U. S. DEPARTMENT OF EDUCATION

OFFICE OF POSTSECONDARY EDUCATION 

WASHINGTON, D.C. 20006-8510

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

FY 2014

APPLICATION FOR GRANTS

UNDER THE

TITLE V, PART B

PROMOTING POSTBACCALAUREATE OPPORTUNITIES 

FOR HISPANIC AMERICANS PROGRAM

CFDA Number: 84.031M

FORM APPROVED

OMB no. 1840-0804, Expiration Date: Month/Day/2014

DATED MATERIAL – OPEN IMMEDIATELY

CLOSING DATE: MONTH/DAY/2014
Table of Contents

 Page

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

Competition Highlights.............................................................. 4

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

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

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

Program Statute......................................................................... 41 

Intergovernmental Review............................................................ 43

General Education Provisions Act (GEPA)....................................... 44

Government Performance Results Act (GPRA)................................... 45 

INSTRUCTIONS

Instructions for Completing the Application....................................... 47 

Instructions for Project Narrative.................................................... 49 

Instructions for Standard Forms..................................................... 54 

Instructions for the SF 424........................................................... 55 

Instructions for Department of Education Supplemental Information 

for SF 424..................................................................... 56

Definitions for Department of Education Supplemental Information

for SF 424.................................................................... 57

Instructions for ED 524............................................................... 53 

Instructions for Budget Summary Form (524) and PPOHA Project Activity

Budget Detail Form.......................................................... 54 

PPOHA Project Activity Budget Detail Form..................................... 55 

Instructions for Completion of SF-LLL, Disclosure of 
Lobbying Activities.......................................................... 56

Instructions for Survey for Ensuring Equal Opportunity for Applicants....... 57

PPOHA Program Assurances.................................... ................... 58 

PPOHA Supplemental Information and Instructions.............................. 59

PPOHA Program Profile Form...................................................... 62

Application Checklist ................................................................ 63 

Paperwork Burden Statement....................................................... 64 
1

Dear Applicant:

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

new awards under the Promoting Postbaccalaureate Opportunities for Hispanic Americans 

(PPOHA) Program. The purposes of the PPOHA program are to provide grants to: (1) expand 

postbaccalaureate educational opportunities for, and improve the academic attainment of, Hispanic 

students; and (2) expand the postbaccalaureate academic offerings as well as enhance the program 

quality in the institutions of higher education that are educating the majority of Hispanic college 

students and helping large numbers of Hispanic and low-income students complete postsecondary

degrees. 

Please note that Sections 511-514 of Title V, Part B, of the Higher Education Act (HEA) of 1965, 

as amended, apply to this competition. This letter highlights a few items in the application 

package that will be important to you in applying for grants under this program and additional 

information you may be required to provide. Please review the entire application package 

carefully before preparing and submitting your application.

In order to receive a grant under the PPOHA program, an institution of higher education must offer 

a postbaccalaureate certificate or postbaccalaureate degree program and have applied for and been 

designated as an eligible institution in accordance with eligibility requirements under Title V of the 

HEA. To be an eligible HSI for the PPOHA program, an IHE must:

(1) Be accredited or pre-accredited by a nationally recognized accrediting agency or 

association that the Secretary has determined to be a reliable authority as to the quality of 

education or training offered;

(2) Be legally authorized by the State in which it is located to provide an educational 

program for which it awards a bachelor's degree; 

(3) Be designated as an “eligible institution” by demonstrating that it: a) has an enrollment 

of needy students as described in 34 CFR 606.3; and b) has low average educational and general 

expenditures per full-time equivalent (FTE) undergraduate student as described in 34 CFR 606.4; 

and

(4) Have an enrollment of undergraduate FTE students that is at least 25 percent Hispanic 

students at the end of the award year immediately preceding the date of application.

In order to receive a grant under the Developing Hispanic-Serving Institutions Title V program, an 

institution of higher education must have applied to be 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, and the deadline for applications was

March 7, 2014. A second Notice Inviting Applications for the Designation as an Eligible 

Institution was published in the Federal Register on (insert date), 2014 and the deadline for 

applications was (insert date), 2014. In addition to basic eligibility requirements, an institution 

must have at least 25 percent enrollment of undergraduate full-time equivalent (FTE) Hispanic 

students at the end of the award year immediately preceding the date of application. 

The Department will cross-reference, for verification, documentation reported to the Department’s 

Integrated Postsecondary Education Data System (IPEDS), the institution’s state reported 

enrollment data, and the institutional annual report. If different percentages or data are reported in 

these various sources, the institution must, as part of the eligibility process, explain the reason for 

the differences. If the IPEDS data show that less than 25 percent of the institution’s undergraduate 

full-time equivalent (FTE) students are Hispanic, the burden is on the institution to show that the 
2

IPEDS data are inaccurate. Please note that a replication or copy of the instructions is not 

evidence that the IPEDS data are inaccurate. If the IPEDS data indicate that the institution has an 

undergraduate FTE less than 25 percent, and the institution fails to demonstrate that the IPEDS 

data are inaccurate, the institution will be considered ineligible.

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

using Grants.gov. An applicant who is unable to submit through Grants.gov must submit a written 

waiver of the electronic submission requirement at least two weeks before the deadline date. 

Additional information about Grants.gov submission requirements can be found in this application 

package. We urge you to consider these important factors regarding electronic submission:

1. Register early in SAM- the System for Award Management (formerly Central 

Contractor Registry or CCR. Go to https://www.sam.gov. The process can take three 

to five business days or up to two weeks.

2. Register early in Grants.gov. Go to www.grants.gov. The process can take three to 

five business days or up to two weeks. Please Note: Use the same DUNS number that 

was used when registering with SAM or you will not be able to register successfully.

3. Submit 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 completed prior to 

the deadline for transmittal of application.

Finally, we would like to share with you the importance of ensuring that your application includes 

a strong evaluation plan. The peer reviewers will be instructed to look closely at the potential of 

PPOHA program applicants to successfully reach their individual project goals, which are driven 

by the performance indicators for the PPOHA program. In addition to including formative and 

summative measures, the evaluation plan should also address the use of appropriate controls and 

techniques that provide for independent evaluation. The evaluation plan should shape the 

development of the project from the beginning of the grant period and provide benchmarks for the 

monitoring of progress and measurement of that progress throughout the grant award period. You 

should pay close attention to the information provided in the Instructions for Project Narrative 

section of this application regarding the development of your evaluation activity. Technical 

Assistance workshops will be held to help grantees design and implement strong evaluations. 

These workshops will also emphasize the need for developing strong project-level performance 

measures that capture the impact of the activities grantees pursue. The Department is committed 

to helping grantees use data to achieve their goals and, in turn, help the Department improve our 

own technical assistance activities.

The Notice Inviting Applications for New Awards under the PPOHA program published in the 

Federal Register is the official document describing the requirements for submitting a PPOHA 

grant application. You should not rely upon any information that is inconsistent with the guidance 

contained in the official document. If you have any questions or require additional information, 

please contact Dr. Maria E. Carrington at Maria.Carrington@ed.gov or by phone at (202) 502-

7548. We encourage applicants to review the “Competition Highlights” found in the application 

package for an overview of important items.
3

I appreciate your interest in the Promoting Postbaccalaureate Opportunities for Hispanic 

Americans Program and look forward to receiving your application.

Sincerely,

Dr. Leonard R. Haynes

Senior Director

 For Institutional Service
4

Competition Highlights

1. PPOHA applications submitted for FY 2014 must be submitted electronically using

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

as the registration procedures may require up to 2 weeks to complete. A more thorough 

discussion is included later in this application package. Grants.gov is accessible through its 

portal page at: http://www.grants.gov. You must provide the SAME DUNS number 

that was used when your organization registered with the System for Award 

Management (SAM). SAM replaced the Central Contractor Registry (CCR) used in years 

past.

2. It is important to know that Grants.gov does not allow applicants to “un-submit” 

applications. Therefore, if you discover that changes or additions are needed once your 

application has been accepted and validated by the Department, you must “re-submit” the 

entire application. You should know that if the Department receives duplicate applications, 

we will accept and process the application with the latest “date/time received” validation.

3. Under the Promoting Postbaccalaureate Opportunities for Hispanic Americans Program, 

$10.672 million has been designated for awards to Hispanic-Serving Institutions who offer 

a postbaccalaureate certificate or postbaccalaureate degree program for authorized 

activities described in section 513 of the Higher Education Act, as amended. These 

authorized activities are described in detail in this application package on page 44, and one 

or more of the listed activities should be used in preparing your application. You are urged 

to fully review the Notice Inviting Applications for New Awards under the PPOHA 

program and Application Package carefully before preparing your application.

4. Applicants are required to submit a Project Abstract. The Project Abstract is limited to a 

one page single-spaced document. The abstract must include the name of the institution, 

city, and purpose. The abstract must be uploaded to the “ED Abstract Form” in the 

Grants.gov system as a .pdf document.

5. Applicants must complete the PPOHA Program Profile Form. Applicants are required to 

copy and paste the form into a separate document or recreate the form exactly as it appears. 

Applicants are asked to read and check the box for question #5 indicating that their 

institution is an eligible Hispanic-Serving Institution (HSI) offering either a 

postbaccalaureate certificate or a postbaccalaureate degree. In addition, applicants should 

carefully read question #11 on the PPOHA Program Profile Form and check the box 

certifying that they will comply with the statutory requirements and program assurances 

cited in the HSI program regulations, 34 CFR 606.2 (a) and (b). NOTE: 606.2 (a) (5) An 

eligible HSI applying for the PPOHA program is not a junior college or community

college. Upon completion of the PPOHA Program Profile Form, upload it to the “Other 

Attachments Form” in Grants.gov as a .pdf document.

6. Applicants will also be required to complete a PPOHA Project Activity Budget Detail 

Form. Applicants are required to copy and paste the PPOHA Project Activity Budget 
5

Detail Form into a separate document or recreate the form exactly as it appears and upload

it to the “Other Attachments Form” in Grants.gov as a .pdf document.

7. The Department will cross-reference, for verification, documentation reported to the 

Department’s Integrated Postsecondary Education Data System (IPEDS), the institution’s 

state reported enrollment data, and the institutional annual report. If different percentages 

or data are reported in these various sources, the institution must, as part of the eligibility

process, explain the reason for the differences. If the IPEDS data show that less than 25 

percent of the institution’s undergraduate full-time equivalent (FTE) students are Hispanic, 

the burden is on the institution to show that the IPEDS data are inaccurate. Please note that 

a replication or copy of the instructions is not evidence that the IPEDS data are inaccurate. 

If the IPEDS data indicate that the institution has an undergraduate FTE less than 25 

percent, and the institution fails to demonstrate that the IPEDS data are inaccurate, the 

institution will be considered ineligible.

8. New PPOHA Individual Development Grants will be awarded on a competitive basis. An 

applicant may apply for only one PPOHA grant. Cooperative Arrangement Development 

Grants are not allowed. 

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

the application. 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. 

10. 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 log on to Grants.gov to upload and 

submit the application. 

11. The application must be received on or before the deadline date and time. Late 

applications will not be accepted. We suggest that you submit your application several 

days before the deadline. The Department 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.

12. Included in this application package is a document containing submission procedures to 

ensure your application is received in a timely and acceptable manner. Consult and follow 

the Notice Inviting Applications for New Awards in the Federal Register to ensure proper 

guidance for application submission. Exceptions to the electronic submission requirement 

are also outlined in the Federal Register notice. 

Please go http://www.grants.gov/web/grants/applicants.html for help with Grants.gov. Also, refer 

to “Submission Procedures and Tips for Applicants” found on pages 6-8 of this application 

booklet.

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

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

within the official document. 
6

***Updated 11/2013***

IMPORTANT – PLEASE READ FIRST

U.S. Department of Education

Grants.gov Submission Procedures and Tips for Applicants

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

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

Department of Education.

ATTENTION – Adobe Forms and PDF Files Required

Applications submitted to Grants.gov for the Department of Education will be posted using Adobe forms. Therefore, 

applicants will need to download the latest version of Adobe reader (at least Adobe Reader 10.1.14). (Please note that 

in early 2013, Grants.gov discovered an issue with the newest version of Adobe Reader XI but it was subsequently 

resolved.) Information on computer and operating system compatibility with Adobe and links to download the latest 

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

details on www.Grants.gov before completing and submitting your application. In addition, applicants should submit 

their application a day or two in advance of the closing date as detailed below. Also, applicants are required to upload 

their attachments in .pdf format only. (See details below under “Attaching Files – Additional Tips.”) If you have any 

questions regarding this matter please email the Grants.gov Contact Center at support@grants.gov or call 1-800-518-

4726.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

4:30:00 p.m. Washington, DC time on the deadline date. 

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

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

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

Registry). If you do not enter the same DUNS number on your application as the DUNS you registered with, 

Grants.gov will reject your application.

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

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

click on the Track My Application link. For a successful submission, the date/time received should be earlier than 

4:30:00 p.m. Washington, DC time, on the deadline date, AND the application status should be: Validated, Received by 

Agency, or Agency Tracking Number Assigned. Once the Department of Education receives your application from 

Grants.gov, an Agency Tracking Number (PR/award number) will be assigned to your application and will be available 

for viewing on Grants.gov’s Track My Application link.
7

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

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

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

application has not been received successfully. Some of the reasons Grants.gov may reject an application can be found on 

the Grants.gov site: http://www.grants.gov/web/grants/applicants/applicant-faqs/tracking-an-application.html. For more 

detailed information on troubleshooting Adobe errors, you can review the Adobe Reader Error Messages document at 

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

discover your application is late or has been rejected, please see the instructions below. Note: You will receive a series of 

confirmations both online and via e-mail about the status of your application. Please do not rely solely on e-mail to 

confirm whether your application has been received timely and validated successfully. 

Submission Problems – What should you do?

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

1-800-518-4726 or http://www.grants.gov/web/grants/about/contact-us.html, or access the Grants.gov Self-Service 

web portal at: https://grants-portal.psc.gov/Welcome.aspx?pt=Grants

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

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

Register notice and get a hard copy application postmarked by midnight on the deadline date.

If electronic submission is required, you must submit an electronic application before 4:30:00 p.m., unless you follow

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

requirement and submit, no later than two weeks before the application deadline date, a written statement to the 

Department that you qualify for one of these exceptions. (See the Federal Register notice for detailed instructions.)

Helpful Hints When Working with Grants.gov

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

computer. Please be sure to note where you are saving the Grants.gov file on your computer. You will need to logon 

to Grants.gov to upload and submit the application. You must provide the DUNS number on your application that was 

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

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

related to submitting grant applications, please refer to the Grants.gov Submit Application FAQs found on the 

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

Dial-Up Internet Connections

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

are connected to the Internet with a high-speed connection, e.g. cable modem/DSL/T1. While times will vary 

depending upon the size of your application, it can take a few minutes to a few hours to complete your grant 

submission using a dial up connection. If you do not have access to a high-speed connection and electronic 

submission is required, you may want to consider following the instructions in the Federal Register notice to 

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

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

MAC Users

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

Grants.gov link: http://www.grants.gov/web/grants/support/technical-support/recommended-software.html. If

electronic submission is required and you are concerned about your ability to submit electronically as a nonwindows user, please follow instructions in the Federal Register notice to obtain an exception to the electronic 

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

notice for detailed instructions.)

Attaching Files – Additional Tips

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

only include read-only, non-modifiable .PDF files in their application:

1. Ensure that you attach .PDF files only for any attachments to your application, and they must be in a 

read-only, non-modifiable format. PDF files are the only Education approved file type accepted as 
8

detailed in the Federal Register application notice. Applicants must submit individual .PDF files only 

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

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

attachments uploaded that are not .PDF files or are password protected files will not be read. If you need 

assistance converting your files to a .pdf format, please refer to the following Grants.gov webpage with 

links to conversion programs under the heading of additional resources: 

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

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

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

name.

3. When attaching files, applicants should follow the guidelines established by Grants.gov on the size and

content of file names. Uploaded files must be less than 50 characters in the file name, contain no spaces, 

no special characters (example: -, &, *, %, /, #, \) including periods (.), blank spaces and accent marks. 

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

and not forwarded to the Department. 

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

and/or scanned material often greatly increase the size of the file attachments and can result in 

difficulties opening the files. For reference, the average discretionary grant application package totals 1 

to 2 MB. Therefore, you may want to check the total size of your package before submission.

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

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

applicants should read this information located on Grants.gov: 

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

11/2013
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 hand delivery.

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

deadline requirements:

Applications Submitted Electronically

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

the Grants.gov Web site (http://www.grants.gov) by 4:30:00 p.m. (Washington, D.C. time) on 

or before the deadline date.

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

an automatic acknowledgement when we receive your application.

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

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

Submission of Paper Applications by Mail:

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

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

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

U.S. Department of Education

Application Control Center

Attention: (CFDA Number 84.031M)

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 Number 84.031M)

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

DRAFT CDN

4000-01-U

DEPARTMENT OF EDUCATION

Applications for New Awards; Promoting Postbaccalaureate 

Opportunities for Hispanic Americans Program

AGENCY: Office of Postsecondary Education, Department of 

Education

ACTION: Notice.

Overview Information:

Promoting Postbaccalaureate Opportunities for Hispanic Americans 

(PPOHA) Program 

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

2014. 

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

Dates: 

Applications Available: [INSERT DATE OF PUBLICATION IN THE 

FEDERAL REGISTER].

Deadline for Transmittal of Applications: [INSERT DATE 30 DAYS 

AFTER DATE OF PUBLICATION IN THE FEDERAL REGISTER].

Deadline for Intergovernmental Review: [INSERT DATE 90 DAYS AFTER 

DATE OF PUBLICATION IN THE FEDERAL REGISTER].

Full Text of Announcement

I. Funding Opportunity Description
12

Purpose of Program: The Promoting Postbaccalaureate Opportunities 

for Hispanic Americans (PPOHA) Program provides grants to: (1) 

expand postbaccalaureate educational opportunities for, and 

improve the academic attainment of, Hispanic students; and (2) 

expand the postbaccalaureate academic offerings as well as enhance 

the program quality in the institutions of higher education that 

are educating the majority of Hispanic college students and 

helping large numbers of Hispanic and low-income students complete 

postsecondary degrees.

PPOHA Program Requirements

Background: The PPOHA Program is a new program established under 

sections 511 through 514 of the Higher Education Act of 1965, as 

amended (HEA). The PPOHA Program supports Hispanic-serving 

institutions that offer a postbaccalaureate certificate or degree 

granting program. To define the term “Hispanic-serving 

institution” for purposes of the PPOHA Program, Congress adopted 

the definition of that term in the existing Hispanic-Serving 

Institutions (HSI) Program authorized by sections 501 to 504 of 

the HEA. In addition, the PPOHA Program provides development 

grants like the HSI Program. Moreover, Congress also applied the 

general provisions of the HSI Program to the PPOHA Program. See

Title V, Part C, sections 521-528, of the HEA. In light of the 

overlap of these definitions and requirements, the Secretary has 

determined that it is appropriate to adopt some of the requlatory 

requirements relating to eligibility criteria and tie-breaking 
13

factors from the HSI Program for use for the first grant 

competition in the PPOHA Program. 

Eligibility Criteria (Use of 34 CFR §§606.2(a) and (b), 606.3 

through 606.5). For purposes of the PPOHA Program, an eligible 

institution is an institution of higher education that: (1) is an 

Hispanic-serving institution as defined in section 502 of the HEA; 

and (2) offers a postbaccalaureate certificate or degree granting 

program. As noted earlier in this notice, the term “Hispanicserving institution” under section 502 of the HEA has already been 

defined in the regulations for the HSI Program. For the 

competition announced in this notice, the Secretary has decided to 

use the specific eligibility criteria for Hispanic-serving 

institution in 34 CFR §§606.2(a) and (b) and 606.3, 606.4 and 

606.5 of those regulations. The use of these regulations will 

enable applicants to determine whether they meet the definitional 

requirements of an Hispanic-serving institution under this 

program. 

Tie-breaker for Development Grants (Use of 34 CFR 606.23(b)(1) and 

(b)(2)). The PPOHA Program will be providing Development Grants 

like those currently awarded under the HSI Program. In light of 

the similar eligibility criteria for these two programs, the 

Secretary has decided to adopt for this first PPOHA Program 

competition the regulations for tie-breakers used in the HSI 

Program. These tie-breaker regulations are set forth in the 
14

Review and Selection Process section of this notice (section 

v.2.b.).

Waiver of Proposed Rulemaking: Under the Administrative Procedure 

Act (5 U.S.C. 553) the Department generally offers interested 

parties the opportunity to comment on proposed program 

requirements. Section 437(d)(1) of GEPA, however, allows the 

Secretary to exempt from rulemaking requirements, regulations 

governing the first grant competition under a new or substantially 

revised program authority. This is the first grant competition 

for this program under section 511 through 514 of the Higher 

Education Act of 1965, as amended (HEA), and therefore qualifies 

for this exemption. In order to ensure timely grant awards, the 

Secretary has decided to forego public comment on using the 

eligibility criteria from 34 CFR 606.2(a)(except (a)(2)) and (b) 

and 606.3 through 606.5 and the tie-breaker for development grants 

regulations from 34 CFR 606.23(b)(1) and (b)(2) for the PPOHA 

Program. These eligibility criteria and regulations will apply to 

the PPOHA Program FY 2014 grant competition only.

Program Authority: 20 U.S.C. 1102-1102c.

Applicable Regulations: (a) The Education Department General 

Administrative Regulations (EDGAR) in 34 CFR parts 74, 75, 77, 79, 

82, 84, 85, 86, 97, 98, and 99. (b) 34 CFR 606.2(a)(except 

(a)(2)) and (b), 606.3, 606.4, 606.5, and 606.23(b)(1) and (b)(2).

II. Award Information

Type of Award: Discretionary grant. 
15

Estimated Available Funds: $10,672,000. 

Estimated Range of Awards: $385,000–575,000.

Estimate Average Size of Awards: $500,000 (Individual Development 

Grant). 

Maximum Awards: We will not fund any application for a PPOHA 

Program individual development grant at an amount exceeding 

$575,000 for a single budget period of 12 months. During our 

initial review of applications, we may choose not to further 

consider or review an application with a budget that exceeds the 

maximum amount. The Assistant Secretary for Postsecondary 

Education may change the maximum amount through a notice published 

in the Federal Register.

Estimated Number of Awards: 23 Individual Development Grants. 

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

notice. Applicants should periodically check the PPOHA Program 

Web site for further information. The address is: 

http://www.ed.gov/programs/ppoha/index.html.

Project Period: Up to 60 months.

III. Eligibility Information

1. Eligible Applicants: Institutions of higher education 

(IHEs) that offer a postbaccalaureate certificate or 

postbaccalaureate degree program and qualify as eligible Hispanicserving institutions (HSIs) under section 502 of the HEA. To 

qualify as an eligible HSI for the PPOHA Program under section 502 

of the HEA, an IHE must--
16

(a) Have an enrollment of needy students, as required by 

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

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

average educational and general expenditures that are low, per 

full-time equivalent (FTE) undergraduate student, in comparison 

with the average educational and general expenditures per fulltime equivalent undergraduate student of institutions that offer 

similar instruction (20 U.S.C. 1101a(a)(2)(A)(ii)); 

Note: To demonstrate an enrollment of needy students (paragraph 

(a) of this section) and low average educational and general 

expenditures per FTE undergraduate student (paragraph (b) of this 

section), an IHE must be designated as an “eligible institution” 

in accordance with 34 CFR 606.3 through 606.5 and the notice 

inviting applications for Designation as Eligible Institutions for 

FY 2014 (74 FR 3579). 

(c) Be accredited by a nationally recognized accrediting 

agency or association that the Secretary has determined to be a 

reliable authority as to the quality of education or training 

offered, or is making reasonable progress toward accreditation, 

according to such an agency or association (20 U.S.C. 

1101a(a)(2)(A)(iv));

(d) Be legally authorized to provide, and provides within 

the State, an educational program for which the institution awards 

a bachelor's degree (20 U.S.C. 1101a(a)(2)(A)(iii)); and
17

(e) Have an enrollment of undergraduate FTE students that is 

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

immediately preceding the date of application (20 U.S.C. 

1101a(a)(5)(B)).

Note 1: Funds for the PPOHA Program will be awarded each fiscal 

year; thus, for this program, the “end of the award year 

immediately preceding the date of application” refers to the end 

of the fiscal year prior to the application due date. The end of 

the fiscal year occurs on September 30 for any given year. 

Therefore, for purposes of making the determination described in 

paragraph (e) of this section, IHEs must report their 

undergraduate Hispanic FTE percent based on the student enrollment 

count closest to, but not after, September 30, 2008.

Note 2: In considering applications for grants under this 

program, the Department will compare the data and documentation 

the institution relied on in its application with data reported to 

the Department’s Integrated Postsecondary Education Data System 

(IPEDS), the IHE’s State-reported enrollment data, and the 

institutional annual report. If different percentages or data are 

reported in these various sources, the institution must, as part 

of the eligibility process, explain the reason for the 

differences. If the IPEDS data show that less than 25 percent of 

the institution’s undergraduate full-time equivalent (FTE) 

students are Hispanic, the burden is on the institution to show 

that the IPEDS data are inaccurate. If the IPEDS data indicate 
18

that the institution has an undergraduate FTE less than 25 

percent, and the institution fails to demonstrate that the IPEDS 

data are inaccurate, the institution will be considered 

ineligible.

Note 3: As noted elsewhere in this notice, to be eligible 

for a grant under the PPOHA Program, an institution must be 

designated as an eligible institution under 34 CFR 606.5. 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 (74 FR 3579), and the deadline for 

applications was March 7, 2014. Only institutions that submitted 

the required application and received designation through that 

process are eligible to submit an application for this 

competition.

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

cost sharing or matching.

3. Other: An eligible HSI will not be awarded more than one 

Individual Development Grant under the PPOHA Program (20 U.S.C. 

1101c(c)). 

IV. Application and Submission Information

1. Address to Request Application Package: Dr. Maria E. 

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

6033, Washington, DC 20006-8513. Telephone: (202) 502-7548 or by 

e-mail: Maria.Carrington@ed.gov. 
19

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

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, large 

print, audiotape, or computer diskette) by contacting the program 

contact person listed in this section. 

2. Content and Form of Application Submission: Requirements 

concerning the content of an application, together with the forms 

you must submit, are in the application package for this program. 

Page Limit: The application narrative is where the applicant 

addresses the selection criteria that reviewers use to evaluate 

your application. We have established mandatory page limits for 

the PPOHA Program--Individual Development Grant application. You 

must limit the section of the narrative that addresses the 

selection criteria to no more than 50 pages, using the following 

standards:

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

at the top, bottom, and both sides.

 Double space (no more than three lines per vertical 

inch) all text in the application narrative, except titles, 

headings, footnotes, quotations, references, captions, and all 

text in charts, tables, figures, and graphs, which may be singlespaced. 

 Use a font that is either 12 point or larger; or, no
20

smaller than 10 pitch (characters per inch). 

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

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

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

accepted. 

 The page limit does not apply to the cover sheet; the budget 

section, including the budget narrative justification; the 

assurances and certifications, or the one-page abstract. 

 We will reject your application if you exceed the page limit.

 3. Submission Dates and Times: 

Applications for grants under this program must be submitted 

electronically using the Grants.gov Apply site (Grants.gov). For 

information (including dates and times) about how to submit your 

application electronically, or in paper format by mail or hand 

delivery if you qualify for an exception to the electronic 

submission requirement, please refer to section IV. 7. Other 

Submission Requirements of this notice.

We do not consider an application that does not comply with 

the deadline requirements.

Individuals with disabilities who need an accommodation or 

auxiliary aid in connection with the application process should 

contact one of the persons listed under For Further Information 

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

an accommodation or auxiliary aid to an individual with a 

disability in connection with the application process, the 
21

individual’s application remains subject to all other requirements 

and limitations in this notice.

Deadline for Intergovernmental Review: [INSERT DATE 90 DAYS AFTER 

DATE OF PUBLICATION IN THE FEDERAL REGISTER]. 

4. Intergovernmental Review: This program is subject to 

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

Information about Intergovernmental Review of Federal Programs 

under Executive Order 12372 is in the application package for this 

program.

5. Funding Restrictions: We reference regulations outlining 

funding restrictions in the Applicable Regulations section of this 

notice.

6. Data Universal Numbering System Number, Taxpayer

Identification Number, Central Contractor Registry, and System for 

Award Management: To do business with the Department of 

Education, you must--

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

and a Taxpayer Identification Number (TIN);

 b. Register both your DUNS number and TIN with the 

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
22

 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 2-5 weeks for your TIN to 

become active. 

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: 

www.grants.gov/applicants/get_registered.jsp.
23

7. Other Submission Requirements: Applications for grants 

under this competition 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 PPOHA Program, CFDA Number 

84.031M, must be submitted electronically using the Government 

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

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

complete it offline, and then upload and submit your application. 

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

us.

We will reject your application if you submit it in paper 

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

for one of the exceptions to the electronic submission requirement 

and submit, no later than two weeks before the application 

deadline date, a written statement to the Department that you 

qualify for one of these exceptions. Further information 

regarding calculation of the date that is two weeks before the 

application deadline date is provided later in this section under 

Exception to Electronic Submission Requirement.

You may access the electronic grant application for 

Developing Hispanic-Serving Institutions 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 
24

alpha suffix in your search (e.g., search for 84.031, not 

84.031M).

Please note the following:

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

information about submitting an application electronically through 

the site, as well as the hours of operation.

• Applications received by Grants.gov are date and time 

stamped. Your application must be fully uploaded and submitted 

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

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

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

not accept your application if it is received--that is, date and 

time stamped by the Grants.gov system--after 4:30:00 p.m., 

Washington, DC time, on the application deadline date. We do not 

consider an application that does not comply with the deadline 

requirements. When we retrieve your application from Grants.gov, 

we will notify you if we are rejecting your application because it 

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

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

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

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

the application and the speed of your Internet connection. 

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

application deadline date to begin the submission process through 

Grants.gov. 
25

• You should review and follow the Education Submission 

Procedures for submitting an application through Grants.gov that 

are included in the application package for this competition to 

ensure that you submit your application in a timely manner to the 

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

Procedures pertaining to Grants.gov under News and Events on the 

Department’s G5 system home page at 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.
26

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

• After you electronically submit your application, you will 

receive from Grants.gov an automatic notification of receipt that 

contains a Grants.gov tracking number. (This notification 

indicates receipt by Grants.gov only, not receipt by the 

Department.) The Department then will retrieve your application 

from Grants.gov and send a second notification to you by e-mail. 

This second notification indicates that the Department has 

received your application and has assigned your application a 

PR/Award number (an ED-specified identifying number unique to your 

application).

• We may request that you provide us original signatures on 

forms at a later date.

Application Deadline Date Extension in Case of Technical Issues 

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

submitting your application through Grants.gov, please contact the 

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

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

record of it.

If you are prevented from electronically submitting your 

application on the application deadline date because of 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 
27

electronically or by hand delivery. You also may mail your 

application by following the mailing instructions described 

elsewhere in this notice. 

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

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

person listed under For Further Information Contact in section VII 

of this notice and provide an explanation of the technical problem 

you experienced with Grants.gov, along with the Grants.gov Support 

Desk Case Number. We will accept your application if we can 

confirm that a technical problem occurred with the Grants.gov 

system and that that problem affected your ability to submit your 

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

application deadline date. The Department will contact you after 

a determination is made on whether your application will be 

accepted. 

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

to the unavailability of, or technical problems with, the 

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

failed to fully register to submit your application to Grants.gov 

before the application deadline date and time or if 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––
28

• You do not have access to the Internet; or 

• You do not have the capacity to upload large documents to 

the Grants.gov system;

and

• No later than two weeks before the application deadline 

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

the application deadline date falls on a Federal holiday, the next 

business day following the Federal holiday), you mail or fax a 

written statement to the Department, explaining which of the two 

grounds for an exception prevent you from using the Internet to 

submit your application. 

If you mail your written statement to the Department, it must 

be postmarked no later than two weeks before the application 

deadline date. If you fax your written statement to the 

Department, we must receive the faxed statement no later than two 

weeks before the application deadline date.

Address and mail or fax your statement to: Dr. Maria E. 

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

6033, Washington, DC 20006-8513. FAX: (202) 502-7861.

Your paper application must be submitted in accordance with 

the mail or hand delivery instructions described in this notice.

b. Submission of Paper Applications by Mail.

If you qualify for an exception to the electronic submission 

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

commercial carrier) your application to the Department. You must 
29

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 84.031M)

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.

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.
30

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 84.031M)

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 grant 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
31

1. Selection Criteria: The selection criteria for this

program are from section 75.210 of the Education Department 

General Administrative Regulations (EDGAR) (34 CFR 75.210) and are 

as follows. Applicants must address each of the selection 

criteria (separately for each proposed activity). The total 

weight of the selection criteria is 100 points; the weight of each 

criterion is noted in parentheses.

(a) Need for project. (Maximum 20 points) In determining 

the need for the proposed project, the Secretary considers:

(i) The magnitude of the need for the services to be 

provided or the activities to be carried out by the proposed 

project. (10 points)

(ii) The extent to which the proposed project will focus on 

serving or otherwise addressing the needs of disadvantaged 

individuals. (5 points)

(iii) The extent to which specific gaps or weaknesses in 

services, infrastructure, or opportunities have been identified 

and will be addressed by the proposed project, including the 

nature and magnitude of those gaps or weaknesses. (5 points)

(b) Quality of the project design. (Maximum 15 points) In 

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

Secretary considers:

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

to be achieved by the proposed project are clearly specified and 

measurable. (10 points)
32

(ii) The extent to which the design of the proposed project 

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

target population or other identified needs. (5 points)

(c) Quality of project services. (Maximum 15 points) In 

determining the quality of the services to be provided by the 

proposed project, the Secretary considers the quality and 

sufficiency of strategies for ensuring equal access and treatment 

for eligible project participants who are members of groups that 

have traditionally been underrepresented based on race, color, 

national origin, gender, age, or disability. In addition, the 

Secretary considers:

(i) The extent to which the services to be provided by the 

proposed project are appropriate to the needs of the intended 

recipients or beneficiaries of those services. (10 points)

(ii) The extent to which the services to be provided by the 

proposed project reflect up-to-date knowledge from research and 

effective practice. (5 points)

(d) Quality of project personnel. (Maximum 10 points) In 

determining the quality of project personnel, the Secretary 

considers the extent to which the applicant encourages 

applications for employment from persons who are members of groups 

that have traditionally been underrepresented based on race, 

color, national origin, gender, age, or disability. In addition, 

the Secretary considers:
33

(i) The qualifications, including relevant training and

experience, of the project director or principal investigator. (5 

points)

(ii) The qualifications, including relevant training and 

experience, of key project personnel. (5 points)

(e) Adequacy of resources. (Maximum 5 points) In 

determining the adequacy of resources for the proposed project, 

the Secretary considers:

(i) The extent to which the budget is adequate to support 

the proposed project. (3 points)

(ii) The extent to which the costs are reasonable in 

relation to the objectives, design, and potential significance of 

the proposed project. (2 points)

(f) Quality of the management plan. (Maximum 20 points) In 

determining the quality of the management plan for the proposed 

project, the Secretary considers:

(i) The adequacy of the management plan to achieve the 

objectives of the proposed project on time and within budget, 

including clearly defined responsibilities, timelines, and 

milestones for accomplishing project tasks. (10 points)

(ii) The adequacy of procedures for ensuring feedback and 

continuous improvement in the operation of the proposed project. 

(5 points)

(iii) The adequacy of mechanisms for ensuring high-quality 

products and services from the proposed project. (5 points)
34

(g) Quality of the project evaluation. (Maximum 15 points) 

In determining the quality of the evaluation, the Secretary 

considers:

(i) The extent to which the methods of evaluation are 

thorough, feasible, and appropriate to the goals, objectives, and 

outcomes of the proposed project. (5 points)

(ii) The extent to which the methods of evaluation include 

the use of objective performance measures that are clearly related 

to the intended outcomes of the project and will produce 

quantitative and qualitative data to the extent possible. (5 

points)

(iii) The extent to which the methods of evaluation will 

provide performance feedback and permit periodic assessment of 

progress toward achieving intended outcomes. (5 points)

2. Review and Selection Process: We remind potential 

applicants that in reviewing applications in any discretionary 

grant competition, the Secretary may consider, under 34 CFR 

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

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

achievement of project objectives, and compliance with grant 

conditions. The Secretary may also consider whether the applicant 

failed to submit a timely performance report or submitted a report 

of unacceptable quality.

In addition, in making a competitive grant award, the 

Secretary also requires various assurances including those 
35

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).

Additional factors we consider in selecting an application 

for an award are as follows:

(a) Applicants must provide, as an attachment to the 

application, the documentation the institution relied upon in 

determining that at least 25 percent of the institution’s 

undergraduate FTE students are Hispanic. 

Note: The 25 percent requirement applies only to undergraduate

Hispanic students and is calculated based upon FTE students. 

Instructions for formatting and submitting the verification 

documentation to Grants.gov are in the application package for 

this competition.

 (b) Tie-breaker for Development Grants. In tie-breaking 

situations for development grants, the Department will award one 

additional point to an application from an IHE that has an 

endowment fund for which the market value per FTE student is less 

than the comparable average per FTE student at a similar type IHE. 

We will also award one additional point to an application from an 

IHE that had expenditures for library materials per FTE student 

that are less than the comparable average per FTE student at a 

similar type IHE. (34 CFR 606.23(b)(1) and (b)(2))
36

For the purpose of these funding considerations, we will use 

2011-2012 data. 

If a tie remains after applying the tie-breaker mechanism 

above, priority will be given for Individual Development Grants to 

applicants that have the lowest endowment values per FTE student. 

(34 CFR §606.23(b)(1))

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

Secretary may impose special conditions on a grant if the 

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

unsatisfactory performance; has a financial or other management 

system that does not meet the standards in 34 CFR parts 74 or 80, 

as applicable; has not fulfilled the conditions of a prior grant; 

or is otherwise not responsible.

VI. Award Administration Information

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

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

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

also.

If your application is not evaluated or not selected for 

funding, we notify you.

2. Administrative and National Policy Requirements: We 

identify administrative and national policy requirements in the 

application package and reference these and other requirements in 

the Applicable Regulations section of this notice. 
37

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 the competition. 

This does not apply if you have an exception under 2 CFR 

170.110(b).

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

final performance report, including financial information, as 

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

must submit an annual performance report that provides the most 

current performance and financial expenditure information as

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

also require more frequent performance reports under 34 CFR 

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

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

4. Performance Measures: The Secretary has established the 

following key performance measures for assessing the effectiveness 

of the PPOHA Program: 

(a) The percentage change, over the five-year grant period, 

of the number of full-time degree-seeking graduate and 
38

professional students enrolled at HSIs currently receiving an 

award under this program. 

(b) The percentage change, over the five-year grant period, 

of the number of master’s, doctoral and first-professional 

degrees, and postbaccalaureate certificates awarded at HSIs 

currently receiving an award under this program. 

(c) Cost per successful outcome: Federal cost per master’s 

degree, doctoral and first-professional degree, and post 

baccalaureate certificate at HSIs currently receiving an award 

under this program.

(d) Continuation Awards: In making a continuation award, 

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

which a grantee has made “substantial progress toward meeting the 

objectives in its approved application.” This consideration 

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

projected outcomes in its approved application, and whether the 

grantee has expended funds in a manner that is consistent with its 

approved application and budget. In making a continuation grant, 

the Secretary also considers whether the grantee is operating in 

compliance with the assurances in its approved application, 

including those applicable to Federal civil rights laws that 

prohibit discrimination in programs or activities receiving 

Federal financial assistance from the Department (34 CFR 100.4, 

104.5, 106.4, 108.8, and 110.23).
39

VII. Agency Contacts

For Further Information Contact: Dr. Maria E. Carrington, U.S. 

Department of Education, 1990 K Street, NW., room 6033, 

Washington, DC 20006-8513. Telephone: (202) 502-7548 or by email: Maria.Carrington@ed.gov.

If you use a TDD, 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 computer 

diskette) on request to the program contact person listed under 

For Further Information Contact in section VII of this notice.

Electronic Access to This Document: The official version of this 

document is the document published in the Federal Register. Free 

Internet access to the official edition of the Federal Register

and the Code of Federal Regulations is available via the Federal 

Digital System at: www.gpo.gov/fdsys. At this site you can view 

this document, as well as all other documents of this Department 

published in the Federal Register, in text or Adobe Portable 

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

Reader, which is available free at 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 
40

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

documents published by the Department.

Dated: 

_______________________________

Brenda Dann-Messier,

Acting Assistant Secretary

For Postsecondary Education
41

Title V – Developing Institutions

Part B – Promoting Postbaccalaureate Opportunities for Hispanic Americans 

SEC. 511. PURPOSES.

 The purposes of this part are-

 (1) to expand the postbaccalaureate educational opportunities for, and improve the 

academic attainment of, Hispanic students; and

(2) to expand the postbaccalaureate academic offerings and enhance the program quality in 

the institutions of higher education that are educating the majority of Hispanic college 

students and, helping large numbers of Hispanic and low-income students complete 

postsecondary degrees.

SEC. 512. PROGRAM AUTHORITY AND ELIGIBILITY.

 (a) PROGRAM AUTHORIZED.-Subject to the availability of funds appropriated

to carry out this part, the Secretary shall award grants, on a competitive basis, to eligible 

institutions to enable the eligible institutions to carry out the authorized activities described 

in section 513.

(b) ELIGIBILITY.- For the purposes of this part, an 'eligible institution' means an 

institution of higher education that-

 (1) is a Hispanic-serving institution (as defined in section 502); and

 (2) offers a postbaccalaureate certificate or postbaccalaureate degree granting program.

SEC. 513. AUTHORIZED ACTIVITIES.

 

 Grants awarded under this part shall be used for one or more of the following activities:

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

including instructional and research purposes.

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

laboratories, and other instructional facilities, including purchase or rental of telecommunications technology equipment or services.

(3) Purchase of library books, periodicals, technical and other scientific journals, 

microfilm, microfiche, and other educational materials, including telecommunications 

program materials.

(4) Support for low-income postbaccalaureate students including outreach, academic 

support services, mentoring, scholarships, fellowships, and other financial assistance to 

permit the enrollment of such students in postbaccalaureate certificate and 

postbaccalaureate degree granting programs.

(5) Support of faculty exchanges, faculty development, faculty research, curriculum 

development, and academic instruction.

(6) Creating or improving facilities for Internet or other distance education technologies, 
42

including purchase or rental of telecommunications technology equipment or services.

(7) Collaboration with other institutions of higher education to expand postbaccalaureate 

certificate and postbaccalaureate degree offerings.

(8) Other activities proposed in the application submitted pursuant to section 514 that-

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

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

 application.

SEC. 514. APPLICATION AND DURATION.

 

(a) APPLlCATION.-Any eligible institution may apply for a grant under this part by

submitting an application to the Secretary at such time and in such manner as the Secretary

may require. Such application shall demonstrate how the grant funds will be used to 

improve postbaccalaureate education opportunities for Hispanic and low-income students.

(b) DURATION.-Grants under this part shall be awarded for a period not to exceed five 

years.

(c) LIMITATION.-The Secretary may not award more than one grant under this part in any 

fiscal year to any Hispanic-serving institution. 

(b) CONFORMING AMENDMENTS.-Title V (20 U.S.C. 1101 et seq.) is amended-

 (1) in section 502-

(A) in subsection (a)(2)(A)(ii), by striking "section 512(b)" and inserting 

"section 522(b); and

(B) in subsection (b)(2), by striking "section 512(a)" and inserting "section 

522/a);

(2) in section 521(c)(6) (as redesignated by subsection (a)(2)), by striking "section 

516" and inserting "section 526”; and 

(3) in section 526 (as redesignated by subsection (a)(2)), by striking "section 518" 

and inserting "section 528”,

SEC. 503. APPLICATIONS.

 

Section 521(b)(1)(A) (as redesignated by section 502(a)(2)) (20 U.S.C. 1103(b)(1)(A)) is 

amended by striking "subsection (b)" and inserting "subsection (c)".

SEC. 505. AUTHORIZATION OF APPROPRIATIONS.

 

Section 528(a) (as redesignated by section 502(a)(2)) (20 U.S.C. 1103g(a)) is amended to 

read as follows:

 (a) AUTHORIZATIONS.-

 (1) PARTS A AND C.-There are authorized to be appropriated to carry out parts A 

and C $175,000,000 for fiscal year 2009 and such sums as may be necessary for each of the 

five succeeding fiscal years.

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

$100,000,000 for fiscal year 2009 and such sums as may be necessary for each of the five 

succeeding fiscal years.

SEC. 898. POSTBACCALAUREATE PROGRAMS

In addition to any amounts appropriated under part B of title V, there are authorized to be 

appropriated, and there are appropriated, out of any funds in the Treasury not otherwise
43

appropriated, $10,672,000 for fiscal year 2014 and for each of the five succeeding fiscal 

years to carry out part B of title V.

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# [commenter must insert number--including suffix letter, if any], U.S. Department of 

Education, room 7E200. 400 Maryland Avenue, SW., Washington, DC 20202.

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

Recommendations or comments may be hand-delivered until 4:30 p.m. (eastern time) on the 

closing date indicated in this notice.

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

submits its completed applications. Do not send applications to the above address.
44

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 uploading 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.
45

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 2007-2012. 

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 Developing Hispanic-Serving Institutions Program are part of 

the Department’s plan for meeting Goal 3. The Department’s specific goal for this program is “to 

strengthen Hispanic-Serving Institutions.” 

What are the Performance Indicators for the PPOHA Program?

The Developing Hispanic-Serving Institutions Program’s overarching goal 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 highquality educational opportunities for their students.

The specific performance indicators for the Promoting Postbaccalaureate Opportunities for 

Hispanic Americans (PPOHA) Program are as follows:

The Secretary has established the following key performance measures for assessing the 

effectiveness of the PPOHA program: 1) The percentage change, over the five-year grant period, 

of the number of full-time degree-seeking graduate and professional students enrolled at HSIs. 2) 

The percentage change, over the five-year grant period, of the number of master’s, doctoral and 

first-professional degrees and post baccalaureate certificates awarded at HSIs. 3) Cost per 
46

successful outcome: federal cost per master’s, doctoral and first-professional degree and post 

baccalaureate certificate in the PPOHA program. 

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.
47

Instructions for Completing the Application 

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

manner that the submitted application should be organized. The parts are as follows: 

Part I: 424 Forms:

 Application for Federal Assistance (SF 424)

 Department of Education Supplemental Information form for SF 424 

Note: Applicants must complete the SF 424 form first because the information you provide here is 

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

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. Note: Section C – Budget Narrative should be included in the “Project 

Narrative Attachment Form,” located in Part III. 

Part III: Other Forms

 ED Abstract Form 

 Project Narrative Attachment Form

 Other Attachments Form

ED Abstract Form is where applicants will upload their one-page project abstract that will provide 

an overview of the proposed project.

Project Narrative Attachment Form is where applicants will upload the narrative responses to the 

selection criteria that will be used to evaluate applications submitted for this competition. Please 

include a Table of Contents as the first page of the project narrative. You must limit the project 

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

Narrative should be numbered consecutively.

The “Budget Narrative” is part of the selection criteria (Adequacy of Resources) and should be 

included in the Project Narrative and uploaded to the Project Narrative Attachment Form. 

Other Attachments Form is where applicants will upload the PPOHA Program Profile Form and 

the PPOHA Project Activity Budget Detail Form. Please note that if these forms are missing 

from your application, your application will be deemed ineligible.

Part IV: Assurances, Certifications, and Survey Forms

 GEPA Section 427 requirement 

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

 Grants.gov Lobbying Form (formerly ED Form 80.0013)

 Disclosure of Lobbying Activities (SF-LLL)
48

 Survey on Ensuring Equal Opportunity for Applicants

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

Standard Form (SF 424). Although 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 file types will not be accepted.
49

INSTRUCTIONS FOR PROJECT NARRATIVE

Applicants will upload the project narrative to the “Project Narrative Attachment Form” in 

the Application Package, downloaded from Grants.gov.

Please note that you must limit the section of the narrative that addresses the selection criteria to 

no more than 50 pages using the following standards: 

Formatting

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

sides. Double-space (no more than three lines per vertical inch) all text in the application 

narrative, except titles, headings, footnotes, quotations, references, captions, and all text 

in charts, tables, figures and graphs. Applicants may use one of the following fonts: 

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

other font (including Times Roman and Arial Narrow) will not be accepted. Use a font 

that is either 12 point or larger or no smaller than 10 pitch (characters per inch). The 

page limit does not apply to the cover sheet; the budget section, including the budget 

narrative justification; the assurances and certifications, or the one-page abstract. We 

will reject your application if you exceed the page limit.

 

Before preparing the Project Narrative, applicants should review the Program Statute, Authorized 

Activities on page 44 of the Application Package (one or more of the listed activities should be 

used), the Federal Register Notice, the Dear Applicant Letter, and Competition Highlights for 

specific guidance and requirements. 

The Secretary evaluates an application according to the Education Department General 

Administrative Regulations (EDGAR) selection criteria in 34 CFR 75.210. The Project Narrative 

should provide in detail the information that addresses 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. 

Applicants MUST address each of the following PPOHA selection criteria:

1. Need for the Project (20 points)

2. Quality of the Project Design (15 points)

3. Quality of Project Services (15 points)

4. Quality of Project Personnel (10 points)

5. Adequacy of Resources ( 5 points)

6. Quality of the Management Plan (20 points)

7. Quality of Project Evaluation (15 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:
50

1. Need for the project. (20 Points) In determining the need for the proposed project, the 

Secretary considers:

a. The magnitude of the needs for the services to be provided or the activities to be carried out 

by the proposed project. (10 points)

b. The extent to which the proposed project will focus on serving or otherwise addressing the 

needs of disadvantaged individuals. (5 points)

c. The extent to which specific gaps or weaknesses in services, infrastructure, or opportunities 

have been identified and will be addressed by the proposed project, including the nature and 

magnitude of those gaps or weaknesses. (5 points)

2. Quality of the project design. (15 Points) In determining the quality of the design of the 

proposed project, the Secretary considers: 

a. The extent to which the goals, objectives, and outcomes to be achieved by the proposed 

project are clearly specified and measurable. (10 points)

b. The extent to which the design of the proposed project is appropriate to, and will successfully

address, the needs of the target population or other identified needs. (5 points)

3. Quality of project services. (15 Points) In determining the quality of the services to be 

provided by the proposed project, the Secretary considers the quality and sufficiency of 

strategies for ensuring equal access and treatment for eligible project participants who are 

members of groups that traditionally have been underrepresented based on race, color, national 

origin, gender, age, or disability. In addition, the Secretary considers:

a. The extent to which the services provided by the proposed project are appropriate to the 

needs of the intended recipients or beneficiaries of those services. (10 points)

b. The extent to which the services to be provided by the proposed project reflect up-to-date 

knowledge from research and effective practice. (5 points)

4. Quality of project personnel. (10 Points) In determining the quality of project personnel, the 

Secretary considers the extent to which the applicant encourages applications for employment 

from persons who are members of groups that traditionally have been underrepresented based 

on race, color, national origin, gender, age, or disability. In addition, the Secretary considers:

a. The qualifications, including relevant training and experience, of the project director or 

principal investigator. (5 points)

b. The qualifications, including relevant training and experience, of key project personnel. 

(5 points)

5. Adequacy of resources. (5 Points) In determining the adequacy of resources for the proposed 

project, the Secretary considers:

a. The extent to which the budget is adequate to support the proposed project. (3 points)

b. The extent to which the costs are reasonable in relation to the objectives, design, and 

potential significance of the proposed project. (2 points)

6. Quality of the management plan. (20 Points) In determining the quality of the management 

plan for the proposed project, the Secretary considers: 

a. The adequacy of the management plan to achieve the objectives of the proposed project on 

time and within budget, including clearly defined responsibilities, timelines, and milestones 

for accomplishing project tasks. (10 points)
51

b. The adequacy of procedures for ensuring feedback and continuous improvement in the 

operation of the proposed project. (5 points)

c. The adequacy of mechanisms for ensuring high-quality products and services from the 

proposed project. (5 points)

7. Quality of the project evaluation. (15 Points) In determining the quality of the evaluation, the 

Secretary considers:

a. The extent to which the methods of evaluation are thorough, feasible and appropriate to the 

goals, objectives and outcomes of the proposed project. (5 points)

b. The extent to which the methods of evaluation will provide performance feedback and permit 

periodic assessment of progress toward achieving intended outcomes. (5 points) 

c. The extent to which the methods of evaluation include the use of objective performance 

measures that are clearly related to the intended outcomes of the project and will produce 

quantitative and qualitative data to the extent possible. (5 points)
52

THE FOLLOWING GUIDANCE MAY ASSIST YOU IN ADDRESSING EACH OF THE 

WEIGHTED SELECTION CRITERIA:

Need for the Project: When addressing this criterion, applicants should provide detailed 

information that not only identifies a need for their proposed project but they should also provide 

data that supports their claim for a need for the proposed project. Supporting documentation may

consist of recent statistics from State, local and Federal sources; mission statement; comparison 

data from similar institutions, etc.

Quality of the Project Design: When addressing this criterion, applicants should clearly and 

succinctly identify the goals, objectives, and outcomes to be achieved. A mere listing of the goals, 

objectives, and outcomes is not sufficient. The identified goals, objectives and outcomes should 

not only address the identified need for the project but should also be measurable and support the 

purpose of the HSI program.

Quality of Project Services: When addressing this criterion, applicants should clearly spell out 

the activities and services it is proposing and the intended recipients or beneficiaries of each 

service or activity. A mere listing of the services and beneficiaries is not enough. Provide details 

as to the types of activities and services to be provided and the extent to which the activities and 

services reflect up-to-date knowledge from research and effective practice. In other words, will 

the proposed activities and services meet the need of the project?

Quality of Project Personnel: The minimum qualifications must be identified for all project 

personnel positions. The minimum educational qualifications should include the type of degree 

required and the acceptable field(s) of study. The type and minimum amount of work-related 

experience should also be described for each position. 

Adequacy of Resources: This section should provide information that shows that the proposed 

budget will provide adequate resources necessary to successfully carry out the proposed project. 

Applicants should demonstrate here how the proposed costs would enable them to carry out the 

project and that the proposed costs are reasonable in relation to the objectives, design and 

significance of the proposed project.

Quality of Management Plan: Describe the plan of management. Who will be responsible for 

which tasks? What are the expected timelines and proposed budgets for each activity or service? 

What are the expected milestones for accomplishing the proposed activities or services? Have you 

included procedures that will ensure feedback and the opportunity for continuous improvement in 

the operation of the proposed project? Be sure that the management plans are clearly and 

concisely defined.

Quality of the Project Evaluation: A strong evaluation plan should be included and should be 

used, as appropriate, to shape the development of the project from the beginning of the grant 

period. The evaluation plan should include process and outcome performance measures and 

benchmarks to monitor progress toward meeting specific project objectives and goals. 

Specifically, the plan should identify the individual or organization that has agreed to serve as 

evaluator for the project and describe the qualifications of the evaluator. The plan should describe 

the evaluation design, indicating: (1) what types of data will be collected; (2) when various types 

of data will be collected; (3) what methods will be used; (4) what instruments will be developed 
53

and when; (5) how the data will be analyzed; (6) when reports and outcomes will be available; and 

(7) how the applicant will use the information collected through evaluation to monitor progress of 

the funded project. Applicants are encouraged to devote an appropriate level of resources to 

project evaluation and should explain the measures and strategies that will be used to ensure that 

the evaluation is appropriately rigorous and independent.
54

Instructions for Standard Forms:

● APPLICATION FACE SHEET (SF 424)

● DEPARTMENT OF EDUCATION SUPPLEMENTAL FORM (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

● ACTIVITY BUDGET DETAIL FORM INSTRUCTIONS
55

INSTRUCTIONS FOR THE SF-424

This is a standard form (including the continuation sheet) required for use as a cover sheet for submission of pre-applications and 

applications and related information under discretionary programs. Some of the items are required and some are optional at the 

discretion of the applicant or the Federal agency (agency). Required items are identified with an asterisk on the form and are 

specified in the instructions below. In addition to the instructions provided below, applicants must consult agency instructions to 

determine specific requirements.

Item Entry: Item Entry:

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

accordance with agency instructions.

 Pre-application

 Application

 Changed/Corrected Application – If requested by the agency, 

check if this submission is to change or correct a previously 

submitted application. Unless requested by the agency, 

applicants may not use this to submit changes after the closing 

date.

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

agency from which assistance is being requested with this application.

11. Catalog Of Federal Domestic Assistance Number/Title: Enter the 

Catalog of Federal Domestic Assistance number and title of the program 

under which assistance is requested, as found in the program 

announcement, if applicable. 

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

accordance with agency instructions.

 New – An application that is being submitted to an agency for 

the first time.

 Continuation - An extension for an additional funding/budget 

period for a project with a projected completion date. This can 

include renewals.

 Revision - Any change in the Federal Government’s financial 

obligation or contingent liability from an existing obligation. If a 

revision, enter the appropriate letter(s). More than one may be 

selected. If "Other" is selected, please specify in text box 

provided. 

A. Increase Award B. Decrease Award

 C. Increase Duration D. Decrease Duration 

 E. Other (specify)

12. Funding Opportunity Number/Title: (Required) Enter the Funding 

Opportunity Number and title of the opportunity under which assistance 

is requested, as found in the program announcement.

13. Competition Identification Number/Title: Enter the Competition 

Identification Number and title of the competition under which assistance 

is requested, if applicable.

14. Areas Affected By Project: List the areas or entities using the 

categories (e.g., cities, counties, states, etc.) specified in agency 

instructions. Use the continuation sheet to enter additional areas, if 

needed.

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

by the Federal agency.

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

descriptive title of the project. If appropriate, attach a map showing 

project location (e.g., construction or real property projects). For pre4. Applicant Identifier: Enter the entity identifier assigned by the applications, attach a summary description of the project.

Federal agency, if any, or applicant’s control number, if applicable.

5a Federal Entity Identifier: Enter the number assigned to your 

organization by the Federal Agency, if any.

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

Congressional District, and 16b. Enter all District(s) affected by the 

program or project. Enter in the format: 2 characters State Abbreviation –

3 characters District Number, e.g., CA-005 for California 5thth district, 

CA-012 for California 12th district, NC-103 for North Carolina’s 103rd

district. 

 If all congressional districts in a state are affected, enter “all” for the 

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

Maryland.

 If nationwide, i.e. all districts within all states are affected, enter USall. 

 If the program/project is outside the US, enter 00-000.

5b. Federal Award Identifier: For new applications leave blank. For a 

continuation or revision to an existing award, enter the previously 

assigned Federal award identifier number. If a changed/corrected 

application, enter the Federal Identifier in accordance with agency 

instructions.

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

assigned by the State, if applicable.

7. State Application Identifier: Leave this field blank. This identifier 

will be assigned by the State, if applicable.

8. Applicant Information: Enter the following in accordance with 

agency instructions:

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

will undertake the assistance activity. This is the name that the 

organization has registered with the Central Contractor Registry. 

Information on registering with CCR may be obtained by visiting the 

Grants.gov website.

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

start date and end date of the project.

b. Employer/Taxpayer Number (EIN/TIN): (Required): Enter the 

Employer or Taxpayer Identification Number (EIN or TIN) as 

assigned by the Internal Revenue Service. If your organization is 

not in the US, enter 44-4444444. 18. Estimated Funding: (Required) Enter the amount requested or to be 

contributed during the first funding/budget period by each contributor. 

Value of in-kind contributions should be included on appropriate lines, as 

applicable. If the action will result in a dollar change to an existing award, 

indicate only the amount of the change. For decreases, enclose the 

amounts in parentheses. 

c. Organizational DUNS: (Required) Enter the organization’s 

DUNS or DUNS+4 number received from Dun and Bradstreet. 

Information on obtaining a DUNS number may be obtained by 

visiting the Grants.gov website.

d. Address: Enter the complete address as follows: Street address 

(Line 1 required), City (Required), County, State (Required, if 

country is US), Province, Country (Required), Zip/Postal Code 

(Required, if country is US).

19. Is Application Subject to Review by State Under Executive Order 

12372 Process? Applicants should contact the State Single Point of 

Contact (SPOC) for Federal Executive Order 12372 to determine 

e. Organizational Unit: whether the application is subject to the State intergovernmental review Enter the name of the primary 
56

organizational unit (and department or division, if applicable) that

will undertake the assistance activity, if applicable.

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

application was submitted to the State

f. Name and contact information of person to be contacted on 

matters involving this application: Enter the name (First and last 

name required), organizational affiliation (if affiliated with an 

organization other than the applicant organization), telephone 

number (Required), fax number, and email address (Required) of 

the person to contact on matters related to this application.

20. Is the Applicant Delinquent on any Federal Debt? (Required) Select

the appropriate box. This question applies to the applicant organization, 

not the person who signs as the authorized representative. Categories of 

debt include delinquent audit disallowances, loans and taxes.

If yes, include an explanation on the continuation sheet.

9. Type of Applicant: (Required)

Select up to three applicant type(s) in accordance with agency

instructions.

21. Authorized Representative: (Required) To be signed and dated by the 

authorized representative of the applicant organization. Enter the name 

(First and last name required) title (Required), telephone number 

(Required), fax number, and email address (Required) of the person 

authorized to sign for the applicant. 

A copy of the governing body’s authorization for you to sign this 

application as the official representative must be on file in the applicant’s 

office. (Certain Federal agencies may require that this authorization be 

submitted as part of the application.)

A. State Government

B. County Government

C. City or Township Government

D. Special District Government

E. Regional Organization

F. U.S. Territory or Possession

G. Independent School District

H. Public/State Controlled Institution of 

Higher Education

I. Indian/Native American Tribal 

Government (Federally Recognized)

J. Indian/Native American Tribal 

Government (Other than Federally 

Recognized)

K. Indian/Native American Tribally 

Designated Organization

L. Public/Indian Housing Authority 

M. Nonprofit with 

501C3 IRS 

Status (Other 

than Institution 

of Higher 

Education)

N. Nonprofit 

without 501C3 

IRS Status 

(Other than 

Institution of 

Higher 

Education)

O. Private 

Institution of 

Higher 

Education

P. Individual

Q. For-Profit 

Organization 

(Other than 

Small 

Business)

R. Small Business

S. Hispanicserving 

Institution

T. Historically 

Black Colleges 

and 

Universities 

(HBCUs)

U. Tribally 

Controlled 

Colleges and 

Universities 

(TCCUs)

V. Alaska Native 

and Native 

Hawaiian 

Serving 

Institutions

W. Non-domestic 

(non-US) Entity

X. Other (specify)
INSTRUCTIONS FOR

DEPARTMENT OF EDUCATION SUPPLEMENTAL INFORMATION FOR SF 424

a. Project Director . Name, address, telephone and fax 

numbers, and e-mail address of the person to be contacted on matters 

involving this application.

2. Novice Applicant. Check “Yes” or “No” only if assistance is 

being requested under a program that gives special consideration to 

novice applicants. Otherwise, leave blank.

Check “Yes” if you meet the requirements for novice applicants 

specified in the regulations in 34 CFR 75.225 and included on the 

attached page entitled “Definitions for Department of Education 

Supplemental Information for SF 424.” By checking “Yes” the 

applicant certifies that it meets these novice applicant requirements. 

Check “No” if you do not meet the requirements for novice 

applicants.

3. Human Subjects Research. (See I. A. “Definitions” in 

attached page entitled “Definitions for Department of Education 

Supplemental Information For SF 424.”)

If Not Human Subjects Research. Check “No” if research 

activities involving human subjects are not planned at any time

during the proposed project period. The remaining parts of Item 3 

are then not applicable.

If Human Subjects Research. Check “Yes” if research activities 

involving human subjects are planned at any time during the 

proposed project period, either at the applicant organization or at any

other performance site or collaborating institution. Check “Yes” 

even if the research is exempt from the regulations for the protection 

of human subjects. (See I. B. “Exemptions” in attached page 

entitled “Definitions for Department of Education Supplemental 

Information For SF 424.”) 

3a . If Human Subjects Research is Exempt from the Human 

Subjects Regulations . Check “Yes” if all the research activities 

proposed are designated to be exempt from the regulations. Insert 

the exemption number(s) corresponding to one or more of the six 

exemption categories listed in I. B. “Exemptions.” In addition, 

follow the instructions in II. A. “Exempt Research Narrative” in the 

attached page entitled “Definitions for Department of Education 

Supplemental Information For SF 424.” 

3a . If Human Subjects Research is Not Exempt from Human 

Subjects Regulations. Check “No” if some or all of the planned 

research activities are covered (not exempt). In addition, follow the 

instructions in II. B. “Nonexempt Research Narrative” in the page 

entitled “Definitions for Department of Education Supplemental 

Information For SF 424

3a . Human Subjects Assurance Number . If the applicant has an 

approved Federal Wide (FWA) on file with the Office for Human 

Research Protections (OHRP), U.S. Department of Health and 

Human Services, that covers the specific activity, insert the number 

in the space provided. If the applicant does not have an approved 

assurance on file with OHRP, enter “None.” In this case, the 

applicant, by signature on the SF-424, is declaring that it will comply

with 34 CFR 97 and proceed to obtain the human subjects assurance 

upon request by the designated ED official. If the application is 

recommended/selected for funding, the designated ED official will 

request that the applicant obtain the assurance within 30 days after 

the specific formal request.

Note about Institutional Review Board Approval. ED does not 

require certification of Institutional Review Board approval with the 

application. However, if an application that involves non-exempt 

human subjects research is recommended/selected for funding, the 

designated ED official will request that the applicant obtain and send 

the certification to ED within 30 days after the formal request.
DEFINITIONS FOR

DEPARTMENT OF EDUCATION SUPPLEMENTAL INFORMATION FOR SF 424

(Attachment to Instructions for Supplemental Information for SF 424)

Definitions:

Novice Applicant (See 34 CFR 75.225). For discretionary grant 

programs under which the Secretary gives special consideration to 

novice applications, a novice applicant means any applicant for a 

grant from ED that—

 Has never received a grant or sub-grant under the program 

from which it seeks funding;

 Has never been a member of a group application, submitted in 

accordance with 34 CFR 75.127-75.129, that received a grant 

under the program from which it seeks funding; and

 Has not had an active discretionary grant from the Federal 

government in the five years before the deadline date for 

applications under the program. For the purposes of this 

requirement, a grant is active until the end of the grant’s 

project or funding period, including any extensions of those 

periods that extend the grantee’s authority to obligate funds.

In the case of a group application submitted in accordance with 34 

CFR 75.127-75.129, a group includes only parties that meet the 

requirements listed above.

PROTECTION OF HUMAN SUBJECTS IN RESEARCH

I . Definitions and Exemptions

A . Definitions.

A research activity involves human subjects if the activity is 

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

research activity will involve use of human subjects, as defined in 

the regulations.

—Research

The ED Regulations for the Protection of Human Subjects, Title 

34, Code of Federal Regulations, Part 97, define research as “a 

systematic investigation, including research development, testing 

and evaluation, designed to develop or contribute to generalizable 

knowledge.” If an activity follows a deliberate plan whose 

purpose is to develop or contribute to generalizable knowledge it 

is research. Activities which meet this definition constitute 

research whether or not they are conducted or supported under a 

program that is considered research for other purposes. For 

example, some demonstration and service programs may include 

research activities.

—Human Subject

The regulations define human subject as “a living individual about 

whom an investigator (whether professional or student) conducting 

research obtains (1) data through intervention or interaction with 

the individual, or (2) identifiable private information.” (1) If an 

activity involves obtaining information about a living person by 

manipulating that person or that person’s environment, as might 

occur when a new instructional technique is tested, or by 

communicating or interacting with the individual, as occurs with 

surveys and interviews, the definition of human subject is met. (2) 

If an activity involves obtaining private information about a living 

person in such a way that the information can be linked to that 

individual (the identity of the subject is or may be readily 

determined by the investigator or associated with the information), 

the definition of human subject is met. [Private information 

includes information about behavior that occurs in a context in 

which an individual can reasonably expect that no observation or 

recording is taking place, and information which has been 

provided for specific purposes by an individual and which the 

individual can reasonably expect will not be made public (for 

example, a school health record).]

B. Exemptions.

Research activities in which the only involvement of human 

subjects will be in one or more of the following six categories of 

exemptions are not covered by the regulations:

(1) Research conducted in established or commonly accepted 

educational settings, involving normal educational practices, such 

as (a) research on regular and special education instructional 

strategies, or (b) research on the effectiveness of or the comparison 

among instructional techniques, curricula, or classroom 

management methods.

(2) Research involving the use of educational tests (cognitive, 

diagnostic, aptitude, achievement), survey procedures, interview 

procedures or observation of public behavior, unless: (a) 

information obtained is recorded in such a manner that human 

subjects can be identified, directly or through identifiers linked to 

the subjects; and (b) any disclosure of the human subjects’ 

responses outside the research could reasonably place the subjects 

at risk of criminal or civil liability or be damaging to the subjects’ 

financial standing, employability, or reputation. If the subjects 

are children, exemption 2 applies only to research involving 

educational tests and observations of public behavior when the 

investigator(s) do not participate in the activities being observed . 

Exemption 2 does not apply if children are surveyed or 

interviewed or if the research involves observation of public 

behavior and the investigator(s) participate in the activities being 

observed. [Children are defined as persons who have not attained 

the legal age for consent to treatments or procedures involved in 

the research, under the applicable law or jurisdiction in which the 

research will be conducted.]
(3) Research involving the use of educational tests (cognitive, 

diagnostic, aptitude, achievement), survey procedures, interview 

procedures or observation of public behavior that is not exempt 

under section (2) above, if the human subjects are elected or 

appointed public officials or candidates for public office; or 

federal statute(s) require(s) without exception that the 

confidentiality of the personally identifiable information will be 

maintained throughout the research and thereafter.

(4) Research involving the collection or study of existing data, 

documents, records, pathological specimens, or diagnostic 

specimens, if these sources are publicly available or if the 

information is recorded by the investigator in a manner that 

subjects cannot be identified, directly or through identifiers linked 

to the subjects.

(5) Research and demonstration projects which are conducted by 

or subject to the approval of department or agency heads, and 

which are designed to study, evaluate, or otherwise examine: (a) 

public benefit or service programs; (b) procedures for obtaining 

benefits or services under those programs; (c) possible changes in 

or alternatives to those programs or procedures; or (d) possible 

changes in methods or levels of payment for benefits or services 

under those programs.

(6) Taste and food quality evaluation and consumer acceptance 

studies, (a) if wholesome foods without additives are consumed or 

(b) if a food is consumed that contains a food ingredient at or 

below the level and for a use found to be safe, or agricultural 

chemical or environmental contaminant at or below the level 

found to be safe, by the Food and Drug Administration or 

approved by the Environmental Protection Agency or the Food 

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

Agriculture.

II . Instructions for Exempt and Nonexempt Human Subjects 

Research Narratives

If the applicant marked “Yes” for Item 3 of Department of 

Education Supplemental Information for SF 424, the applicant 

must provide a human subjects “exempt research” or “nonexempt 

research” narrative. Insert the narrative(s) in the space provided. 

If you have multiple projects and need to provide more than one 

narrative, be sure to label each set of responses as to the project 

they address.

A . Exempt Research Narrative.

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

numbers(s), provide the “exempt research” narrative . The 

narrative must contain sufficient information about the 

involvement of human subjects in the proposed research to allow a 

determination by ED that the designated exemption(s) are 

appropriate . The narrative must be succinct.

B . Nonexempt Research Narrative.

If you marked “No” for item 3 a. you must provide the 

“nonexempt research” narrative . The narrative must address the 

following seven points. Although no specific page limitation 

applies to this section of the application, be succinct.

(1) Human Subjects Involvement and Characteristics: Provide 

a detailed description of the proposed involvement of human 

subjects. Describe the characteristics of the subject population, 

including their anticipated number, age range, and health status. 

Identify the criteria for inclusion or exclusion of any

subpopulation. Explain the rationale for the involvement of 

special classes of subjects, such as children, children with 

disabilities, adults with disabilities, persons with mental 

disabilities, pregnant women, prisoners, institutionalized 

individuals, or others who are likely to be vulnerable

(2) Sources of Materials: Identify the sources of research material 

obtained from individually identifiable living human subjects in 

the form of specimens, records, or data. Indicate whether the 

material or data will be obtained specifically for research purposes 

or whether use will be made of existing specimens, records, or 

data.

(3) Recruitment and Informed Consent: Describe plans for the 

recruitment of subjects and the consent procedures to be followed. 

Include the circumstances under which consent will be sought and 

obtained, who will seek it, the nature of the information to be 

provided to prospective subjects, and the method of documenting 

consent . State if the Institutional Review Board (IRB) has 

authorized a modification or waiver of the elements of consent or 

the requirement for documentation of consent.

(4) Potential Risks: Describe potential risks (physical, 

psychological, social, legal, or other) and assess their likelihood 

and seriousness. Where appropriate, describe alternative 

treatments and procedures that might be advantageous to the 

subjects.

(5) Protection Against Risk: Describe the procedures for 

protecting against or minimizing potential risks, including risks to 

confidentiality, and assess their likely effectiveness. Where 

appropriate, discuss provisions for ensuring necessary medical or 

professional intervention in the event of adverse effects to the 

subjects. Also, where appropriate, describe the provisions for 

monitoring the data collected to ensure the safety of the subjects.

(6) Importance of the Knowledge to be Gained: Discuss the 

importance of the knowledge gained or to be gained as a result of 

the proposed research. Discuss why the risks to subjects are 

reasonable in relation to the anticipated benefits to subjects and in 

relation to the importance of the knowledge that may reasonably 

be expected to result.

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

will take place at collaborating site(s) or other performance site(s), 

name the sites and briefly describe their involvement or role in the 

research.

Copies of the Department of Education’s Regulations for the 

Protection of Human Subjects, 34 CFR Part 97 and other 

pertinent materials on the protection of human subjects in 

research are available from the Grants Policy and Oversight 

Staff, Office of the Chief Financial Officer, U.S. Department of 

Education, Washington, DC 20202-4250, telephone: (202) 245-

6120, and on the U.S. Department of Education’s Protection of 

Human Subjects in Research Web Site: 

http://www.ed.gov/about/offices/list/OCFO/humansub.html

NOTE: The State Applicant Identifier on the SF 424 is for State Use 

only. Please complete it on the OMB Standard 424 in the upper right 

corner of the form (if applicable).
52

Instructions for ED 524

General Instructions

This form is used to apply to individual U.S. Department of 

Education (ED) discretionary grant programs. Unless directed 

otherwise, provide the same budget information for each year of 

the multi-year funding request. Pay attention to applicable 

program specific instructions, if attached. Please consult with 

your Business Office prior to submitting this form.

Section A - Budget Summary

U.S. Department of Education Funds

All applicants must complete Section A and provide a 

breakdown by the applicable budget categories shown in lines 1-

11.

Lines 1-11, columns (a)-(e): For each project year for which 

funding is requested, show the total amount requested for each 

applicable budget category.

Lines 1-11, column (f): Show the multi-year total for each 

budget category. If funding is requested for only one project 

year, leave this column blank.

Line 12, columns (a)-(e): Show the total budget request for each 

project year for which funding is requested.

Line 12, column (f): Show the total amount requested for all 

project years. If funding is requested for only one year, leave 

this space blank.

Indirect Cost Information: 

If you are requesting reimbursement for indirect costs on line 

10, this information is to be completed by your Business Office. 

(1): Indicate whether or not your organization has an Indirect 

Cost Rate Agreement that was approved by the federal 

government. (2): If you checked “yes” in (1), indicate in (2) the 

beginning and ending dates covered by the Indirect Cost Rate 

Agreement. In addition, indicate whether ED or another federal 

agency (Other) issued the approved agreement. If you check 

“Other,” specify the name of the federal agency that issued the 

approved agreement. (3): If you are applying for a grant under 

a Restricted Rate Program (34 CFR 75.563 or 76.563), indicate 

whether you are using a restricted indirect cost rate that is 

included on your approved Indirect Cost Rate Agreement or 

whether you are using a restricted indirect cost rate that 

complies with 34 CFR 

76.564(c)(2). Note: State or local government agencies may 

not use the provision for a restricted indirect cost rate specified 

in 34 CFR 76.564(c)(2). Check only one response. Leave 

blank, if this item is not applicable.

Section B - Budget Summary

Non-Federal Funds

If you are required to provide or volunteer to provide matching 

funds or other non-federal resources to the project, these should 

be shown for each applicable budget category on lines 1-11 of 

Section B.

Lines 1-11, columns (a)-(e): For each project year, for which 

matching funds or other contributions are provided, show the 

total contribution for each applicable budget category.

Lines 1-11, column (f): Show the multi-year total for each 

budget category . If non-federal contributions are provided for 

only one year, leave this column blank.

Line 12, columns (a)-(e): Show the total matching or other 

contribution for each project year.

Line 12, column (f): Show the total amount to be contributed 

for all years of the multi-year project. If non-Federal 

contributions are provided for only one year, leave 

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

Pay attention to applicable program specific instructions, 

if attached.

1 . Provide an itemized budget breakdown, and justification by 

project year, for each budget category listed in Sections A 

and B . For grant projects that will be divided into two or 

more separately budgeted major activities or sub-projects, 

show for each budget category of a project year the 

breakdown of the specific expenses attributable to each subproject or activity.

2 . If applicable to this program, provide the rate and base on 

which fringe benefits are calculated.

3 . If you are requesting reimbursement for indirect costs on 

line 10, this information is to be completed by your Business 

Office. Specify the estimated amount of the base to which 

the indirect cost rate is applied and the total indirect 

expense. Depending on the grant program to which you are 

applying and/or your approved Indirect Cost Rate 

Agreement, some direct cost budget categories in your grant 

application budget may not be included in the base and 

multiplied by your indirect cost rate. For example, you must 

multiply the indirect cost rates of “Training grants" (34 

CFR 75.562) and grants under programs with “Supplement 

not Supplant” requirements ("Restricted Rate" programs) by 

a “modified total direct cost” (MTDC) base (34 CFR 75.563 

or 76.563). Please indicate which costs are included and 

which costs are excluded from the base to which the indirect 

cost rate is applied.

When calculating indirect costs (line 10) for "Training 

grants" or grants under "Restricted Rate" programs, you 

must refer to the information and examples on ED’s 

website at: 

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

ml. 

You may also contact (202) 377-3838 for additional 

information regarding calculating indirect cost rates or 

general indirect cost rate information.

4. Provide other explanations or comments you deem 

necessary.
53

Budget Summary Form (ED 524) and Budget Narrative Instructions: 

NOTE: Applicants must submit (1) a budget information form to categorize requested funds (ED 524); 

AND (2) a budget narrative, as part of the project narrative (Adequacy of Resources), is to be uploaded to 

the “Project Narrative Attachment Form” in the Application Package downloaded from Grants.gov; 

For this competition, applicants may receive funding for five years. The Department is requesting that 

you complete the Budget Summary Form (ED Form 524) and budget narrative for the five year period.

Summary Budget

Using the Summary Budget Form (ED 524), prepare a summary budget for the entire project that totals all the 

costs by category for each year of the grant. Check for accuracy for all budget totals within an activity budget 

and between the activity budget(s) and the summary budget. If any inaccuracies occur, the Education 

Department may choose the lesser of two budget figures and you may lose money that you could have 

otherwise received.

PPOHA Project Activity Budget Detail Form Instructions

Note: Applicants must submit a detailed budget narrative for each activity using the “PPOHA Project Activity

Budget Detail Form,” to be uploaded to the “Other Attachments Form.” Upon completion, upload the 

PPOHA Project Activity Budget Detail Form in .pdf format.

Activity Budgets

On the PPOHA Project Activity Budget Detail Form, please provide detailed, itemized budgets for each 

activity for the five years for which grant funds are sought. If you fail to provide details, we may not be 

able to determine if the costs of the activities are necessary and reasonable and may disallow such 

costs. For all costs, demonstrate that they are reasonable in today’s market and necessary to accomplish 

activity objectives. In particular, you should justify any single cost exceeding $25,000 – excluding 

salaries and fringe benefits.
54

PPOHA Project Activity Budget Detail Form

INSTRUCTIONS: ALL applicants must complete and submit this form. You may copy or recreate this form, but do not amend or modify the required 

information or format. Upon completion, attach this document as a .pdf into Part III of the “Other Attachments Form” of the Grants.gov application package.

Activity Budget (To be completed for every activity for which funding is requested)

1. Name of Institution: 2. Activity Title:

3. Budget Categories By 

Year

First Year Second Year Third Year Fourth Year Fifth Year Total Funds 

Requested

Object Class

% 0f 

Time

Funds 

Requested

% Of 

Time

Funds 

Requested

% Of 

Time

Funds 

Requested

% Of 

Time

Funds 

Requested

% Of 

Time

Funds 

Requested

a. Personnel (Position 

Title)

$ $ $ $ $ $

SUB-TOTAL $ $ $ $ $ $

b. Fringe Benefits ___% $ $ $ $ $ $

c. Travel $ $ $ $ $ $

d. Equipment $ $ $ $ $ $

e. Supplies $ $ $ $ $ $

f. Contractual $ $ $ $ $ $

g. Construction $ $ $ $ $ $

h. Other (endowment) $ $ $ $ $ $

i. TOTAL DIRECT 

CHARGES

$ $ $ $ $ $

1. Explain in detail how you arrived at the total amount requested in each object class in each year of the activity. If you fail to provide sufficient details, we 

may disallow costs.
INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING ACTIVITIES

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

or receipt of a covered Federal action, or a material change to a previous filing, pursuant to Title 31 U.S.C. Section 1352. The 

filing of a form is required for each payment or agreement to make payment to any lobbying entity for influencing or attempting 

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

a Member of Congress in connection with a covered Federal action. Complete all items that apply for both the initial filing and 

material change report. Refer to the implementing guidance published by the Office of Management and Budget for additional 

information.

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

outcome of a covered Federal action.

2. Identify the status of the covered Federal action.

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

information previously reported, enter the year and quarter in which the change occurred. Enter the date of the last 

previously submitted report by this reporting entity for this covered Federal action.

4. Enter the full name, address, city, State and zip code of the reporting entity. Include Congressional District, if known. 

Check the appropriate classification of the reporting entity that designates if it is, or expects to be, a prime or sub-award 

recipient. Identify the tier of the sub-awardee, e.g., the first sub-awardee of the prime is the 1st tier. Sub-awards include 

but are not limited to subcontracts, subgrants and contract awards under grants.

5. If the organization filing the report in item 4 checks “Subawardee,” then enter the full name, address, city, State and zip 

code of the prime Federal recipient. Include Congressional District, if known.

6. Enter the name of the federal agency making the award or loan commitment. Include at least one organizational level 

below agency name, if known. For example, Department of Transportation, United States Coast Guard.

7. Enter the Federal program name or description for the covered Federal action (item 1). If known, enter the full Catalog 

of Federal Domestic Assistance (CFDA) number for grants, cooperative agreements, loans, and loan commitments.

8. Enter the most appropriate Federal identifying number available for the Federal action identified in item 1 (e.g., Request 

for Proposal (RFP) number; Invitations for Bid (IFB) number; grant announcement number; the contract, grant, or loan 

award number; the application/proposal control number assigned by the Federal agency). Included prefixes, e.g., “RFPDE-90-001.”

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

Federal amount of the award/loan commitment for the prime entity identified in item 4 or 5.

10. (a) Enter the full name, address, city, State and zip code of the lobbying registrant under the Lobbying Disclosure Act of 

1995 engaged by the reporting entity identified in item 4 to influence the covered Federal action.

(b) Enter the full names of the individual(s) performing services, and include full address if different from 10(a) . Enter 

Last Name, First Name, and Middle Initial (MI).

11. The certifying official shall sign and date the form, print his/her name, title, and telephone number.
Provide the applicant’s (organization) name and DUNS number and the grant name and CFDA number.

1. Self-explanatory.

2. Self-identify.

3. Self-identify.

4. 501(c)(3) status is a legal designation provided on application to the Internal Revenue Service by eligible 

organizations. Some grant programs may require nonprofit applicants to have 501(c)(3) status. Other grant 

programs do not.

5. Self-explanatory.

6. For example, two part-time employees who each work half-time equal one full-time equivalent employee. If the 

applicant is a local affiliate of a national organization, the responses to survey questions 2 and 3 should reflect the 

staff and budget size of the local affiliate. 

7. Annual budget means the amount of money your organization spends each year on all of its activities.

Survey Instructions on Ensuring Equal Opportunity for Applicants
Promoting Postbaccalaureate Opportunities for Hispanic Americans Assurances

Additional instructions for applicants:

Applicants enter PPOHA assurance data on the “PPOHA Program Profile Form” in Part III of the 

application. Applicants will upload the “PPOHA Program Profile Form” to the “Other Attachments 

Form” of the Grants.gov application package.

The statute governing the Hispanic-Serving Institutions Program requires the applicant to provide an 

assurance to the following:

The applicant has an enrollment of undergraduate full-time equivalent 

(FTE) students that is at least 25 percent Hispanic students at the end of 

the award year immediately preceding the date of application.

For the purposes of the calculation, use your institution’s student enrollment count closest to, but not 

after, September 30, 2013.

Whatever the full-time course load is at your institution, count a full-time undergraduate degree 

student as one FTE.

To determine the FTE for part-time undergraduate students, total the number of credit hours of all parttime undergraduate students. Include both part-time degree students and part-time unclassified 

students. Divide the total number of credit hours for the part-time undergraduate students by twelve 

(12). The result is the FTE for part-time undergraduate students.

Note: An unclassified undergraduate student is one who is not a candidate for a degree or other 

formal award, but is taking courses for credit in regular classes with undergraduate degree students. 

However, both classified and unclassified undergraduate students enrolled must be in a program of at 

least two years in length that would result in the award of a certificate, associate degree or other 

educational credential.

 

To calculate the total undergraduate FTE Enrollment Count: Add the FTE of full-time undergraduate 

students and the FTE of part-time undergraduate students.

To calculate the Hispanic Undergraduate FTE Enrollment Count: Add the FTE of full-time 

undergraduate Hispanic students and the FTE of part-time undergraduate Hispanic students.

To calculate the Undergraduate FTE Hispanic Percent: Divide the Hispanic Undergraduate FTE 

Enrollment Count by the Total Undergraduate FTE Enrollment Count and multiply by 100. 

To calculate the Hispanic Enrollment Count: (Note: This calculation includes all Hispanic students 

regardless of enrollment status or graduate/undergraduate status). Determine the total number of 

Hispanic students.
SUPPLEMENTAL INFORMATION AND INSTRUCTIONS

PPOHA Program Profile Form: All applicants must complete the information requested on this 

page. Using the profile, the applicant will provide information on Assurances and Eligibility. Do not 

modify, amend or delete any of this document. 

Applicants must copy and paste this page into a separate document, or recreate the page exactly as it 

appears. Then, complete the page, save it to your computer and upload it to the “Other Attachments 

Form,” in the Application Package downloaded from Grants.gov, as a .pdf document. Do not modify

or amend the contents of the form in any way. 

PPOHA Program Assurances: All applicants must provide assurances regarding the percent of 

Hispanic students enrolled at their institution. By inserting a check mark in the box or an X in front of 

the box, for item #11, and by providing the required data for items #8 and #9 on the “PPOHA Program 

Profile Form,” an applicant certifies that it will fully comply with the requirements. 

Special Note: The Department will cross-reference, for verification, documentation reported to the 

Department’s Integrated Postsecondary Education Data System (IPEDS), the institution’s state 

reported enrollment data, and the institutional annual report. If different percentages or data are 

reported in these various sources, the institution must, as part of the eligibility process, explain the 

reason for the differences. If the IPEDS data show that less than 25 percent of the institution’s 

undergraduate full-time equivalent (FTE) students are Hispanic, the burden is on the institution to 

show that the IPEDS data are inaccurate. Please note that a replication or copy of the instructions is 

not evidence that the IPEDS data are inaccurate. If the IPEDS data indicate that the institution has an 

undergraduate FTE less than 25 percent, and the institution fails to demonstrate that the IPEDS data 

are inaccurate, the institution will be considered ineligible.

Page Limits: The project narrative is where the applicant addresses the selection criteria that reviewers 

use to evaluate your application. We have established mandatory page limits for the Individual 

Development Grant application. 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.

The page limit does not apply to the Application for Federal Assistance face sheet (SF 424); the 

Supplemental Information Form required by the Department of Education; the Budget Information 

Summary Form (ED Form 524); the PPOHA Project Activity Detail Budget Form and the Assurances,

Certifications, and Survey forms. The page limit also does not apply to a table of contents or the 

project abstract. If you include any attachments or appendices other than those specifically requested, 

these items will be counted as part of the project narrative for purposes of the page limit requirement. 

You must include your complete response to the selection criteria in the project narrative.

Formatting Requirements: A ‘‘page’’ is 8.5′′ x 11′′, on one side only, with 1 inch margins at the top, 

bottom, and both sides. Double space (no more than three lines per vertical inch) all text in the 

application narrative, except titles, headings, footnotes, quotations, references, captions and all text in 

charts, tables, and graphs. Use one of the following fonts: Times New Roman, Courier, Courier New, 

or Arial. Applications submitted in any other font (including Times Roman and Arial Narrow) will not 

be accepted. Use font size 12.
Special Note: No special accommodations or reformatting justifications will be given for any 

applications not meeting page limits and formatting requirements.
PPOHA Program Profile Form

INSTRUCTIONS: ALL applicants must complete and submit this profile. You may copy or recreate this 

form, but do not amend or modify the required information or format. Please complete all sections of this 

form. Upon completion, attach this document as a .pdf to the “Other Attachments Form” in Part III of the 

Grants.gov application package.

1. Name of Institution/Campus Requesting: (Use your institution’s complete name. If your institution is a branch campus, use the 

parent institution’s name but follow it with the name of the branch campus. For example, you would cite the State University of New York, 

Brockport Campus.)

Institution/Campus OPE ID#: DUNS#:

2. Applicant Address: (All applicants must indicate the address where the project will be located)

Project Address:

City: State: Zip:

3. Participating Institutions in a Collaborative Activity:

3a. Name of Applicant Institution (Lead):

3b. Name of Participating Institutions DUNS Number Location (city/state)

1.

2.

3.

4. Tie-breaker Information: Enter the full-time equivalent (FTE) enrollment for Fall 2011. See the Application Guide and 

Federal Register Notice for instructions on calculating FTE enrollment.

Total Fall 2011 FULL-TIME EQUIVALENT (FTE) students =

a) Total market value of endowment fund for 2011-12

b) Total expenditures for library material during 2011-12

Note: Failure to provide information requested in items a) and b) above may result in the Department not considering the 

application under a tie-breaker situation.

5. Postbaccalaureate Assurance:

 The institution certifies that it is an eligible Hispanic-Serving Institution (HSI) offering either a postbaccalaureate certificate 

or a postbaccalaureate degree. 

6. Endowment Fund Assurance:

 The institution certifies that it proposes to use no more than twenty percent (20%) of the PPOHA Program development 

grant, made under the authority of Title V, of the Higher Education Act of 1965, as amended to establish or increase the 

institution’s endowment fund. The institution agrees to abide by the Department of Education’s regulations governing the 

Endowment Challenge Grant Program, 34 CFR Part 628, the program statute, and the program regulations, 34 CFR Part 606. 

The institution further agrees to raise the required matching funds.

7. Institutional Assurance Statistics: See the Application Guide and the Federal Register Notice for PPOHA Assurance 

Instructions. Please provide us with the data your institution reported to the following: IPEDS and State Reported Enrollment. 

Enter information for all areas below for Fall 2012 (up to September 30, 2012). 

8a. PPOHA Assurance:

Total Undergraduate FTE Enrollment Count:

Hispanic Undergraduate FTE Enrollment Count:

Total Hispanic Enrollment Count:

Undergraduate FTE Hispanic Percent:

8b. State Enrollment Reported 

Data:

Hispanic Undergraduate FTE 

Enrollment:

Undergraduate FTE Hispanic Percent:

8c. IPEDS Reported Data:

Hispanic Undergraduate FTE 

Enrollment:

Undergraduate FTE Hispanic Percent:
9. Eligibility Documentation: Please provide us with the documentation the institution relied upon in determining that at least 25 

percent of the institution’s undergraduate FTE students are Hispanic. 

NOTE: The Department will compare the data and documentation the institution relied on in this application with data reported to 

the Integrated Postsecondary Education Data System (IPEDS), the institution’s state reported enrollment data, and the institutional 

annual report. If different percentages or data are reported in these various sources, the institution must, as part of the eligibility 

process, explain the reason for the differences. If the IPEDS data show that less than 25 percent of the institution’s undergraduate 

full-time equivalent (FTE) students are Hispanic, the burden is on the institution to show that the IPEDS data are inaccurate. Please 

note that a replication or copy of the instructions is not evidence that the IPEDS data are inaccurate. If the IPEDS data indicate that 

the institution has an undergraduate FTE less than 25 percent, and the institution fails to demonstrate that the IPEDS data are 

inaccurate, the institution will be considered ineligible. 

10. Certifying Representative:

Name:

Title:

Contact Number:

Fax Number:

11. By checking this box, the applicant and President of the 

institution certify that the IHE will comply with the statutory 

requirements, program standards, and program assurance cited in 34 

CFR Part 606.2. (a) and (b), 606.3, 606.4, and 606.5; and EDGAR 34 

CFR Parts 74, 75, 77, 79, 81, 82, 84, 85, 86, 97, 98, and 99.
Application Checklist

Use This Checklist While Preparing Your Application Package: All items listed on this 

checklist are required.

 Application for Federal Assistance (SF 424) – Completed in the Application Package found in 

Grants.gov 

 Department of Education Supplemental Information for SF 424 – Completed in the Application 

Package found in Grants.gov 

 Department of Education Budget Information Non-Construction Programs Form (ED 524) –

Completed in the Application Package found in Grants.gov 

 One-Page Project Abstract – Uploaded to the “ED Abstract Form” in the Application Package 

found in Grants.gov

 Project Narrative – Uploaded to the “Project Narrative Attachment Form” in the Application 

Package found in Grants.gov 

 Promoting Postbaccalaureate Opportunities for Hispanic Americans Program Profile Form –

Uploaded to the “Other Attachments Form” in the Application Package found in Grants.gov

 Promoting Postbaccalaureate Opportunities for Hispanic Americans Project Activity Budget 

Detail Form – Uploaded to the “Other Attachments Form” in the Application Package found in 

Grants.gov

 Assurances and Certifications– Completed in the Application Package found in Grants.gov 

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

 Grants.gov Lobbying Form (formerly Certification Regarding Lobbying 

ED 80-0013)

 Disclosure of Lobbying Activities (SF-LLL)

 Survey on Ensuring Equal Opportunity for Applicants 

 ED GEPA 427 Form 
Paperwork Burden Statement

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

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

reporting burden for this collection of information is estimated to average 75 hours per 

response, including time for reviewing instructions, searching existing data sources, gathering 

and maintaining the data needed, and completing and reviewing the collection of information.

The obligation to respond to this collection is required to obtain or retain benefit (Section 511-

514 of Title V, Part B, of the Higher Education Act (HEA) of 1965). Send comments 

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

suggestions for reducing this burden, to regulations.gov during the public comment period for 

this collection of information. If you have specific questions about the form, instrument or 

survey, please contact: U.S. Department of Education, Promoting Postbaccalaureate 

Opportunities for Hispanic Americans, 1990 K Street, NW, 6th floor, Washington, DC 20006 

or email maria.carrington@ed.gov and reference the OMB Control Number 1840-0804.