The CPPs are 1) 

Increasing Postsecondary Success and 2) Improving Productivity. Each CPP affords applicants 

the possibility of adding two (2) additional points to an application’s total score. Therefore, an 

institution could earn up to four (4) additional points. Applicants who do not address the CPPs 

will receive no (0) priority points. Please note that non-Federal reviewers will proportionately

award points to each CPP response. The IP is: Support Activities that strengthen Native 

language preservation and revitalization at our institutions of higher education. There are no 

points associated with the IP.

The Department of Education (Department) strongly encourages applicants to address the CPPs

and the IP. In order to secure the highest possible CPP score, the Department encourages 

applicants to provide thorough CPP responses. For additional information about the CPPs, refer 

to the Federal Register Notice Inviting Applications for New Awards for FY 2014. The notice is 

included in this Application Package.

In FY 2014, the Title III, Part A, ANNH competitions (84.031N and 84.031W) will award both 

Individual Development and Cooperative Arrangement Development Grants.

Applications for FY 2014 grants under the Title III, Part A, ANNH Program must be submitted 

electronically using Grants.gov at: http://www.grants.gov. At least two weeks before the 

deadline date an applicant who is unable to submit using Grants.gov must submit a written 

request to waive the electronic submission requirement. 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 
2

Highlights,” the Notice published in the Federal Register, and the transmittal instructions that are 

included in this Application Package. 

The Notice Inviting Applications for New Awards published in the Federal Register is the 

official document describing the requirements for submitting a Title III, Part A, ANNH grant 

application. Applicants should not rely upon any information that is inconsistent with the 

guidance provided in the official document. 

If you have any questions or require additional information, please contact LaTonya Brown by

email at latonya.brown@ed.gov, or by telephone at (202) 502-7619. For an overview of 

significant competition elements, we encourage applicants to review the Application Package 

“Competition Highlights” section.

We appreciate your interest in the Alaska Native and Native Hawaiian Serving Institutions

Program and look forward to receiving your application.

Sincerely,

/s/

Linda Byrd-Johnson

Acting Deputy Assistant Secretary

 for Higher Education Programs
3

Competition Highlights 

1. Title III, Part A, ANNH grant applications for FY 2014 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:

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

require 5 or more days to complete.

ii. 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.

iii. 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. Authorized grant activities for ANNH are listed in Title III, Part A, Section 317 of the Higher 

Education Act of 1965, as amended (HEA). A copy of this section is included in this 

application package.

6. There are two competitive preference priorities (CPP) under this competition. Each CPP is 

worth two points. We award up to an additional four points total to an application, 

depending on how well the application meets both CPPs. Applicants must address the CPPs

in order to receive any additional points. Applicants who do not address either of the CPPs

will not receive points for the CPPs. The CPPs are: 1) Increasing Postsecondary Success and 

2) Improving Productivity. 
4

7. There is one invitational priority (IP) under this competition. There are no points association 

with the IP. The IP is: “Support Activities that strengthen Native language preservation and 

revitalization at our institutions of higher education”. 

8. 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. 

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

application. The page limit for an Individual Development Grant is no more than 50 pages. 

and the page limit for a Cooperative Arrangement Grant is no more than 70 pages. 

10. If addressing CPPs 1, 2 or both, you will be permitted five additional pages. Each Priority 

should include a separate heading, and should be uploaded as a pdf file only in the 

“Other/CPP” section in Grants.gov. If addressing the IP, you will be permitted five 

additional pages. The IP should also have a separate heading, and should be uploaded as a 

pdf file only in the “Other/IP” section in Grants.gov. 

11. All grant applicants for ANNH must have applied for and received FY 2014 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 March 14, 2014.

12. Your institution's application for a FY 2014 Title III, Part A, ANNH grant MUST be in the 

same name provided in the FY 2014 Designation of Eligibility application, or it will be 

deemed not eligible to be read.

13. For FY 2014, applicants can only receive funding for one Title III or Title V program.

14. All applicants are required to submit an ANNH Program Profile Form (page 83), which 

contains the tie-breaker information. Applicants are asked to carefully read question #4 on 

the Program Profile Form information 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. 

15. 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.”

16. Information on ANNH is accessible at the Department’s Web site at: 

http://www2.ed.gov/about/offices/list/ope/idues/index.html
5

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 – 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 a newer version of Adobe reader 

(Grants.gov recommends Adobe Reader 10.1.4). Information on computer and operating system 

compatibility with Adobe, links to download a newer version, and warnings about using Adobe 

Reader XI are all available on Grants.gov. 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. 

Applicants are required to upload their attachments in .pdf format only. (See details below under 

“Attaching Files – Additional Tips.”). 

Please be aware that Grants.gov has discovered an issue with the newest version of 

Adobe Reader XI.

Applicants may encounter the following error that will prevent them from submitting 

their application:

"At least one required Field was empty. Please fill in the required field (highlighted) 

before continuing."

Grants.gov recommends that if applicants encounter this issue, they submit their 

application using any version below Adobe Reader XI. Please refer to the compatibility

table for additional information about supported versions of Adobe Reader. If you have 

any questions regarding this matter please email the Grants.gov Contact Center at 

support@grants.gov or call 1-800-518-4726.

1) REGISTER EARLY – Grants.gov registration may take five or more business days to 

complete. 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. For detailed information on the Registration Steps, please go to: 

http://www.grants.gov/web/grants/applicants/organization-registration.html
6

2) [Note: Your organization will need to update its System for Award Management (SAM) 

registration annually (formerly Central Contractor Registry (CCR)*.]

3) 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 of 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. Please discuss with your central grants office if the application is for a 

branch campus.

4) 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, of the deadline 

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

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

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

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

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

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

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

Adobe Reader Error Messages document at 

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

If you discover your application is late or has been rejected, please see the instructions 

below. Note: You will receive a series of confirmations both online and via e-mail about 

the status of your application. PLEASE DO NOT RELY SOLELY ON E-MAIL TO 
7

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/contactus/contactus.jsp, or 

access the Grants.gov Self-Service web portal at: https://grantsportal.psc.gov/Welcome.aspx?pt=Grants

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

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

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

postmarked by midnight on the deadline date.

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

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

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

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

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

Helpful Hints When Working with Grants.gov

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

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

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

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

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

Please go to http://www.grants.gov/contactus/contactus.jsp 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/applicants/submit_application_faqs.jsp. 

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/help/download_software.jsp. If

electronic submission is required and you are concerned about your ability to submit 
8

electronically as a non-windows user, please follow instructions in the Federal Register 

notice to obtain an exception to the electronic submission requirement no later than two 

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

instructions.)

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

Department approved file type accepted as detailed in the Federal Register 

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

files to their application. Specifically, the Department will not accept any 

attachments that contain files within a file, such as PDF Portfolio files, or an 

interactive or fillable .PDF file. Any attachments uploaded that are not .PDF files or 

are password protected files will not be read. If you need assistance converting your 

files to a .pdf format, please refer to the following Grants.gov webpage with links to 

conversion programs under the heading of additional resources: 

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

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

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

must 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 filenames 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. 

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

graphics and/or scanned material often greatly increase the size of the file attachments and 

can result in difficulties opening the files. For reference, the average discretionary grant 

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

your package before submission.

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

(SAM) effective July 30, 2012. For more information on the migration of CCR data to SAM, grant applicants 

should read this information located on Grants.gov: 

http://grants-gov.blogspot.com/2012/07/information-about-pending-migration.html#!/2012/07/information-aboutpending-migration.html.
9

Application Transmittal Instructions

ATTENTION ELECTRONIC APPLICANTS: Please note that you must follow the Application 

Procedures as described in the Federal Register notice announcing the grant competition. 

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

instructions can be found in the Federal Register notice. 

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

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

by mail, commercial carrier or by hand delivery.

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

requirements:

Applications Submitted Electronically:

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

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 e-Application, 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 Numbers 84.031N&W)

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. 

(4) Any other proof of mailing acceptable to the Secretary of the U.S. Department of Education.
10

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 Numbers 84.031N&W)

550 12th Street, SW.

Room 7041, Potomac Center Plaza

Washington, DC 20202-4260 

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

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

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

application to the Department--

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

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

are submitting your application; and

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

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

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

Control Center at (202) 245-6288.

Late Applications

If your application is late, we will notify you that we will not consider the application.
11

Notice Inviting Applications

4000-01-U

DEPARTMENT OF EDUCATION

Applications for New Awards Under Title III, Part A, Alaska 

Native and Native Hawaiian-Serving Institutions (ANNH) Program 

AGENCY: Office of Postsecondary Education, Department of 

Education.

ACTION: Notice.

Overview Information:

Title III, Part A, Alaska Native-Serving and Native HawaiianServing Institutions (ANNH) Program Notice inviting applications 

for new awards for fiscal year (FY) 2014.

Catalog of Federal Domestic Assistance (CFDA) Numbers: 84.031W 

and 84.031N.

Dates:

Applications Available: April 16, 2014.

Deadline for Transmittal of Applications: June 2, 2014.

Deadline for Intergovernmental Review: August 4, 2014.

Full Text of Announcement

I. Funding Opportunity Description

Purpose of Program: The Title III, Part A, ANNH program is 

authorized under Section 317 of the Higher Education Act (HEA) 

of 1965, as amended to provide grants to eligible institutions 

of higher education (IHEs) to enable them to improve and expand 
12

their capacity to serve Alaska Natives and Native Hawaiians 

under either a five-year Development grant or a five-year 

Cooperative Arrangement grant, or both, to carry-out allowable 

activities to improve their academic quality, institutional 

management, and fiscal stability in order to increase their 

self-sufficiency and strengthen their capacity to make a 

substantial contribution to the higher education resources of 

the Nation. Institutions may use these grants to plan, develop, 

or implement activities that promise to strengthen the 

institution.

Priorities: This notice contains two competitive preference 

priorities from the Department of Education(Department)notice of 

final supplemental priorities and definitions for discretionary 

grant programs, published in the Federal Register on December 

15, 2010 (75 FR 78486), and corrected on May 12, 2011 (76 FR 

27637). This notice contains one invitational priorities 

approved by the Department.

Competitive Preference Priorities: For FY 2014 and any 

subsequent year in which we make awards from the list of 

unfunded applicants from this competition, these priorities are 

competitive preference priorities. Under 34 CFR 

75.105(c)(2)(i), we award up to two points for each competitive 

preference priority for an additional four points total to an 
13

application, depending on how well the application meets these 

priorities. 

These priorities are:

Competitive Preference Priority 1--Increasing Postsecondary 

Success: College Completion (2 points). 

Projects that are designed to address the following 

priority area: increasing the number and proportion of highneed students (as defined in this notice) who persist in and 

complete college or other postsecondary education and training.

Note: In responding to this priority, applicants are 

encouraged to discuss how all strategies they propose to carry 

out would improve postsecondary success.

 Competitive Preference Priority 2--Improving Productivity.

Projects that are designed to significantly increase 

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

while improving student learning or other educational outcomes 

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

innovative and sustainable uses of technology, modification of 

school schedules and teacher compensation systems, use of open 

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

strategies. 

Note: The types of projects identified in Competitive 

Preference Priority 2 are suggestions for ways to improve 

productivity. The Department recognizes that some of these 
14

examples, such as modification of teacher compensation systems, 

may not be relevant to this program. Accordingly, applicants 

should consider responding to this competitive preference 

priority in a way that improves productivity in a relevant 

higher education context.

Invitational Priorities: For FY 2014 the Department is 

encouraging applicants to address the invitational priority. 

The priority is:

Invitational Priority 1—Support Activities that strengthen 

Native language preservation and revitalization at our 

institutions of higher education.

NOTE: There are no additional points awarded for the 

invitational priority. 

Definitions: 

The following definitions are from the notice of final 

supplemental priorities and definitions for discretionary grant 

programs published in the Federal Register on December 15, 2010 

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

apply to the priorities in this notice:

High-need children and high-need students means children 

and students at risk of educational failure, such as children 

and students who are living in poverty, who are English 

learners, who are far below grade level or who are not on track 

to becoming college- or career-ready by graduation, who have 
15

left school or college before receiving, respectively, a regular 

high school diploma or a college degree or certificate, who are 

at risk of not graduating with a diploma on time, who are 

homeless, who are in foster care, who are pregnant or parenting 

teenagers, who have been incarcerated, who are new immigrants, 

who are migrant, or who have disabilities.

Open educational resources (OER) means teaching, learning, 

and research resources that reside in the public domain or have 

been released under an intellectual property license that 

permits their free use or repurposing by others.

Privacy requirements means the requirements of the Family 

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

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

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

local requirements regarding privacy.

Program Authority: 20 U.S.C. 1057–1059d and 1067q.

Applicable Regulations: (a) The Education Department General 

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

79, 82, 84, 85, and 86. (b) The regulations for this program in 

34 CFR part 607. (c) The notice of final supplemental 

priorities and definitions for discretionary grant programs, 

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

78486), and corrected on May 12, 2011 (76 FR 27637).
16

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

except federally recognized Indian tribes.

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

of higher education only.

Note: The eligibility criteria for this competition, including 

the enrollment of needy students and expenditure provisions, are 

set forth in section III. 1. Eligible Applicants of this 

notice. The tie-breaker provisions are set in section V. 3. 

Tie-breaker for Grants of this notice.

II. Award Information

Type of Award: Discretionary grants. Five-year Individual 

Development Grants and/or Five-year Cooperative Arrangement 

Grants will be awarded in FY 2014.

Estimated Available Funds: $2,259,000 

Contingent upon the availability of funds and the quality 

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

the list of unfunded applicants from this competition.

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

Maximum Award: We will reject any application that proposes a 

budget exceeding $1,000,000 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.
17

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

notice.

Project Period: Up to 60 months.

III. Eligibility Information

1. Eligible Applicants: This program is authorized by 

Title III, Part A, of the HEA. An IHE that qualifies as an 

eligible institution under the ANNH programs may apply for 

grants under this notice. At the time of application, an Alaska 

Native-Serving Institution must have an enrollment of 

undergraduate students that is at least 20 percent Alaska 

Native. 34 CFR 607.2(e). At the time of application, a Native 

Hawaiian-Serving Institution must have an enrollment of 

undergraduate students that is at least 10 percent Native 

Hawaiian. 34 CFR 607.2(f). To qualify as an eligible 

institution under any Title III, Part A program, an institution 

must --

(1) Be accredited or preaccredited 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;

(2) Be legally authorized by the State in which it is 

located to be a junior college or to provide an educational 

program for which it awards a bachelor's degree; 
18

(3) Be designated as an “eligible institution” by 

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

as described in 34 CFR 607.3; and B) has 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 Designation as 

Eligible Institutions for FY 2014 was published in the Federal 

Register on January 13, 2014, and the deadline for submission of 

the designation of eligibility application was March 14, 2014. 

Only institutions that submitted the required application and 

received designation through this process are eligible to submit 

applications for this competition.

Relationship between Title III, Part A and Part F, and Title V 

Programs.

Note 1: Title III, Part A and Title V, - A current 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. 

Note 2: Title III, Part A - current grantee under the Strengthening 

Institutions Program (SIP), Asian American and Native American Pacific 

Islander-Serving Institutions (AANAPISI) program, Native AmericanServing Nontribal Institutions (NASNTI) program, and the Alaska Native 

and Native Hawaiian (ANNH) program which is authorized under Title 
19

III, Part A Section 311 of the HEA, may not receive a grant authorized 

under any other Title III, Part A program under Section 311. 

Note 3: Title III, Part F - A current grantee applying under the 

Asian American and Native American Pacific Islander-Serving 

Institutions (AANAPISI), Native American-Serving Nontribal 

Institutions (NASNTI), Hispanic Serving Institutions–STEM and 

Articulation (HSI-STEM), Predominantly Black Institutions (PBI) 

programs, and the Alaska Native and Native Hawaiian (ANNH) program 

authorized by Title III, Part F, Section 371 of the HEA, may not 

receive a grant authorized under any other Title III, Part F program 

under Section 371. 

Note 4: Title III, Part A, Part F and HSI-Stem - An eligible IHE 

may submit and receive one Title III, Part A grant and one Title III, 

Part F grant, which also include the Title III, Part F HSI-Stem

Program, simultaneously for which it is eligible to apply. 

Note 5: Title V, Title III, Part F and Part F, HSI-Stem - An 

eligible IHE may submit and receive one Title V grant and one Title 

III, Part F grant, which also include the Title III, Part F HSI-Stem

Program, simultaneously for which it is eligible to apply. 

Note 6: Individual Development Grant and Cooperative Arrangement 

Grant - An eligible IHE that submits more than one application, an 

individual development grant and a cooperative arrangement grant, may

be awarded both an individual development grant and a cooperative 

arrangement grant in the same fiscal year. However, we will not award 
20

a second cooperative arrangement grant to an otherwise eligible IHE 

for the same award year as the IHE’s existing cooperative arrangement 

grant award. 

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

require cost sharing or matching.

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: 

http://Grants.gov. If you do not have access to the Internet, 

please contact LaTonya Brown, U.S. Department of Education, 1990 

K Street, NW., room 6029, Washington, DC 20006-8513. Telephone: 

(202) 502-7619; or, by e-mail: latonya.brown@ed.gov.

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

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

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

Individuals with disabilities can obtain a copy of the 

application package in an accessible format (e.g., braille, 
21

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

program contact person listed in this section.

2. Content and Form of Application Submission: 

Requirements concerning the content of an application, together 

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

for this program.

Page Limits: The application narrative (Part III of the 

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

criteria. The Competitive Preference Priorities and 

Invitational Priorities will be uploaded in the “Other/CPP” 

section and the “Other/IP” section, which you will be permitted 

only five additional pages for each section. We have 

established mandatory page limits for the Individual Development 

Grant and Cooperative Arrangement Grant applications. You must 

limit the application narrative (Part III) to no more than 50

pages for the Individual Development Grant; and 70 pages for 

cooperative arrangement grants.

Note: Please include a separate heading when responding to the 

ALL priorities. For the purpose of determining compliance with 

the page limit, each page on which there are words will be 

counted at one full page. Applicants must use the following 

standards.
22

 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 outside the 1” margin.

 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, figures, and graphs. 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). 

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

Courier, Courier New, or Arial. An applications submitted in 

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

be accepted.

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

for Federal Assistance (SF-424); the Supplemental Information 

for SF-424 Form required by the Department of Education; Part 

II, the Budget section, Budget Information Non-Construction 

Programs (ED 524), (not including the narrative budget 

justification—which is a part of the application narrative 

section Part III); Part IV, the assurances and certifications; 

or the one-page program abstract, the resumes, the bibliography, 

or the letters of support. However, the page limit does apply 
23

to all of the application narrative section (Part III), 

including the budget responses of the selection criteria and the 

“Other/CPP” section and “Other/IP” section for the priorities. 

Note: Each of the Priority sections (Other/CPP and Other/IP) 

will be permitted no more than five additional pages. If you 

include more than five pages under each section, we will reject 

your application.

If you include any attachments or appendices not specifically 

requested in the application package, these items will be 

counted as part of your application narrative (Part III) for the 

purpose of the page limit requirement. You must include your 

complete response to the selection criteria in the application 

narrative.

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

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

the Budget selection of the selection criteria. The supporting 

narrative for the activity detail budget form lists the 

requested budget line items line by line. 

We will reject your application if you exceed the page 

limit.

3. Submission Dates and Times: 

Applications Available: April 16, 2014.

Deadline for Transmittal of Applications: June 2, 2014. 
24

Applications for grants under this competition must be 

submitted electronically using the Grants.gov Apply site 

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

how to submit your application electronically, or in paper 

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

to the electronic submission requirement, please refer to 

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

We do not consider an application that does not comply with 

the deadline requirements.

Individuals with disabilities who need an accommodation or 

auxiliary aid in connection with the application process should 

contact the person listed under For Further Information Contact

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

accommodation or auxiliary aid to an individual with a 

disability in connection with the application process, the 

individual's application remains subject to all other 

requirements and limitations in this notice.

Deadline for Intergovernmental Review: August 4, 2014.

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 

these programs.
25

5. Funding Restrictions: We specify limitations on 

allowable costs in 34 CFR 607.30. We reference additional 

regulations outlining funding restrictions in the Applicable 

Regulations section of this notice.

Applicability of Executive Order 13202. Applicants that 

apply for construction funds under the Title III, Part A 

programs, must comply with Executive Order 13202 signed by 

former President George W. Bush on February 17, 2001, and 

amended on April 6, 2001. 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 adhere to agreements with one or more 

labor organizations, on the same or other construction 

project(s).” However, the Executive Order does not prohibit 

contractors or subcontractors from voluntarily entering into 

these agreements. Projects funded under these programs 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.
26

6. Data Universal Numbering System Number, Taxpayer 

Identification Number, and Central Contractor Registry: To do 

business with the Department of Education, you must--

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

and a Taxpayer Identification Number (TIN);

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

Contractor Registry (CCR), and after July 24, 2012, with the 

System for Award Management (SAM)--the Government’s primary 

registrant database;

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

and

d. Maintain an active CCR or 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 business day.

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

organization, you can obtain a TIN from the Internal Revenue 

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

the Internal Revenue Service or the Social Security 

Administration. If you need a new TIN, please allow two to five 

weeks for your TIN to become active.
27

The CCR or SAM registration process may take five or more 

business days to complete. If you are currently registered with 

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

make certain that the TIN associated with your DUNS number is 

correct. Also note that you will need to update your 

registration annually. This may take three or more business 

days to complete. Information about SAM is available at SAM.gov. 

In addition, if you are submitting your application via 

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

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

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

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

http://www.grants.gov/web/grants/applicants/organizationregistration.html). 

7. Other Submission Requirements: Applications for grants 

under the ANNH programs 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 Alaska Native-Serving 

Institutions Program (CFDA number 84.031N) and the Native 

Hawaiian-Serving Institutions Program (CFDA number 84.031W) must 

be submitted electronically using the Government wide Grants.gov 

Apply site at www.grants.gov. Through this site, you will be 
28

able to download a copy of the application package, complete it 

offline, and then upload and submit your application. You may 

not e-mail an electronic copy of a grant application to us. 

We will reject your application if you submit it in paper 

format unless, as described elsewhere in this section, you 

qualify for one of the exceptions to the electronic submission 

requirement and submit, no later than two weeks before the 

application deadline date, a written statement to the Department 

that you qualify for one of these exceptions. Further 

information regarding calculation of the date that is two weeks 

before the application deadline date is provided later in this 

section under Exception to Electronic Submission Requirement.

You may access the electronic grant application for 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 84.031N).

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 
29

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

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

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

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

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

do not consider an application that does not comply with the 

deadline requirements. When we retrieve your application from 

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

application because it was date and time stamped by the 

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

the application deadline date.

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

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

of the application and the speed of your Internet connection. 

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

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 
30

Events on the Department’s G5 system home page at 

http://www.G5.gov. 

• You will not receive additional point value because you 

submit your application in electronic format, nor will we 

penalize you if you qualify for an exception to the electronic 

submission requirement, as described elsewhere in this section, 

and submit your application in paper format.

• You must submit all documents electronically, including 

all information you typically provide on the following forms: 

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

of Education Supplemental Information for SF 424, Budget 

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

necessary assurances and certifications. 

• You must upload any narrative sections and all other 

attachments to your application as files in a PDF (Portable 

Document) 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 passwordprotected 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 
31

notification indicates receipt by Grants.gov only, not receipt 

by the Department.) The Department then will retrieve your 

application from Grants.gov and send a second notification to 

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

Department has received your application and has assigned your 

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

number unique to your application).

• We may request that you provide us original signatures 

on forms at a later date.

Application Deadline Date Extension in Case of Technical Issues 

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

submitting your application through Grants.gov, please contact 

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

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

a record of it.

If you are prevented from electronically submitting your 

application on the application deadline date because of 

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.
32

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

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

contact the person listed under For Further Information Contact

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

technical problem you experienced with Grants.gov, along with 

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

application if we can confirm that a technical problem occurred 

with the Grants.gov system and that problem affected your 

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

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

contact you after a determination is made on whether your 

application will be accepted. 

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

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

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

failed to fully register to submit your application to 

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

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 
33

• You do not have the capacity to upload large documents 

to the Grants.gov system;

and

• No later than two weeks before the application deadline 

date (14 calendar days or, if the fourteenth calendar day before 

the application deadline date falls on a Federal holiday, the

next business day following the Federal holiday), you mail or 

fax a written statement to the Department, explaining which of 

the two grounds for an exception prevent you from using the 

Internet to submit your application. 

If you mail your written statement to the Department, it 

must be postmarked no later than two weeks before the 

application deadline date. If you fax your written statement to 

the Department, we must receive the faxed statement no later 

than two weeks before the application deadline date.

Address and mail or fax your statement to: LaTonya Brown, 

U.S. Department of Education, 1990 K Street, NW., room 6029, 

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 
34

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 84.031N or 84.031W)

LBJ Basement Level I

400 Maryland Avenue, SW.

Washington, DC 20202-4260

You must show proof of mailing consisting of one of the 

following:

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

(2) A legible mail receipt with the date of mailing 

stamped by the U.S. Postal Service.

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

commercial carrier.

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

of the U.S. Department of Education.

If you mail your application through the U.S. Postal 

Service, we do not accept either of the following as proof of 

mailing:

(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.
35

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 84.031N or 84.031W)

550 12th Street, SW.

Room 7041, Potomac Center Plaza

Washington, DC 20202-4260

The Application Control Center accepts hand deliveries daily 

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

Saturdays, Sundays, and Federal holidays.

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

mail or hand deliver your application to the Department--

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

provided by the Department -- in Item 11 of the SF 424 the CFDA 

number, including suffix letter, if any, of the competition 

under which you are submitting your application; and
36

(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 these 

programs are in 34 CFR 607.22,(a) through (g). Applicants must 

address each of the following selection criteria (separately for 

each proposed activity). The total weight of the selection 

criteria is 100 points; the maximum score for each criterion is 

noted in parentheses.

(a) Quality of the Applicant’s Comprehensive Development 

Plan (Maximum 25 Points).

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

(c) Quality of Implementation Strategy (Maximum 20 Points).

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

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

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

(g) Budget (Maximum 8 Points).

2. Review and Selection Process: We remind potential 

applicants that in reviewing applications in any discretionary 

grant competition, the Secretary may consider, under 34 CFR 

75.217(d)-(3), the past performance of the applicant in carrying 
37

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 

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 three 

non-Federal reviewers. A rank order funding slate will be made 

that includes scores for competitive preference priorities 1 and 

3. Tie-breaker for Development Grants. In tie-breaking 

situations for development grants, 34 CFR 607.23(b) requires 

that additional points be awarded to any applicants that: (1) 

have an endowment fund of which the current market value, per 

full-time equivalent (FTE) enrolled student, is less than the 

average current market value of the endowment funds, per FTE 

enrolled student at comparable institutions that offer similar 

instruction; (2) have expenditures for library materials per FTE 

enrolled student that are less than the average expenditures per 
38

FTE enrolled student at comparable institutions that offer 

similar instruction; or (3) that propose 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 

2011-2012 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 

cooperative arrangement is geographically and economically sound 

or will benefit the applicant institution. 

4. Special Conditions: Under 34 CFR 74.14, 80.12, the 

Secretary may impose special conditions on a grant if the 

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

unsatisfactory performance; has a financial or other management 
39

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

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

grant (34 CFR 607.24); or, is otherwise not responsible.

VI. Award Administration Information

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

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

Grant Award Notification (GAN). We may also notify you 

informally.

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 in this notice. 

We reference the regulations outlining the terms and 

conditions of an award in the Applicable Regulations section of 

this notice and include these and other specific conditions in 

the GAN. The GAN also incorporates your approved application as 

part of your binding commitments under the grant.

3. 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 
40

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 in 34 CFR 75.118 and 34 CFR 607.31. 

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 Alaska Native and Native 

Hawaiian-Serving Institutions Programs: 

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

the number of full-time degree-seeking undergraduates enrolled 

at Alaska Native and Native Hawaiian-Serving Institutions. Note 

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

periodically gauge performance, beginning in FY 2009.

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

undergraduate students at 4-year Alaska Native and Native 

Hawaiian-Serving Institutions who were in their first year of 

postsecondary enrollment in the previous year and are enrolled 
41

in the current year at the same Alaska Native and Native 

Hawaiian-Serving Institution;

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

undergraduate students at 2-year Alaska Native and Native 

Hawaiian-Serving Institutions who were in their first year of 

postsecondary enrollment in the previous year and are enrolled 

in the current year at the same Alaska Native and Native 

Hawaiian-Serving Institution; 

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

undergraduate students enrolled at 4-year Alaska Native and 

Native Hawaiian-Serving Institutions graduating within 6 years 

of enrollment; and 

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

undergraduate students enrolled at 2-year Alaska Native and 

Native Hawaiian-Serving Institutions graduating within 3 years 

of enrollment.

5. Continuation Awards: In making a continuation award, the 

Secretary may consider, under 34 CFR 607.31, the extent to which 

a grantee has made “substantial progress toward achieving the 

objectives set forth in its grant application, including, if 

applicable, the institution’s success in institutionalizing 

practices and improvements developed under the grant.” This 

consideration includes the review of a grantee’s progress in 

meeting the targets and projected outcomes in its approved 
42

application, and whether the grantee has expended funds in a 

manner that is consistent with its approved application and 

budget. In making a continuation grant, the Secretary also 

considers whether the grantee is operating in compliance with 

the assurances in its approved application, including those 

applicable to Federal civil rights laws that prohibit 

discrimination in programs or activities receiving Federal 

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

106.4, 108.8, and 110.23). 

VII. Agency Contacts

For Further Information Contact: LaTonya Brown, U.S. Department 

of Education, 1990 K Street, NW., room 6029, Washington, DC 

20006-8513. Telephone: (202) 502-7619; or, by e-mail: 

latonyal.brown@ed.gov.

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 

compact disc) on request to the program contact person listed 

under For Further Information Contact in section VII of this 

notice.
43

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 this site. 

You may also access documents of the Department published 

in the Federal Register by using the article search feature at: 

www.federalregister.gov. Specifically through the advanced 

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

documents published by the Department.

Delegation of Authority: The Secretary of Education has 

delegated authority to Brenda Dann-Messier, Acting Assistant 

Secretary for for Postsecondary Education.

Dated: 

/S/

___________________________

Brenda Dann-Messier,

Acting Assistant Secretary 

for Postsecondary Education.
44

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. 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.
45

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

means --

(1) an institution of higher education--

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

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

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

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

institutions that offer similar instruction;

(C) which is

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

which such institution awards a bachelor’s degree;

(ii) a junior or community college; or

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

Micronesia, and Palau Community College;

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

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

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

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

(F) located in a State; and

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

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

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

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

factor described under paragraph (1)(B).

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

fund that--

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

exempt from Federal income taxation;

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

(3) does not include real estate.

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

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

junior or community college which includes--

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

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

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

to section 428), or 

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

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

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

fiscal year for

which the determination is made, unless the requirement of this subdivision is waived under 

section 392(a).

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

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

plus the full-time equivalent of the number of students enrolled part time (determined on the 
46

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.

(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).
47

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

(a) PROGRAM AUTHORIZED. -- The Secretary shall provide grants and related assistance to 

Alaska Native-serving institutions and Native Hawaiian-serving institutions to enable such 

institutions to improve and expand their capacity to serve Alaska Natives and Native Hawaiians.

(b) DEFINITIONS.-- For the purpose of this section--(1) the term “Alaska Native” has the 

meaning given the term in section 9308 of the Elementary and Secondary Education Act of 

1965;

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

(A) is an eligible institution under section 312(b); and (B) at the time of application, has an 

enrollment of undergraduate students that is at least 20 percent Alaska Native students;

(3) the term “Native Hawaiian” has the meaning given the term in section 9212 of the 

Elementary and Secondary Education Act of 1965; and

(4) the term “Native Hawaiian-serving institution” means an institution of higher education 

which--

(A) is an eligible institution under section 312(b); and (B) at the time of application, has an 

enrollment of undergraduate students that is at least 10 percent Native Hawaiian students.

(c) AUTHORIZED ACTIVITIES.--

(1) TYPES OF ACTIVITIES AUTHORIZED.-- Grants awarded under this section shall be used 

by Alaska Native-serving institutions and Native Hawaiian-serving institutions to assist such 

institutions to plan, develop, undertake, and carry out activities to improve and expand such 

institutions’ capacity to serve Alaska Natives or Native Hawaiians. 

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

(A) purchase, rental, or lease of scientific or laboratory equipment for educational purposes, 

including instructional and research purposes;

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

facilities;

(C) support of faculty exchanges, and faculty development and faculty fellowships to assist in 

attaining advanced degrees in the faculty’s field of instruction;

(D) curriculum development and academic instruction;

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

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

funds management;

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

and

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

(d) APPLICATION PROCESS.--

(1) INSTITUTIONAL ELIGIBILITY.-- Each Alaska Native-serving institution and Native 

Hawaiian-serving institution desiring to receive assistance under this section shall submit to the 

Secretary such enrollment data as may be necessary to demonstrate that the institution is an 

Alaska Native-serving institution

or a Native Hawaiian-serving institution as defined in subsection (b), along with such other 

information and data as the Secretary may by regulation require.

(2) APPLICATIONS.-- Any institution which is determined by the Secretary to be an Alaska 

Native-serving institution or a Native Hawaiian-serving institution may submit an application for 

assistance under this section to the Secretary. Such application shall include--
48

(A) a 5-year plan for improving the assistance provided by the Alaska Native-serving institution 

or the Native Hawaiian-serving institution to Alaska Native or Native Hawaiian students; and

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

(e) SPECIAL RULE.-- For the purposes of this section, no Alaska Native-serving institution or 

Native Hawaiian-serving institution which is eligible for and receives funds under this section

may concurrently receive other funds under this part or part B.

PART F--GENERAL PROVISIONS

SEC. 391. APPLICATIONS FOR ASSISTANCE.

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

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

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

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

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

the Secretary determines that--

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

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

assistance is sought; and 

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

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

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

such Act.

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

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

the submission of the principal application.

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

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

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

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

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

monitoring the effectiveness of activities under this title);

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

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

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

supplant those funds;

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

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

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

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

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

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

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

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

the Secretary may find necessary to assure the correctness and verification of such reports;
49

(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.

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;
50

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

Controlled College or University Assistance Act of 1978; or

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

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

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

Hawaiians.

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

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

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

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

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

otherwise consistent with the purposes of such parts.

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

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

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

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

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

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

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

312(b)(1); and

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

including a statement of the reasons for each such determination.

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

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

Secretary determines that the waiver will substantially increase higher education opportunities 

appropriate to the needs of American Indians.

SEC. 393. APPLICATION REVIEW PROCESS.

(a) REVIEW PANEL.--(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
51

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

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

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

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

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

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

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

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

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

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

Secretary.

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

under part D.

SEC. 394. COOPERATIVE ARRANGEMENTS.

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

arrangements

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

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

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

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

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

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

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

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

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

geographically and economically sound or will benefit the applicant institution.

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

this section for a period as determined under section 313 or section 323.SEC. 395. 

ASSISTANCE TO INSTITUTIONS UNDER OTHER PROGRAMS.

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

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

in accordance with subsection (b).

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

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

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

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

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

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

applications from other institutions.

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

this Act.

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

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

of more than 10 percent of the appropriations for the program for any fiscal year.
52

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.

(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.
53

(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.

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

TITLE III—INSTITUTIONAL AID

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. 304. ALASKA NATIVE AND NATIVE HAWAIIAN-SERVING INSTITUTIONS.

Section 317(c)(2) (20 U.S.C. 1059d(c)(2)) is amended--

(1) in subparagraph (G), by striking ``and'' after the semicolon;

(2) in subparagraph (H), by striking the period and inserting ``; and''; and

(3) by adding at the end the following:

``(I) education or counseling services designed to improve the financial literacy and economic 

literacy of students or the students' families.''

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.--

``(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 2013 and 2013)--

``(A) waive--
54

``(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.

``(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.
55

``(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''.
56

EXECUTIVE ORDER 12372 

Intergovernmental Review of Federal Programs

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

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

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

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

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

reviewing proposed Federal financial grant applications.

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

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

state.

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

can be found at:

http://www.whitehouse.gov/omb/grants/spoc.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.
57

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.
58

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 

2007-2013. This plan reflects the Department’s priorities and integrates them with its 

mission and program authorities and describes how the Department will work to improve 

education for all children and adults in the U.S. The Department’s goals, as listed in the 

plan, are:

Goal 1: Increase student achievement, reward qualified teachers, and renew troubled schools so that 

every student can read and do math at grade level by 2014, as called for by the No Child Left Behind Act.

Goal 2: Encourage more rigorous and advanced coursework to improve the academic performance of 

our middle and high school students.

Goal 3: Work with colleges and universities to improve access, affordability, and accountability, so that 

our higher education system remains the world’s finest. 

The performance indicators for the Alaska Native and Native Hawaiian-Serving Institutions

program are part of the Department’s plan for meeting Goal 3. The Department’s specific goal 

for this program is to improve the capacity of minority-serving institutions, which traditionally

have limited resources and serve large numbers of low-income and minority students, to improve 

student success and to provide high-quality educational opportunities for their students. 

What are the Performance Indicators for ANNH?

The specific performance indicators for ANNH are as follows:

1. The number of full-time degree-seeking undergraduates enrolled at ANNH. 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 

ANNH institutions who were in their first year of postsecondary enrollment in the 

previous year and are enrolled in the current year at the same ANNH institution.

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

ANNH institutions who were in their first year of postsecondary enrollment in the 

previous year and are enrolled in the current year at the same ANNH institution.
59

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

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

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

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

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

degree at ANNH 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. 
60

Instructions for Completing the Application

The ANNH 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: Project Narrative Attachment Forms

ED Abstract Form 

Project Narrative Attachment Form

ANNH Program Profile Narrative Form

Budget Narrative Attachment Form

Part IV: Assurances, Certifications, and Survey Forms

 GEPA Section 427 requirement – this Must be submitted

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

 Lobbying Form (ED Form 80.0013)

 Disclosure of Lobbying Activities (SF-LLL)

 Survey on Ensuring Equal Opportunity for Applicants

Other/CPP: Competitive Preference Priorities

 Five page response to CPP1, 2, or both

Other/IP: Invitational Priority

 Five page response to IP

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 narrative responses 

to the selection criteria, the competitive preference priorities (CPP), and the Invitational 

Priorities (IP) 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 
61

the application narrative to no more than 50 pages for the Individual Development Grant 

application and 70 pages for the Cooperative Arrangement Grant. The Project Narrative should 

be consecutively numbered. You must attach your Project Narrative in the Project Narrative 

attachment form in Grants.gov. 

You must limit your response to the CPPs to no more than five pages in the “Other/CPP” 

section; and no more than five pages for responding to the IPs in the “Other/IP” section. 

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

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

criterion also requires a budget section that you will respond to as a part of your project narrative 

(selection criteria). As stated above, this portion is attached to the “Budget Narrative 

Attachment Form in Grants.gov.

Program Profile Narrative Form: Included in this application is a ANNH Profile Form. You 

must complete this form and attach it to the Program Profile Narrative Form in Grants.gov.

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.
62

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 Notice, the Dear Applicant Letter, and the Competition 

Highlights 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 to no more than 50 pages for the 

Individual Development Grant application and 70 pages for the Cooperative Arrangement Grant. 

Applicants MUST address each of the following ANNH 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

(Maximum: 25 points). 

(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. 

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.
63

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, ANNH Program funds. 

(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, ANNH 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 self-sufficiency of 

the institution. 
64

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.

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. 
65

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 

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. 
66

 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, ANNH Program coordinator’s position, provide the following:

 Under “Quality of Key Personnel”, be sure to include the coordinator's required 

qualifications (education, experience, training) and the specific duties of the position. 

Directly relate the duties to the stated purposes and objectives of the project.

 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 
67

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. 

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. 
68

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 

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, ANNH 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. 
69

(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;

- 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. 

NOTE: The Title III, Part A, ANNH Program, CFDA 84.031N&W, 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. 
70

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. 
71

Competitive Preference Priorities:

 Competitive Preference Priority 1 (Maximum 2 points): Increasing Postsecondary 

Success: College Completion – projects that are designed to increase the number and 

proportion of high-need students (as defined in the Title III, Part A, ANNH FY 2014

competition Federal Register notice) who complete college or other postsecondary education 

and training.

Note: In responding to this priority, applicants are encouraged to discuss how all 

strategies they are proposing to carry out would result in improvements in postsecondary

success.

 Competitive Preference Priority 2 (Maximum 2 points): Improving Productivity - projects 

that are designed to significantly increase efficiency in the use of time, staff, money, or other 

resources while improving student learning or other educational outcomes (i.e., outcome per 

unit of resource). Such projects may include innovative and sustainable uses of technology, 

modification of school schedules and teacher compensation systems, use of open educational 

resources (as defined in the Title III, Part A, ANNH FY 2014 competition Federal Register

notice), or other strategies.

Note: The types of projects identified in Competitive Preference Priority 2 are 

suggestions for ways to improve productivity. Other strategies for productivity also 

could include the use of technology, alternative staffing models, or competency-based 

learning. The Department recognizes that some of these examples, such as modification 

of teacher compensation systems, may not be relevant to this program. Accordingly, 

applicants should consider responding to the competitive preference priority in a way that 

improves productivity in a relevant higher education context

Invitational Priorities:

 Invitational Priority 1 (No Valued Points) – projects that Support Activities that 

strengthen Native language preservation and revitalization at our institutions of higher 

education.
72

Instructions for Standard Forms:

● APPLICATION FACE SHEET - (SF 424)

● DEPARTMENT OF EDUCATION SUPPLEMENTAL FORM (SF 424)

● DEPARTMENT OF EDUCATION BUDGET SUMMARY FORM (ED 524)

● DISCLOSURE OF LOBBYING ACTIVITIES (SF-LLL)

● SURVEY INSTRUCTIONS 

Other Information and Guidance:

● SUPPLEMENTAL INFORMATION AND INSTRUCTIONS
73

Paperwork Burden Statement

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

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

OMB control number for this information collection is 1840-0810. The obligation to respond to 

this collection is required to obtain or retain benefit as authorized by Title III, Part A, Sections 

317, of the Higher Education Act of 1965, as amended by the HEOA; and governed by the 

program regulations in 34 CFR Part 607; and the Education Department General Administrative 

Regulations (EDGAR), Parts 74, 75 (except for §§ 75.215-75.221), 77, 79, 80, 82, 84, 85, 86, 97, 

98 and 99. The time required to complete this information collection is 40 hours per response, 

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

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

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

Department of Education, Washington, DC 20202-4651. If you have comments or concerns 

regarding the status of your individual submission of this form, write directly to: Alaska Native 

and Native Hawaiian Serving Institutions Program, U.S. Department of Education, 400 

Maryland Avenue, S.W., Washington, DC 20202-8510.