### U. S. DEPARTMENT OF EDUCATION **OFFICE OF POSTSECONDARY EDUCATION WASHINGTON, D.C. 20006**  **- 8510**  http://www2.ed.gov/programs/ppoha/index.html



## FY 20 **14 APPLICATION FOR GRANTS**  **UNDER THE TITLE V, PAR**  **T B PROMOTING POSTBACCALAUREATE OPPORTUNITIES**  **FOR HISPANIC AMERICANS PROGRAM**

**CFDA Number: 84.031M FORM APPROVED**  OMB no. 1840
- 0804 , Expiration Date: Month/Day /20 1 4

**DATED MATERIAL**

**– OPEN IMMEDIATELY**  **CLOSING DATE: MONTH/DAY/20 14** 

## Table of Conten **ts** Page

Dear Applicant Letter................................................................ 1 Competition Highlights.............................................................. 4 Grants.gov Submission Procedures and Tips....................................... 6 Application Transmittal Instructions............................................... 9 N otice Inviting Applications for New Awards.............................................. 1 1 Program Statute..........
............................................................... 41 Intergovernmental Review......

...................................................... 43 General Education Provisions Act (GEPA)....................................... 44 Government Performance Res ults Act (GPRA).........

.......................... 45 **INSTRUCTIONS** Instructions for Completing the Application....................................... 47 Instructions for Project Narrative.................................................... 4 9 Instructions for Standard Forms.............................................

........ 54 Instructions for the SF 424..............................

............................. 55 Instructions for Department of Education Supplemental Information for SF 424..................................................................... 5 6 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 ofLobb yi ng 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...................................................... 6 2 Application Checklist ...............................................................

. 63 Paperwork Burden Statement....................................................... 641

Dear Applicant: Thank you for your interest in applying for a grant under the fiscal year (FY) 20 14 competition for new awards under the Promoting Postbaccalaureate Opportunities f or 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 amende d, apply

to this competition. This letter highlights a few items in the application package that will be important to you in appl yi ng for grants under this program and additional information you may

be required to provide. Please review the entire applic ation 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 appli ed for and been designated as an eligible institution in accordance with eligibility requirements under Title V of the HEA. To be an eligible HSIfor the PPOHA program, an IHE must: (1) Be accredited or pre

- accredited b y a nationally recognized accreditin g agency or association that the Secretary has determined to be a reliable authority as to the quality

of education or training offered; (2) Be legall y 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 ye ar immediatel y 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 , 20 14 , and the deadline for applications was March 7 , 20 14
. 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 aw ard ye ar immediatel y preceding the date of application. The Department will cross - reference, for verification, d ocumentation reported to the Department’s Integrated Postsecondary Education Data S ys tem (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 the2

IPEDS data are inaccurate. Please note that a replication or cop y of the instructions is not evidence that the IP EDS 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. Applicat ions f

or FY 20 14 grant s under the PPOHA Program must be submitted electronicall y 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 Grant s.gov submission requirements can be found in this application package. We urge you t o consider the se important factors regarding electronic submission : 1. **Register early in SAM**  **- the System for Award Manage**  **ment** (formerly Central Contractor Registry or CCR
. Go to https://www.sam.gov

. The process can take three to five business day s or up to two weeks. 2. **Register early in Grants.gov**
. Go to www.grants.gov
. The process can take three to five business day s 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 successfull y. 3. **S ubmit your application 2**  **- 3 days pr**  **ior 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 applicati on. 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 thei r 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 provid e 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 an d 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 a chieve 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 require ments for submitting a PPOHA grant application. You should not rely upon an y i nformation 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. C arrington at Maria.Carrington@ed.gov or b y 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 app reciate your interest in the Promoting Postbaccalaureate Opportunities for Hispanic Americans Program and look forward to receiving your application. Sincerel y,
Dr. Leonard R. Hay

nes Senior Director For Institutional Service4 

## Competition Highlights

1. PPOHA applications submitted for FY 20 14 must be submitted electronically using Grants.gov. You are urged to acquaint yourself with the requirements of Grants.gov earl y as the registration procedures may require up to 2 weeks to complete . A more thor ough discussion is included later in this application package. Grant s.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 r**  **egistered 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 c hanges or additions are needed once your application has been accepted and validated b y 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 app lication with the latest “date/time received” validation. 3. Under the Promoting Postbaccalaureate Opportunities for Hispanic Americans Program, $1 0.672 million has been designated for awards to Hispanic

- Serving Institutions who offer a postbaccalaureate cer

tificate 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 4 4, and one or more of the lis ted 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 carefull y before preparing your application. 4. Applicants are require d 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 s ys tem 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 quest ion #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 Profi le Form and check the box certifying that they

will comply

with the statutory

requirements and program assurances cited in the H S I program regulations, 34 CFR 606.2 (a) and (b). NOTE: 606.2 (a) (5) An eligible HSI appl yi ng for the PPOHA program is not a j unior 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 Budget5

Detail Form into a separate document or recreate the form exactl y 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 Sy stem (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 cop y of the instructions is not evidence that the IP EDS 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 app licant may

appl y 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 narr ative 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 yo u 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 no t 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. In cluded 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 rel y 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** 

## Gran **ts.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 b y 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 dow nload the latest version of Adobe reader ( at l east 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 d ownload the latest version is available on Grants.gov at this link: com patibility table . We strongly recommend that you revie w these detail s 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 requ ired 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 su pport@grants.gov or call 1

- 800
- 518
- 4726. 1) **REGISTER EARLY**

– Gr ants.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 applicati on 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 detai led 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 a ccount, 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 in cluding 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 successf ully 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, Grant**  **s.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 Age ncy

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 Applicati on 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 complet e, 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.g ov site: http://www.grants.gov/web/grants/applicants/applicant

- faqs/tracking

- an - application.html . For more detailed information on troubleshooting Ad obe 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 o f confirmations both online and via e

- mail about the status of your applicat ion. 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 co ntact 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, p lease 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 applicatio n 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 w ritten 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 of fline 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.go v/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 connecti on, 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 an d electronic**  **sub mission 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

- soft ware.html

. **If electronic submission is required and you are concerned about your ability to submit electronically as a non**  **** **windo ws user, please follow instructions in the Federal Register notice to obtain an exception to the electronic**  **sub mission require**  **ment 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 **. PD** **F files**  **only** for any attachments to your application, and they must be in a **read -**  **only, non -**  **mo difiable form**  **at** . PDF files are the only Education approved file type accepted as8 detailed in the Federal Register application notice. Applicants must submit indi vidual .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 uploade d 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 r esources: http://www.grants.gov/web/grants/support/technical

- support/software/pdf

- conversion

- software.html 2. Grants.gov cannot process an appli cation 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. Applicatio ns 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 mate rial 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 pa ckage before submission.
*P lease 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 i nformation located on Grants.gov: http://grants

- gov.blogspot.com/2012/07/information

- about

- pending

- migration .html#!/2012/07/information

about

- pending

- migration.html
11/20139



## Ap **plication Transmittal Instructions ATTENTION ELECTRONIC APPLICANTS: Please note that you must follow the**  **Application Procedures as described in the Fed**  **eral Register notice announcin**  **g 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, th**  **ose 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 appl y for a grant and be considered for funding, you must meet the following de adline 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.g ov, 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 for mat 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 Appl ication Control Center Attention: (CFDA Number 84. 031 M ) 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 legibl y dated U.S. Postal Service postmark. (2) A l egible 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) An y 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 postmarke d 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 rel yi ng on this method, you should check with your local post office. **Submission of Paper Ap plications 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 applicati on 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. 031 M ) 550 12th Street, SW. Room 7041, Potomac Center Plaza Washington, DC 20202
- 4260 The Application Control Center accepts hand deliveries dail y between 8:00 a.m. and 4:30:00 p.m., Washington, DC time, except Saturday s, Sunday s, and Federal holiday s. **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 an y, of the competition under which you are submitting yo ur 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) Pro gram 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 De scription12

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 student s 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 inst itutions that offer a postbaccalaureate certificate or degree granting program. To define the term “Hispanic
- serving institution” for purposes of the P POHA 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, Pa rt C, sections 521
- 528, of the HEA. In light of the overlap of these definitions and requirements, the Secretary has determined that it is ap propriate to adopt some of the requlatory requirements relating to eligibility criteria and tie
- breaking13

factors f r om 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 educati on 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 “Hispanic
serving 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 60 6.3, 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 o f 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 the14

Review and Selection Process section of this notice (section v.2.b.). Waiver of Proposed Rulemaking : Under the A dministrative 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, reg ulations governing the first grant competition under a new or substantially revised program authority. This is the first grant competition for this program under section 51 1 through 51 4 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 developm ent grants regulations from 34 CFR 606.23(b)(1) and (b)(2) for the PPOHA P rogram. These eligibility criteria and regulations will apply to the PPOHA Program FY 20 14 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. El igible Applicants : Institutions of higher education (IHEs) that offer a postbaccalaureate certificate or postbaccalaureate degree program and qualify as eligible Hispanic
serving institutions (HSIs) under section 502 of the HEA. T o 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 ed ucational and general expenditures that are low, per full
- time equivalent (FTE) undergraduate student, in comparison with the average educational and general expenditures per full
time equivalent undergraduate student of institutions that offer similar ins truction (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 20 14 (74 FR 3579). (c) Be accredited by a nationally recognized accrediting agen cy 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)(i v)); ( d ) Be legally authorized to provide , and provides within the State, an educational program for which the inst it ution awards a bachelor's degree (20 U.S.C. 1101a(a)(2)(A)(iii)) ; and17

( 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 y ear 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, f or 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 Depart ment 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. I f the IPEDS data show that less than 25 percent of the institution’s underg raduate 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 indicate18

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, t he 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. O nly 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. Ot her : An eligible HSI will not be awarded more than one Individual Development Grant under the PPOHA Program (20 U.S.C. 1101 c(c ) ) . IV. Application and Submission Information 1. Address to Request Application Package : Dr. Maria E. Carrington, U.S. Dep artment 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 i n 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 w here 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 t hat 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 single
spaced.

 Use a font that is either 12 point or larger ; or , no20

smaller than 10 pit ch (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 d elivery 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. Individu als 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 accommo dation or auxiliary aid to an individual with a disability in connection with the application process, the21

indi vidual’s application remains subject to all other requirements and limitations in this notice. Deadline for Intergovernmental Review: [INSERT DA TE 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 Exe cutive 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
a pplication; and22 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 Bra dstreet. 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 comple te. 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 Gran ts.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 u sing 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 o f 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 th is 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 t he CFDA number. Do not include the CFDA number’s24

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 electronicall y 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 tim e, 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 f or 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 nar rative 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 password
protected file, we will not review that material
.26

• Your electronic application must comply with any page
limit 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 sec ond 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 t he 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 application27

electronically or by hand delivery. You also may mail your applic ation 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 Contac t 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 wi th 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 applicati on 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 applic ation 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 submissi on 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 Federa l 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 post marked 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 statem ent 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 must29

m ail 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 w ith the date of mailing stamped by the U.S. Postal Serv ice. (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. N ote : 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 electroni c 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 12 th Street, SW. Room 7041, Potomac Center Plaza Washington, DC 20202
- 4260 The Application Control Center accepts hand deliveries daily be tween 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 en velope 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 notific ation 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. Applic ation Review Information31

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 se lection 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 propose d 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 a nd 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 i dentified 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 ac cess 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 emp loyment 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 ad equacy 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 manag ement 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 feedb ack 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 . (Maximu m 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) (i i) 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) (ii i) 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 review ing 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 r equires various assurances including those35

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 inst itution’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 endow ment 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 stude nt 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 ab ove, 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 o n 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 conditi ons 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 n otify 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 re ference 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 specif ic 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 p rocesses 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 Measu res : 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 and38

professio nal 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 inclu des 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 gran t, 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 e
mail: 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 ap plication 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 . Specifi cally, through the advanced40

search feature at this site, you can limit your search to documents published by the Department. Dated:

_______________________________ Brenda Dann - Messier, Acting Assistant Secretary F or P ostseco ndary Education41



### Title V

**– Developing Institutions**  **Part B**

**– Promoting Postbaccalaureate Opportunities**  **f or Hispanic Americans**  **SEC. 511. PURPOSES .**  The purposes of this part are

- (1) to expand the postbaccalaureate education al 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 Hispani c college students and, helping large numbers of Hispanic and low

- in come 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 'elig ible in stitution' 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. AUTHOR IZED 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 purpose s. (2) Construction, maintenance, renovation, and improve ment of classrooms, libraries, laboratories, and other instruc tional facilities, including purchase or rental of telecommuni

cations technology

equipment or services. (3) Purchase of library

books, periodicals, technical and other scientific journals, microfilm, microfiche, and other edu cational materials, including telecommunications program materials. (4) Support for low

- income postbaccalaureate students in cluding outreach, academic support ser

vices, mentoring, schol arships, 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, facult y development, f ac ulty research, curriculum development, and academic instruc tion. (6) Creating or improving facilities for Internet or other distance education technologies,42

including purchase or rental of telecommunications technology equipment or services. (7) Collab oration with other institutions of higher edu cation to expand postbaccalaureate certificate and postbaccalaureate degree offerings. (8) Other activities proposed in the application submitted pursuant to section 514 that

- (A) contribute to carryi ng out the purposes of this part; and (B) are approved b y the Secretary as part of the review and acceptance of such application. **SEC. 514.**  **APPLICATION AND DURATION.** (a) APPL lCATION.

- An y eligible institution may apply for a grant unde r 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 His panic and low

- income students. (b) DURATION.

- Grants under this part shall be awarded for a period not to exceed five ye ars. (c) LIM ITATION.
- The Secretary may not award more than one grant under this part in any fiscal year to an y Hispanic

- serving in stitution. (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), b y 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 inserti ng "section 528”, **SEC. 503. APPLICATIONS.**  Section 521(b)(1)(A) (as redesignated b y s ection 502(a)(2)) (20 U.S.C. 1103(b)(1)(A)) is amended b y striking "subsection (b)" and inserting "subsection (c)". **SEC. 505. AUTHORIZATION OF APPROPRIATIONS.** Section 528(a) (as redesignated b y section 502(a)(2)) (20 U.S.C. 1103g(a)) is amended to read as follows: (a) AUTHORIZAT IONS.
- (1) PARTS A AND C.
- There are authorized to be appro priated 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 ye ars. **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 otherwise43

appropriated , $1 0,672,0 00 for fiscal ye ar 20 14 and for each of the five succeeding fiscal ye ars to carry

out part B of title V.


## Executive Order 12372 (Intergovernmental Review of Federal **Programs)**
This program falls under the rubric of Executive Ord er 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 gover

nment -- 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 St ate 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 7E 200. 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 Prov **isions Ac**  **t (GEPA)**

**Section 427 Section**  **4 27**  **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 w ith special needs.**  **This section**  **allows applicants**  **discretion in**  **developing the**  **required description.**  **T he**  **statute highlights**  **six barriers**  **that can**  **impede equitable**  **access or**  **participation that**  **you may**  **address: gender, race, national origin, color disabil**  **ity, or**  **age. A**  **general statement**  **of**

**a n**  **applicant’s nondiscriminatory**  **hiring policy**  **is not**  **sufficient to**  **meet this**  **requirement. A**  **pplicants must**  **identify potential**  **barriers and**  **explain steps**  **they will**  **take to**  **overcome these barriers.** 

## *Notes:

 **Applicants are require**  **d to address this provision by uploading a statement to the ED**  **GE PA 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 th**  **is program.**45 

## Gov **ernment Performance and Results**  **Ac t (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 conse quences of those activities. Each agency

is to clearl y 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 satisf

action. **How has the Department of Education Responded to the GPRA Requirements?** As required b y 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 mis sion 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 sc hool 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 minorit y - serving institutions, which traditionally have limited resources and serve large numbers of low

- income and minority students, to improve student success and to provide high

qua lity 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 me asures for assessing the effectiveness of the PPOHA program: 1) The percentage change, over the five

- ye ar 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 per46

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 conditi on of the award. T he reports will document the extent to which project goals and objectives are met.47



## Instructions for Completing the **Ap plication**  The PPOHA application consists of the following four parts. These parts are or ganized 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 Appli cants should include costs for all project ye ars. 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  Othe r 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 s election 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 D evelopment Grant application. The Project Narrative should be numbered consecutivel y. 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 wh ere 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 Lobb yi ng Form (formerl y ED Form 80.0013)  Disclosure of Lobb yi ng Activities (SF

- LLL)48

 Survey

on E nsuring 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 c harts, 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 abs tract
. 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 4 4 of the Application Package (one or more of the listed activitie s 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 Regulation s (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 e ase of reading b y 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 n o 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)

_________ **To tal 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 otherw ise 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 b y the proposed project, including the nature and ma gnitude of those gaps or weaknesses. (5 points) **2. Quality of the project design.**  **(15 Points)** In determining the qualit y 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 clearl y 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 b y the proposed project, the Secretary considers the quality and sufficiency of strategies for ensuring equal access and treatment for eligible project par ticipants 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 b y the proposed project ar e 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 b y the proposed project reflect up

- to - date knowledge from research and effective practice. (5 points) **4. Q**  **uality of project personnel . (10 Points)**  In determining the quality of project personnel, the Secretary considers the extent to which the applicant encourages applications for employ ment 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 d etermining 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 clearl y defined responsibilities, t imelines, 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 pr oducts and services from the proposed project. (5 points) **7. Quality of the project evaluation**  **. (15 Points)**  Indetermining the quality of the evaluation, the Secretary considers: a. The extent to which the methods of evaluation are thorough, feasible and app ropriate 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 clearl y related to the intended outcomes of the project and will produce quantitative and qualitative data to the extent possible. (5 points)52

**THE FO LLOWING 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 the y 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 clearl y 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 clearl y sp ell 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 ty

pes 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 mi nimum qualifications must be identified for all project personnel positions. The minimum educational qualifications should include the ty pe of degree required and the acceptable field(s) of study. The type and minimum amount of work

- related experience sh ould 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 successfull y carry out the proposed project. Applicants should de monstrate 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 m anagement. 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 clearl y and concisel y 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 spe cific project objectives and goals. Specificall y, 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 desi gn, indicating: (1) what t ypes 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 developed53

and when; (5) how the data will be anal yz ed; (6) when reports and outcomes wi ll 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:

**● SUPPL**  **EMENTAL 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

- ap plications and applications and related information under discretionary programs. Some of the items are required and some are optional at t he 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 instruct ions to determine specific requirements. Item Entry: Item Entry: 1. **Ty pe 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 agenc y, applicants may not use this to submit changes after the closing date. 10. **Name Of Federal A gency**  : (Required) Enter the name of the Federal agency from which assistance is being requested with this application.
11. **Catalog Of Federal Domestic A ssista**  **nce 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 ty pe of appli**  **cation 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 includ e 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 i n 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 a pplicable.

14. **Ar eas**  **Af**

**fected 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:** Leav e this field blank. This date will be assigned by the Federal agency. 15. **Descriptive Title of A pplicant’s Project:**  (Required) Enter a brief descriptive title of the project. If appropriate, attach a map showing project location (e.g., construction or re al property projects). For pre
applications, attach a summary description of the project. 4. **Ap plicant Identifier**  : Enter the entity identifier assigned by the Federal agency, if any, or applicant’s control number, if applicable. 5a **Federal Entity**

**Ident ifier**  : 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 t he format: 2 characters State Abbreviation

– 3 characters District Number, e.g., CA
- 005 for California 5th th district, CA
- 012 for California 12 th district, NC
- 103 for North Carolina’s 103 rd 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 US
all.  If the program/project is outside the US, enter 00
- 000. 5b. **Federal A**

**ward Iden tifier**  : 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 instruc tions. 6. **Date Received by State:**  Leave this field blank. This date will be assigned by the State, if applicable. 7. **State A pplication Identifier:**  Leave this field blank. This identifier will be assigned by the State, if applicable. 8. **Ap plicant**  **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 Cont ractor 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. Employ er/Taxpay** **er 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 request ed 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 am ount 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 visi ting the Grants.gov website. **d. A ddress**  : E nter 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 A pplication 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 whether the application is subject to the State interg overnmental review **e. Organizational Unit:** Enter the name of the primary56

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 affili ated 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 A pplicant Delinquent on any**  **Federal Deb t?**  (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 explan ation on the continuation sheet. 9. **Ty pe of A** **pplicant: (Required) Select up to three applicant ty**  **pe(s) in accordance with agency instructions.**  21. **Au thorized Representative**  : (Required) To be signed and dated by the authorized representative of the ap plicant 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 fo r 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 T ownship 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/Nat ive 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 I RS 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. Hispanic
serving Institution T. Historically Black Colleges and Universities (HBCUs) U. T ribally 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. P**  **roject Director .** Name, address, telephone and fax numbers, and e

- mail address of the person to be contacted on matters i nvolving this application. **2. Novice Applicant.** Check **“Yes”** or “ **No** ” only if assistance is being requested under a program that give s special consider ation to novice applicants. Otherwise, **leave blank.** Check “ **Yes”** if you meet the requirements for novice appl i cants specified in the regulations in 34 CF R 75.225 and i n cluded on the attached page entitled “Definitions for Department of E ducation 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 r e quirements for novice applicants **. 3. Human Subjects Research.**  (See I. A. “Definitions” in attached page ent i tled “Definitions for Department of Education Supplemental Information F or SF424.”) **If Not Human Subjects Research.** Check “ **No** ” i f research activities invol v ing human subjects are not planned at any time during the prop osed project period. The r e maining parts of Item 3 are then not applicable. **If Human Subjects Research.** Check “ **Yes** ” if research a c tivities involving human subjects are planned at any time during the proposed project period, either at the applicant o rgan ization or at any other performance site or collaborating instit ution. Check “ **Yes** ” even if the research is exempt from the regul ations for the protection of human subjects. (See I. B. “Exemptions” in attached page entitled “Definitions for Department o f Education Supplemental Information F or SF 424.”) **3a . If Human Subjects Research is Exempt from the Human Subjects Regulations .**  Check “ **Yes** ” if all the research activ i ties proposed are designated to be exempt from the regulations. In sert the exempti on number(s) corresponding to one or more of the six exemption categories listed in I. B. “Exem p tions.” In addition, follow the instructions in II. A. “Exempt Research Narr ative” in the attached page entitled “Definitions for Department of Education S upplemental Information F or SF424.” **3a . If Human Subjects Research is Not Exempt from H u**  **man Subjects Regulations.**  Check “ **No** ” if some or all of the planned research activities are covered (not exempt). In add i tion, follow the instructions in II. B. “Nonexempt Research Narr ative” in the page entitled “Definitions for Department of Education Supplemental Information F or SF 424 **3a . Human Subjects Assurance Number .** If the applicant has an approved Federal Wide (FWA) on file with the Office for Human Research Prote c tions (OHRP), U.S. Department of Health and Human Ser

v ices, 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 d e claring that it will comply with 34 CF R 97 and proceed to obtain the human su b jects assurance upon request by

the de s ignated ED official. If the application is recommended/selected for funding, the de s ignate d 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 a p plicant obtain and send the certification to ED within 30 day s after the formal r e que st.**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 consi d eration to novice applications, a novice appl i cant means any applicant for a grant from ED that

—

 Has never received a grant or sub

- grant under the pr o gram from which it seeks funding;

 Has never been a member of a group ap plication, submi tted in accordance with 34 CF R 75.127
- 75.129, that r e ceived a grant under the program from which it seeks fun d ing; and

 Has not had an active discretionary grant from the F e d eral government in the five years before the deadline date for app lications under the program. F or the pur poses of this requirement, a grant is a c tive until the end of the grant’s project or funding period, including any exte n sions of those periods that extend the grantee’s authority to obl i gate funds. In the case of a group application submitted in accordance with 34 CF R 75.127
- 75.129, a group includes only parties that meet the requir e ments listed above. PROTECTION OFHUMAN SUBJECTS IN RESEARCH **I . Definitions and Exemptions A . Definitions.**  A research activit y involves human subjects if the activity is research, as defined in the Department’s regulations, and the r e search activit y will involve use of human subjects, as defined in the regul ations.

—**Research** The ED Regulations for the Protection of Human Sub ject s, Title 34, Code of Federal Regulations, Part 97, define research as “a systematic investigation, including research development, tes t ing and evaluation, designed to develop or contribute to generali z able knowledge.” If an activity follows a deliberate p lan whose pu r pose 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 sup ported under a program that is considered research for other purpose s. For example, some demonstration and service pro grams ma y include research activities.

**— Human Subject**  The regulations define human subject as “a living individual about whom an investigator (whether professional or student) conduc ting research obtains (1) data through intervention or i nteraction with the individual, or (2) identifiable private inform ation.” (1) If an activity involves obtaining information about a living person by manipulating that person or that person’s env i ronment, as might occur wh en a new instructional technique is tested, or by comm u nicating or interacting with the individual, as occurs with surveys and interviews, the definition of human su b ject is met. (2) If an activity involves obtaining private inform a tion about a living per son in such a way that the information can be linked to that individual (the identity of the subject is or may be readily dete rmined by the investigator or associated with the information), the defin i tion of human subject is met. [Private information includes info r

mation about behavior that occurs in a context in which an individual can re a sonably expect that no observation or recording is taking place, and information which has been provided for sp e cific purposes by an individual and which the individual can re a sonably expect will not be made public (for example, a school health re c ord).] **B. Exemptions.** Research activities in which the **only** involvement of human subjects will be in one or more of the following six categories of **e x** **em ptions**  are not covered by the regulations: (1) Research conducted in established or commonly accepted edu cational settings, involving normal educational practices, such as (a) research on regular and special education instru c tional strategies, or (b) research on the effectiven ess of or the compari son among instructional techniques, curricula, or classroom management meth ods. (2) Research involving the use of educational tests (cognitive, d i agnostic, aptitude, achievement), survey procedures, interview procedures or observation of public behavior, unless: (a) information obtained is recorded in such a manner that human sub jects can be identified, directly or through identifiers linked to the subjects; and (b) any

disclosure of the human subjects’ responses outside the r e search c ould reasonably place the subjects at risk of criminal or civil liability or be damaging to the sub jects’ financial standing, employability, or reputation. **If the subjects are children, exemption 2 applies only to research involving**  **educ a**  **tional tests and observations of public behavior when the**  **investig a**  **tor(s) do not participate in the activities being observed . Exemption 2 does not apply if children are su**  **r veyed or**  **interviewed or if the research involves observation of public behavior and the investigat**  **or(s) participate in the activ i** **ties being observed.**  [Children are d e fined 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 co n ducted.](3) Research involving the use of educational tests (cognitive, d i agnostic, aptitude, achievement), survey procedures, interview proc e dures or observation of public behavior that is not exempt under section (2) above, if the human subject s are elected or a p pointed 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 r e search 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 sub jects 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 ex amine: (a) public benefit or service programs; (b) procedures for obtain ing benefits or services under those programs; (c) possible changes in or altern atives to those programs or procedures; or (d) possible changes in methods or levels of payment for ben e fits 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 chem i cal or environmental contaminant at or below the level found to be safe, by

the F ood and Drug Administration or a p proved by

the Environmental Protection Agency or the F ood Safety and Inspection Service of the U .S. Department of Agricu l ture. **II . Instructions for Exempt and Nonexempt Human Subjects R**  **e search Narratives**  If the applicant marked “Yes” for Item 3 of Department of Education Supplemental Information for SF424, the a p plicant must provide a human subj ects “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 narr ative must contain sufficient information about the involvement of human subjects in the proposed research to allow a determ i nation by

ED that the designated exemption(s) are appropriate . The nar

rative must be succinct. **B . Nonexempt Research Narrative.** If you marked “No” for item 3 a. you must provide the “none x empt research” narrative . The narrati ve must address the following seven points. Although no specific page limitation a p plies to this section of the application, be succinct. (1) **Human Subjects Involvement and Characteristics** : Pr o vide a detailed description of the proposed involvement of human subjects. Describe the characteristics of the subject population, including their anticipated num ber, age range, and health status. Identify the criteria for inclusion or exclusion of any subpopulation. Explain the ratio n ale for the involvement of s pecial classes of subjects, such as children, children with di s abilities, adults with disabilities, persons with mental disabilities, pregnant women, prisoners, institutiona l ized individuals, or others who are likely to be vulne r able (2) **Sources of Mater ials**  : Identify the sources of research mat e rial obtained from individually identifiable living human sub jects in the form of specimens, records, or data. Indicate whether the material or data will be obtained specifically for research pur

poses or whether use will be made of existing specimens, re c ords, or data. (3) **Recruitment and Informed Consent** : Describe plans for the recruitment of subjects and the consent procedures to be fo l lowed. In clude the circumstances under which consent will be sought and ob tained, who will seek it, the nature of the information to be pr o vided to prospective subjects, and the method of documenting consent . State if the Institutional Review Board (IRB) has autho rized a modification or waiver of the elements of consent or the requirement for document ation of consent. (4) **Potential Risks** : Describe potential risks (physical, psych o logical, social, legal, or other) and assess their likelihood and seriou s ness. Where appropriate, describe alternative treatments and procedures that might be advant a geous to the subjects. (5) **Protection Against Risk** : Describe the procedures for protec t ing against or minimizing potential risks, including risks to conf i dentiality , and assess their likely effectiveness. Where appropri ate, discuss prov isions for ensuring necessary medical or profe s sional intervention in the event of adverse effects to the subjects. Also, where appropriate, d e scribe the provisions for monitoring the data collected to ensure the safety of the sub

jects. (6) **Importance of the Knowledge to be Gained**  : Discuss the i m portance of the knowledge gained or to be gained as a result of the proposed research. Discuss why the risks to subjects are re a sonable in relation to the anticipated benefits to subjects and in relation to the i mportance of the knowledge that may re a sonably be expected to result. (7) **Collaborating Site(s)** : If research involving human sub jects will take place at collaborating site(s) or other perfo r mance site(s), name the sites and briefly describe their involv e m ent 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 r** **e search are available from the Grants Policy and Ov**  **ersight Staff, O**  **f fice of the Chief Financial Officer, U.S. Department of**  **Education, Washington, DC 20202 -**  **4250, tel e**  **phone: (202) 245**

**- 6120, and on the U.S. Department of Education’s Protection of**  **Human Su b** 

**jects in Research Web Site: http://www.ed.gov/abou**  **t/offices/list/OCFO/humansub.html** NOTE: T he **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 Instruction s 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 progr am 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 applica ble 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 eac h 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 “O ther,” 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
- Feder al 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 pro ject 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 provi ded 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 spec ific expenses attributable to each sub

project 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. S pecify 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/appf orms/appforms.ht ml

. Yo u 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 For **m (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 pro ject 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 yo u complete the Budget Summary Form (ED Form 524) and budget narrative for the five ye ar 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 w ithin 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 Proje **ct 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 t o the “Other Attachment s Form.” Upon completion, upload the PPO HA 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 ye ars for which grant funds are sought. **If you fail to prov ide 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 an y 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 am end or modify the required**  **inform ation or form**  **at.** 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 com pleted for every activity for wh**  **ich funding is requested) 1. Nam**  **e 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. Sup plies $ $ $ $ $ $ f. Contractual $ $ $ $ $ $ g. Construction $ $ $ $ $ $ h. Other (endowment) $ $ $ $ $ $ i. TOTAL DIRECT CHARGES $ $ $ $ $ $ 1. **Explain in detail how you arrived at the total am ount requested in each object clas**  **s 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 F ederal 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 m ake 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 o f a Member of Congress in connection with a covered F ederal 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 ty pe of covered F ederal action for wh ich 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 F ederal 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 t ier 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 F ederal 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 F ederal program name or description for the covered Federal action (item 1). If known, enter the full Catalog

of F ederal Domestic Assistance (CF DA) number for grants, cooperative agreements, loans, and loan commitments. 8. Enter the most appropriate F ederal identifying number available for the Federal action identified in item 1 (e.g., Request for Proposal (RF P) number; Invitations for Bid (IF B) number; grant announcement number; the contract, grant, or loan award number; the application/proposal control number assigned by the F ederal agency). Included prefixes, e.g., “RF P
DE
- 90
- 001.” 9. For a covered F ederal 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 F ederal 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) nam e and DUNS number and the grant nam**  **e 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 e ligible organizations. S ome grant programs may require nonprofit applicants to have 501(c)(3) status. Oth er grant programs do not. 5. Self

- explanatory. 6. For example, two part - time em ploy ees who each wo rk half

- time equal one full

- time equivalent employ ee. I f 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 **f or Hispa**  **nic 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) stud ents that is at least 25 percent Hispanic students at the end of the award ye ar 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, 20 1 3
. 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 part

time undergraduate students. In clude both part

- time degree students and part

- time unclassified students. Divide the total number of credit hours for the part

- time undergraduate students b y **twelve (12)**  . The result is the FTE for part

- time undergraduate students. Note: An unclassifi ed 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 stud ents 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 Under graduate 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 stude nts**  **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 a s 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 an y 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 it ems #8 and #9 on the “PPOHA Program Profile Form,” an applicant certifies that it will fully compl y with the requirements. **Special Note :**  The Department will cross

- reference, for verification, documentation reported to the Department’s Integrated Postse condary Education Data Sy stem (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. Pl ease note that a replication or copy of the instructions is not evidence that the IP EDS 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 I PEDS data are inaccurate, the institution will be considered ineligible. **Page Limits:** The pro

ject narrative is where the applicant address es 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 Applicatio n 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 , an d Survey forms . The page limit also does not apply to a table of contents or the pro ject abstract. If you include an y attachments or appendices other than those specifically requested, these items will be counted as part of the project narrative for purpos es 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 pr ofile. 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 Grant s.gov application package. 1. **Nam e 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 woul d cite the State University of New York, Brockport Campus.)
**Institution/Ca mpus OPE ID#: DUNS#:**  2. **Applicant Address** : (All applicants must indicate the address where the project will be l ocated) Project Address: City: State: Zip: 3. **Participating Institutions in a Collaborative Activity** : 3a. Name of Applicant Institution (Lead): 3b. Name of Participating Ins titutions DUNS Number Location (city/state) 1. 2. 3. 4. **Tie -**  **breaker Inform ation**  : Enter the full

- time equivalent (FTE) enrollment for Fall 20 11 . See the Application Guide and Federal Register Notice for instructions on calculating FTE enrollment. Total Fall 20 11 FULL
- TIME EQUIVALENT (FTE) students = a) Total market value of endowment fund for 20 11
- 12 b) Total expenditures for library material during 20 11
- 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 po stbaccalaureate certificate or a postbaccalaureate degree. 6. **Endow me**  **nt Fund Assurance** : The institution certifies that it proposes to use no more than tw enty percent (20%) of the PPOHA Program development grant, made under the authori ty 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 Enrollme nt. Enter information for all areas below for Fall 20 12 (up to September 30, 20 12 ). 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 -**  **tim e equivalent (FTE) students are Hispanic, the burden is on the institution to show that the IPEDS data are inaccurate. Pl**  **ease note that a replication or copy o**  **f 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 a**  **re inaccurate, the institut**  **ion 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.

## Ap **plication Checklist**

Use This Checklist W

hile 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 Certific ations

– Completed in the Application Package found in Grants.gov Assurances for Non

- Construction Programs (SF

- 424B) Grants.gov Lobb yi ng Form (formerl y Certification Regarding Lobb yi ng ED 80
- 0013) Disclosure of Lobb yi ng 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 display s 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 n eeded, 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 regardin g the burden estimate or an y 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 f orm, instrument or survey , please contact: U.S. Department of Education, Promoting Postbaccalaureate Opportunities for Hispanic Americans, 1990 K Street, NW, 6 th floor, Washington, DC 20006 or email maria.carrington@ed.gov and reference the OMB Control Number 1840

- 0804.