# U.S. DEPARTMENT OF EDUCATION Office of Postsecondary Education Washington, DC 20006
- 8510

www.ed.gov/hsi 

## Fiscal Year 

# APPLICATION FOR GRANTS **UNDER THE DEVELOPING HISPANIC**  **- SERVING INSTITUTIONS PROGRAM** 

**CFDA NUMBER : 84.031S**  **Form Approved OMB No. 1840**  **- 0745,**  **Expiration Date :** 

**DATED MATERIAL**

**– OPEN IMMEDIATELY** 



## CLOSING DATE:i 

## Table of Contents Page Dear Applicant Letter
...................................................................... 1 Competition Highlights.................................
.................................... 3 Grants.gov Submission Procedures and Tips for Applicants..
........................ 5 Application Transmittal Instructions..................................................... 9 Notice Inviting Applications for New Awards.................................................... 11 Pr ogram Statute.............................................................................. 4 6 Intergovernmental Review................................................................. 5 5 General Education Provisions Act (GEPA).................................................. 5 6 Government Performance and Results Act (GPRA).................................... 5 7 **INSTRUCTIONS** Instructions for Completing the Application............................................. 59 Instructions for Project Narrative...................................................
....... 6 1 Instructions for Standard Forms........................................................... 6 4 Instructions for the SF 424.............................................
.................... 6 5 Instructions for Department of Education Supplemental Information for SF 424........................................................................... 6 7 Instructions for ED 524..................................................................... 70 Instructions for Activit y Budget Detail Form.........
.................................. 71 Instructi ons for Completion of SF
- LLL, Disclosure of Lobb yi ng Activities................................................................ 72 Instructions for Survey

for Ensuring Equal Opportunity for Applicants....................................................................... 73 Hispanic
- Serving Institution s Program Assurances.................................
... 74ii

HSIProgram Profile Form................................................................. 77 HSIActivity

Budget Detail Form......................................................... 79 Application Checklist ...................................................................... 80 Paperwork Burden Statement.............................................................. 81 Application for Federal Assistance (SF 424)............................................. 82 ED Supplemental Information Form...................................................... 86 Assurances Non
- Construction Programs (SF 424B).................................... 87 Budget Summary

ED 524 (sections A & B)............................................. 89 Certification Regard ing Lobbying......................................................... 91 Survey on Ensuring Equal Opportunity for Applicants................................. 92 SF
- LLL, Disclosure of Lobbying Activities............................................. 931

Dear Applicant: Thank you for your interest in applying for a new grant under the fiscal year (FY) 201 3 Title V, Developing Hispanic
- Serving Institutions (HSI) Program grant competition . This letter highlights items in the application package that will be important to you in applying for a grant under this program. Please review the entire application package carefully before preparing and submitting your 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 (insert date) . In addition to basic eligibility requirements, an institution must have at leas t 25 percent enrollment of undergraduate full
- time equivalent (FTE) Hispanic students at the end of the award year immediatel y preceding the date of application. 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. In the FY 201 3 grant competition, there will be two c ompetitive preference priorities and one invitatio nal priority
. The two competitive preference priorities are : 1. Increasing Postsecondary Success; 2. Improving Productivity ; and the invitational priority is: Enabling More Data
- Based Decision
- Making
. Applicants who address the competitive preference pri orities will receive up to an additional 6 points total, depending on how well the applicant meets these competitive preference priorities. Non
- Federal reviewers will award points based on the quality of the information conveyed and the degree to which th e applicant proposes to meet the se priorities. The Department strongly encourages applicants to address all of these priorities. For additional information about the competitive preference priorities, refer to the Federal Register Notice Inviting Applications for New Awards for FY 201 3 , which is included in this application package. Applications for FY 201 3 grants under the HSIProgram must be submitted electronically using Grants.gov at: http://www.grants.gov
. An a pplicant who is unable to submit through Grants.gov must submit a written waiver of the electronic submission requirement at least two weeks before the deadline date. Additional information about Grants.gov submission requirements can be found in the Comp etition Highlights, the Notice published in the Federal Register , and the transmittal instructions which are included in this package. The Notice Inviting Applications for New Awards published in the Federal Register is the official document describing the requirements for submitting an HSIgrant application. You should not rely

upon an y information that is inconsistent with the guidance contained in the official document. If yo u have an y questions or require additional information, please contact Carn isia M. Proctor at (202) 502
- 7606 or carnisia.proctor@ed.gov
. We encourage applicants to2

review the “Competition Highlights” found in the application package for an overview of important items. I appreciate your interest in the Hispanic
- Serving Institutions Program and look forward to receiving your application. Sincerel y,

Dr. Li nda By

rd
- Johnson Acting Deput y Assistant Secretary For Higher Education Programs3 

## Competition Highlights
Developi ng H ispanic
- S erving I nstitutions grant applications for FY 20 1 3 mu st be submitted electronically through Grants.gov at : http://www.grants.gov O nce you download the application package from Grants.gov, you will be working off
- line and saving data on your computer. Be sure to note where you are saving the Grants.gov file on your computer. You will need to log on to Grants.gov to upload and submit yo ur application. We recommend that yo u consider three important admin istrative factors when applying for this grant program: 1.) Register at the Grants.gov we bsite early. The registration procedures may require 5 or more days to complete. 2.) Consider submitting yo ur application 3
- 4 day s prior to the closing date . The time it t akes to upload an application will vary depending on your application and the speed of your Internet connection. The application submission process must be complete prior to the deadline for transmittal of applications. 3.) Remember to provide the DUNS numbe r that was used when yo ur organization registered with the System for Award Management ( SAM ) (formerly CCR
- Central Contractor Registry)
. Grants.gov does not allow applicants to “un
- submit” or delete applications. Therefore, if you discover that changes or additions are needed once your application has been accepted and validated by the Department, you **must** “re
submit” the application. I f the Department receives duplicate applications, we will accept and process the application with the latest “date/time received” validation. 1. T he Higher Education Opportunity Act (HEOA) of 2008 amended the authorized grant activities under Part A of Title V of the HEA (individual development grants) to include innovative and customized instruction course development; art iculation agreement and student support program activities designed to facilitate student transfer from two
- year to four
- year institutions; activities that improve student financial and economic literacy; and activities to develop distance education techno logies. 2. The HEOA also amended the authorized grant activities under Part C (formerly Part B) of Title V (cooperative arrangement development grants) of the HEA to include activities authorized under new Part B of Title V of the HEA. 3. An eligible H S I that submits a Cooperative Arrangement Development Grant with a partnering branch cam pus that is part of the same institution will not be awarded a grant
. 4. There are two com

petitive preference priorities under this competition. W e award up to an additional 4 points total to an application, depending on how clearly and persuasively all com petitive preference priorities are conveyed
. Appl icants are required to address these priorities on a separate heading. 5. Please complete the “HSI Program Profile Form,” foun d on pages 77
- 78 . Applicants are asked to carefully read question #11 on the HSI Program Profile Form, and check the box or place an X in the space before the box , certifying that they will comply with the statutory requirements and program assurances cit ed in the HSI program regulations, 34 CFR 606.2. 6. Applicants must complete the HSI Activity Budget Detail Form with a supporti ng narrative . Applicants are required to copy and paste the Budget Detail Form and supporting narrative into a separate document or re create the form exactly as it app ears and attach it to the “ HSI Activity Budget Narrative ” to be uploaded under the Budget Narrative Attachment Form in Grants.gov as a .pdf document.4

7. Applicants are required to provide the Department with any documentation that the institution relied upon to determine that at least 25 percent of the institution’s undergraduate FTE students are Hispanic. The Department will cross
- reference, for verification, information reported to the Department’s Integrated Postse condary Education Data System (IPEDS), the institution’s state reported enrollment data, and the institutional annual report. If there are any differences in the percentages reported in IPEDS and the percentage reported in the grant application , yo ur inst itution should explain the differences as a part of its eligibility documentation. When providing eligibility documentation to support HSI assurances, please note that the Department does not consider a replication of the instructions as sufficient justif ication. If the Department receives a replica of the instructions and/or cannot validate assurances, the application will be deemed ineligible. 8. Grants under this competition will be awarded on a competitive basis for the following types of grants: Indiv idual Development Grant and Cooperative Arrangement Development Grant. An applicant may apply for more than one type of Developing Hispanic
- Serving Institutions grant. For the 20 1 3 Title V , Part A grant competition, applicants should note the following f unding restrictions: an eligible HSI that submits multiple applications may only be awarded one Individual Development Grant and/or one Cooperative Arrangement Development Grant in a fiscal year. In addition, the Hispanic
- Serving Institutions Division wi ll not award a second Individual Development Grant to an HSI with an active five
- year Individual Development Grant as described in 34 CFR 606.9(b)(1). 9. All applicants are required to adhere to the page limit for the Project Narrative portion of the application. You must limit the section of the narrative that addresses the selection criteria and the competitive priorities to no more than 5 5 pages for the Individual Development Grant application and no more than 7 5 pages for the Cooperative Arrangement Deve lopment Grant
. **Note** : Please include a separate heading when responding to the competitive priorities. If you do not wish to address the competitive priorities, you must limit your application narrative to no more than 50 pages for the Individual Devel opment Grant application and no more than 70 pages for the Cooperative Arrangement Development Grant application. This application package contain s submission procedures to ensure your application is received in a timely and acceptable manner. Consult an d follow the Federal Register notice to ensure proper guidance for application submission. Exceptions to the electronic submission requirement are also outlined in the Federal Register notice. The Department is required to enforce the established deadlin e in order to ensure fairness to all applicants. Applicants are reminded that the document published in the Federal Register is the official document
. You should not rely upon any information that is inconsistent with the guidance contained within th is official document.5 

## IMPORTANT

**– PLEASE READ FIRST** 

**U.S. Department of Education** 

## Grants.gov Submission Procedures and Tips for Applicants To facilitate your use of Grants.gov, this document includes important submission procedures you need to be aware of to ensure your application is received in a timely manner and accepted by the Department of Education. **ATTENTION**

**– Adobe Forms and PDF Files Required**  Applications submitted to Grants.gov for the Department of Education will be posted using Adobe forms. Therefore, applicants will need to download a newer version of Adobe reader (Grants.gov recommends Adobe Reader 10.1.4 ). Information on computer and operating system compatibility with Adobe, links to download a newer version, and warnings about using A dobe Reader XI are all available on Grants.gov. We strongly recommend that you review these details on www.Grants.gov before completing and submitting your application. In addition, applicants should submit their ap plication a day or two in advance of the closing date as detailed below. Also, applicants are required to upload their attachments in .pdf format only. (See details below under “Attaching Files

– Additional Tips.”) Please be aware that **Grants.gov has discovered an issue with the newest version of Adobe Reader**  **XI.** Applicants may encounter the following error that will prevent them from submitting their application: "At least one required Field was empty. Please fill in the required field (highlighted) before continuing." Grants.gov recommends that if applicants encounter this issue, they submit their application using any version below Adobe Reader XI. Please refer to the c ompatibility table for additional information about supported versions of Adobe Reader. If you have any questions regarding this matter please email the Grants.gov Contact Center at support@grants.gov or call 1
- 8 00
- 518
- 4726. 1) **REGISTER EARLY**

– Grants.gov registration may take five or more business days to complete. You may begin working on your application while completing the registration process, but you cannot submit an application until all of the Registration steps are complete. For detailed information on the Registration Steps, please go to: http://www.grants.gov/applicants/get_registered.jsp [Note: Your organization will need to update i ts SAM registration annually (formerly Central Contractor Registry (CCR)*.] 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 proces s it after it is fully uploaded.**  The time it takes to upload an application will vary depending on a number of factors including the size of the application and the speed of your Internet connection, and the time it takes Grants.gov to process the application will vary as well. If Grants.gov rejects your application (see step three below), you will need to resubmit successfully to Grants.gov before 4:30:00 p.m. Washington, DC time on the deadline date. **Note: To submit successfully, you must provide th e 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** 6

**the same DUNS number on your application as the DUNS you registered with, Grants.gov will reject your application.**  3) **VERIFY SUBMISSION IS OK**

– You will want to verify that Grants.gov received your application submission on time and that it was validated successfully. To see the date/time your application was received, login to Grants.gov and click on the Track My Application link. For a successful submission, the date/time received should be earlier than 4:30:00 p.m. Washington, DC time, on the deadline date, AND the application status should be: Validated, Received by Agency, or Agency Tracking Number Assigned. Once the Department of Education receives your application from Grants.gov, an Agency Tracking Number (PR/award number) will be assigned to your application and will be available for viewing on Grants.gov’s Track My Application link. If the date/time received is later than 4:30:00 p.m. Washington, D.C. time, on the deadline date, your application is late. If your application has a status of “Received” it is still awaiting validation by Grants.gov. Once validation is complete, the status will either change to “Validated” or “Rejected with Errors.” If the status is “Rejected with Errors,” your application has not been received successfully. Some of the reasons Grants.gov may reject an application can be found on the Grants.gov site: http://www.grants.gov/applicants/applicant_faqs.jsp# 54 . For more detailed information on troubleshooting Adobe errors, you can review the Adobe Reader Error Messages document at http://www.grants.gov/assets/AdobeReaderErrorMessages. pdf . If you discover your application is late or has been rejected, please see the instructions below. Note: You will receive a series of confirmations both online and via e
- mail about the status of your application. Please do not rely solely on e
- mail to confirm whether your application has been received timely and validated successfully. **Submission Problems**

**– What should you do?**  If you have problems submitting to Grants.gov before the closing date, please contact Grants.gov Customer Support at 1
- 80 0
- 518
- 4726 or http://www.grants.gov/contactus/contactus.jsp , or access the Grants.gov Self

- Service web portal at: https://grants -portal.psc.gov/Welcome.aspx?pt=Grants If electronic submission is optional and you have problems that you are unable to resolve before the deadline date and time for electronic applications, please follow the transmittal instructions for hard copy ap plications in the Federal Register notice and get a hard copy application postmarked by midnight on the deadline date. If electronic submission is required , you must submit an electronic application before 4:30:00 p.m., unless you follow the procedures in the Federal Register notice and qualify for one of the exceptions to the electronic submission requirement and submit, no later than two weeks before the application deadline date, a written statement to the Department that you qualify for one of these ex ceptions. (See the Federal Register notice for detailed instructions.) **Helpful Hints When Working with Grants.gov** Please note, once you download an application from Grants.gov, you will be working offline and saving data on your computer. Please be sure to note where you are saving the Grants.gov file on your computer. You will need to logon to Grants.gov to upload and submit the application. **You must provide the DUNS number on your application that was used when you registered as an Authorized**  **Organiz ation Representative (AOR) on Grants.gov.** 7

Please go to http://www.grants.gov/contactus/contactus.jsp for help with Grants.gov. For additional tips related to submitting grant applications, ple ase refer to the Grants.gov Submit Application FAQs found on the Grants.gov http://www.grants.gov/applicants/submit_application_faqs.jsp
. **Dial -**  **Up Internet Connections** When using a dial up connection to upload and submit your application, it can take significantly longer than when you are connected to the Internet with a high
- speed connection, e.g. cable modem/DSL/T1. While times will vary depending upon the size of your applicat ion, it can take a few minutes to a few hours to complete your grant submission using a dial up connection. **If you do not have access to a**  **high -**  **speed connection and electronic submission is required, you may want to consider following the instructions in**  **the Federal Register notice to obtain an exception to the electronic submission requirement no later than two weeks before the application deadline date.**  (See the Federal Register notice for detailed instructions.) **MAC Users** For MAC compatibility information, review the Operating System Platform Compatibility Table at the following Grants.gov link: http://www.grants.gov/help/download_software.jsp
. **If electronic submissio**  **n is required and you are concerned about your ability to submit electronically as a non**  **- windows**  **user, please follow instructions in the Federal Register notice to obtain an exception to the electronic submission requirement no later than two weeks before**  **the application deadline date.** (See the Federal Register notice for detailed instructions.) **Attaching Files**

**– Additional Tips**  Please note the following tips related to attaching files to your application, especially the requirement that applicants **only include read**  **- only, non**  **- modifiable .PDF files**  in their application: 1. Ensure that you attach **.PDF files only** for any attachments to your application, and they must be in a **read -**  **only, non -**  **modifiable format** . PDF files are the only Education approved file type accepted as detailed in the Federal Register application notice. Applicants must submit individual .PDF files only when attaching files to their application. Specifically, the Department will not accept any attachments that contain files within a file, such as PDF Portfolio files, or an interactive or fillable .PDF file. Any attachments uploaded that are not .PDF files or are password protected files will not be read. If you need assistance converting your files to a . PDF format, please refer to the fo llowing Grants.gov webpage with links to conversion programs under the heading of additional resources: http://www.grants.gov/applicants/app_help_reso.jsp 2. Grants.gov cannot process an ap plication 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 establish ed by Grants.gov on the size and content of file names. Uploaded files must be less than 50 characters, contain no spaces, no special characters (example:
- , &, *, %, /, #, \) including periods (.), blank spaces and accent marks. Applications submitted that do not comply with the Grants.gov guidelines will be rejected at Grants.gov and not forwarded to the Department. 4. Applicants should limit the size of their file attachments. Documents submitted that contain graphics and/or scanned material often gre atly increase the size of the file attachments and can result in difficulties opening the files. For reference, the average discretionary grant8 application package totals 1 to 2 MB. Therefore, you may want to check the total size of your package before s ubmission. *Please note that the Central Contractor Registry (CCR) was replaced by the System for Award Management (SAM) effective July 30, 2012. For more information on the migration of CCR data to SAM, grant applicants should read this information loc ated on Grants.gov: http://grants
- gov.blogspot.com/2012/07/information
- about
-pending
mi gration.html#!/2012/07/information
- about
-pending
- mi gration.html 2/20139



## Ap **plication Transmittal Instructions ATTENTION ELECTRONIC APPLICANTS**  **: Please note that you must follow the Application Procedures as described in the**  **Fed eral Register**  **notice announcing the grant competition.**  **This program requires the electronic submission of applications; specific requirements and**  **waiver instructions can be found in the**  **Federal Register notice.**  **According to the instructions found in the Federal Register**  **notice, those requesting and qualifying for an exception to the electronic submission requirement may submit an**  **application by mail, commercial carri er**  **, or hand delivery.**  If you want to appl y for a grant and be considered for funding, you must meet the following deadline requirements: **Applications Submitted Electronically You must submit your grant application through the Internet using the software**  **provided on the Grants.gov Web site**  **( http://www.grants.gov** **) by 4:30:00 p.m. (Washington, D.C. time) on or before the deadline date.**  If you submit your application through the Internet via the Grants.gov Web site, yo u will receive an automatic acknowledgement when we receive your application. For more information on using Grants.gov, please refer to the “Notice Inviting Applications” that was published in the Federal Register or visit http://www.grants.gov
. **Submission of Paper Applications by Mail:** If you submit your application in paper format by mail (through the U.S. Postal Service or a commercial carrier), you must mail the original and two copies of your application, on or before the application deadline date, to the Department at the following address: U.S. Department of Education Application Control Center Attention: (CFDA Number 84. 031S ) 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 legible mail receipt with the date of mailing stamped by the U.S. Postal Service. (3) A dated shipping label, invoice, or receipt from a co mmercial carrier.10

(4) An y other proof of mailing acceptable to the Secretary of the U.S. Department of Education. If you mail your application through the U.S. Postal Service, we do **not** accept either of the following as proof of mailing: (1) A private metered postmark. (2) A mail receipt that is not dated by the U.S. Postal Service. If your application is postmarked after the application deadline date, we will **not** consider your application. Note : The U.S. Postal Service does not uniformly provide a dated postmark. Before rel yi ng on this method, you should check with your local post office. **Submission of Paper Applications by Hand Delivery:** If you qualify for an exception to the electronic submission requirement, you (or a courier service) may

deli ver your paper application to the Department b y 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 Applicat ion Control Center Attention: (CFDA Number 84. 031S ) 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, exc ept 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 your application; and (2) The Application Control Center will mail to you a notification of receipt of your grant application. If you do no t receive this notification within 15 business day s 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 w e will not consider the application.11 

# DRAFT CDN
4000
- 01
- U DEPARTMENT OF EDUCATION Applications for New Awards; Developing Hispanic
- Serving Institutions Program AGENCY: Office of Postsecondary Education, Department of Education ACTION: Notice. Overview Information : Developing Hispanic
- Serving Institutions (HSI) Program Notice inviting applications for new awards for fiscal year (FY) 2013. Catalog of Federal Domestic Assistance (CFDA) Number : 84.031S. Dates : Applications Available: [INSERT DATE OF P UBLICATION 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 R EGISTER]. Full Text of Announcement I. Funding Opportunity Description12

Purpose of Program : The HSI Program provides grants to assist HSIs to expand educational opportunities for, and improve the academic attainment of, Hispanic students. The HSI Program grants also enable HSIs to expand and enhance their academic offerings, program quality, and institutional stability. General Background : In 2008, the Higher Education Act of 1965 (HEA) was amended by the Higher Education Opportunity Act of 2008 (HEOA). The HEOA made a number of changes to the HSI Program. The regulations for the HSI Program in 34 part 606 have not been updated since before the HEA was amended by the HEOA. Therefore, we encourage applicants to carefully read this notice, which referenc es the statutory provisions when the corresponding regulatory provisions for this program have not been updated. For example, section 501 of the HEOA amended section 503(b) of the HEA to include, among the authorized activities under the HSI Program -- (1) Act ivities to improve student services,

including innovative and customized instruction courses designed to help retain students and move the students into core courses;13 (2) Articulation agreements and student support programs designed to facilitate the transfer of students from 2
- year to 4
- year institutions; and (3) Providing education, counseling services, or financial information designed to improve the financial and economic literacy of students or their families. (4) The list of authorized activities in section 5 03(b) of the HEA was also amended to use the term “distance education technologies” in place of “distance learning academic instruction capabilities.” Therefore, notwithstanding the description of authorized activities in §606.10, applicants may include t hese activities in their proposals under this competition.
Priorities : This notice contains two competitive preference priorities and one invitational priority. These priorities are from the notice of final supplemental priorities and definitions for dis cretionary grant programs, published in the Federal Register on December 15, 2010 (75 FR 78486), and corrected on May 12, 2011 (76 FR 27637). Competitive Preference Priorities : For FY 2013 and any subsequent year in which we make awards from the list of14

unfunded applicants from the competition, these priorities are competitive preference priorities. Under 34 CFR 75.105(c)(2)(i), we award up to an additional 4 points total to an application, depending on how well the application meets these competitive pr eference priorities. NOTE: In order to receive any competitive preference priority points, applicants must address both priorities and may receive from 0 to 4 points. In scoring these priorities, an applicant will receive 2 points per priority if it addr esses the priority clearly and persuasively. An applicant that has successfully addressed both of the competitive priorities will receive the full 4 points. Applicants that do not address both of the competitive preference priorities will not receive any a dditional points. These priorities are: Competitive Preference Priority 1: Increasing Postsecondary Success . Projects that are designed to increase the number and proportion of high
- need students (as defined in this notice) who persist in and comple te college or other postsecondary education and training. Note: Applicants that address this priority should identify the specific interventions that they intend to implement, provide documentation (in the form of research, data, studies) that the planned activities have improved persistence and15

completion, and demonstrate that they have systems in place to track the activities and their effects on persistence and completion. Applicants should also consider how all proposed activities will contribute to th is priority, not just one or two parts of the application. Competitive Preference Priority 2: Improving Productivity . Projects that are designed to significantly increase efficiency in the use of time, staff, money, or other resources while improvi ng student learning or other educational outcomes (i.e., outcome per unit of resource). Such projects may include innovative and sustainable uses of technology, modification of school schedules and teacher compensation systems, use of open educational res ources (as defined in this notice), or other strategies. Note: The types of projects identified in Competitive Preference Priority 2 are suggestions for ways to improve productivity. The Department recognizes that some of these examples, such as modifica tions of teacher compensation systems, may not be relevant for the context of this program. Accordingly, applicants that address this priority should respond to this competitive preference priority in a way that improves productivity in a relevant, higher education context. The16

Secretary is particularly interested in projects that improve student outcomes at lower costs. Applicants addressing this priority should identify the specific outcomes to be measured and demonstrate that they have the ability to collect accurate data on both project costs and desired outcomes. In addition, they should include a discussion of the expected cost
- effectiveness of the practice compared with current alternative practices. Definitions : The following definitions are fro m the notice of final supplemental priorities and definitions for discretionary grant programs published in the Federal Register on December 15, 2010 (75 FR 78486), and corrected on May 12, 2011 (76 FR 27637), and apply to the priorities in this notice: H igh
- need children and high
- need students means children and students at risk of educational failure, such as children and students who are living in poverty, who are English learners, who are far below grade level, or who are not on track to becoming colle ge - or career - ready by graduation, who have left school or college before receiving, respectively, a regular high school diploma or a college degree or certificate, who are at risk of not graduating with a diploma on time, who are homeless, who are in fost er care, who are pregnant or parenting teenagers, who have been incarcerated, who are new immigrants, who are migrant, or who have disabilities.17

Open educational resources (OER) means teaching, learning, and research resources that reside in the public do main or have been released under an intellectual property license that permits their free use or repurposing by others. Privacy requirements means the requirements of the Family Educational Rights and Privacy Act (FERPA), 20 U.S.C 1232g, and its implement ing regulations in 34 CFR part 99, the Privacy Act, 5 U.S.C. 552a, as well as all applicable Federal, State, and local requirements regarding privacy. Program Authority : 20 U.S.C. 1101
- 1101d; 1103
- 1103g. Applicable Regulations : (a) The Education Departme nt General Administrative Regulations (EDGAR) in 34 CFR parts 74, 75, 77, 79, 82, 84, 85, 86, 97, 98, and 99. (b) The regulations for this program in 34 CFR part 606. (c) The notice of final supplemental priorities and definitions for discretionary grant programs, published in the Federal Register on December 15, 2010 (75 FR 78486), and corrected on May 12, 2011 (76 FR 27637). Note : The regulations in 34 CFR part 79 apply to all applicants except federally recognized Indian tribes. Note : The regulations in 34 CFR part 86 apply to institutions of higher education (IHEs) only. II. Award Information Type of Award : Discretionary grants. Five
- year Individual Development Grants and Five
- year Cooperative Arrangement18

Development Grants will be awarded in FY 20 13. Planning grants will not be awarded in FY 2013. Estimated Available Funds : The Administration has requested funds for this program, of which the Department intends to use $12,238,462 for new awards in FY 2013. The actual level of funding, if any, de pends on final 

### c ongressional action. However, we are inviting applications to allow enough time to complete the grant process if Congress appropriates funds for this program. Contingent upon the availability of funds and the quality of applications, we ma y make additional awards in FY 2014 from the list of unfunded applicants from this competition. Estimated Range of Awards : $535,000
- $775,000. Estimated Average Size of Awards : Individual Development Grants: $560,000. Cooperative Arrangement Development Grants: $640,000. Maximum Awards : Individual Development Grants: $650,000. Cooperative Arrangement Development Grants: $775,000. We will not fund any application at an amount exceeding these maximum amounts for a single budget period of 12 months. W e may choose not to further consider or review applications with budgets that exceed the maximum amounts specified, if we conclude, during our initial review of the application, that the proposed goals and objectives cannot be obtained with the19

specified m aximum amount. The Assistant Secretary for the Office of Postsecondary Education may change the maximum amount through a notice published in the Federal Register . Estimated Number of Awards : Individual Development Grants: 13. Cooperative Arrangement Dev elopment Grants: 8. Note : The Department is not bound by any estimates in this notice. Applicants should periodically check the HSI program Web site for further information. The address is: www.ed.gov/programs/idueshsi/index.html. Project Period : Up to 60 months. III. Eligibility Information 1. Eligible Applicants : IHEs that qualify as eligible HSIs are eligible to apply for new Individual Development Grants and Cooperative Arrangement Development Grants under the HSI program. To be an eligible HSI, an IHE must -- (a) Have an enrollment of needy students, as defined in section 502(b) of the HEA (section 502(a)(2)(A)(i) of the HEA; 20 U.S.C. 1101a(a)(2)(A)(i)); (b) Have, except as provided in section 522(b) of the HEA, average educational and general expenditures that are low, per full
- time equivalent (FTE) undergraduate student, in comparison with the average educational and general expenditures per FTE undergraduate student of institutions that offer similar20

instruction (section 502(a)(2)(A)(ii) of the HEA; 20 U.S.C. 1101a(a)(2)(A)(ii)); Note : To demonstrate an enrollment of needy students and low average educational and general expenditures per FTE undergraduate student, an IHE must be designated as an “eligible institution” in accordance with 34 C FR 606.3 through 606.5 and the Notice Inviting Applications for Designation as an Eligible Institution for the fiscal year for which the grant competition is being conducted. For purposes of establishing eligibility for this competition, the Notice Invitin g Applications for Designation as an Eligible Institution for FY 2013 was published in the Federal Register on (insert date) (insert FR). Only institutions that submitted the required application and received designation through this process are eligible to submit applications for this competition. (c) Be accredited by a nationally recognized accrediting agency or association that the Secretary has determined to be a reliable authority as to the quality of education or training offered, or making reasonab le progress toward accreditation, according to such an agency or association (section 502(a)(2)(A)(iv) of the HEA; 20 U.S.C. 1101a(a)(2)(A)(iv)); (d) Be legally authorized to provide, and provide within the State, an educational program for which the inst itution21

awards a bachelor’s degree (section 502(a)(2)(A)(iii) of the HEA or a junior or community college; 20 U.S.C. 1101a(a)(2)(A)(iii)); and (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 (section 502(a)(5)(B) of the HEA; 20 U.S.C. 1101a(a)(5)(B)). Note 1 : Funds for the HSI Program will be awarded each fiscal year; thus, for this program, the “end of the award year immediately p receding 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. Note 2 : In considering applications for grants under this program, the Departm ent 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 r eport. If different percentages or data are reported in these various sources, the institution must, as part of the 25 percent assurance verification, explain the reason for the differences. If the IPEDS data show that less than 25 percent of the institu tion’s undergraduate FTE students are Hispanic, the burden is on the institution to show that the IPEDS data are inaccurate. If the IPEDS data indicate22

that the institution has an undergraduate FTE less than 25 percent, and the institution fails to demons trate that the IPEDS data are inaccurate, the institution will be considered ineligible. 1 Relationship between HSI and Title III, Part A Programs Note 1 : A grantee under the HSI Program, which is authorized by Title V of the HEA, may not receive a grant u nder any HEA, Title III, Part A or Part B Program (section 505 of the HEA; 20 U.S.C. 1101D). The Title III, Part A Programs include: the Strengthening Institutions Program; the American Indian Tribally Controlled Colleges and Universities Program; the Al aska Native and Native Hawaiian
- Serving Institutions Programs; the Asian American and Native American Pacific Islander
- Serving Institutions Program; and the Native American
- Serving Non
- Tribal Institutions Program. Furthermore, a current HSI Program grante e may not give up its HSI grant in order to receive a grant under any Title III, Part A Program (§606.2(c)(1)). Note 2 : An HSI that does not fall within the limitation described in Note 1 may apply for a FY 2013 grant under all Title III, Part A Programs, for which it is eligible, as well as

1 For purposes of making the determination described in paragraph (e) of the Eligibility Criteria for th is competition, IHEs must report their undergraduate Hispanic FTE percent based on the student enrollment count closest to, but not after, September 30, 20 11.23

under the HSI Program. However, a successful applicant may receive only one grant. Note 3 : An eligible HSI that submits multiple applications may only be awarded one Individual Development Grant and/or one Cooperativ e Arrangement Development Grant in a fiscal year (34 CFR 606.9 and 606.13). In addition, the Secretary will not award a second Individual Development Grant to an HSI with a current five
- year Individual Development Grant as described in 34 CFR 606.9(b)(1). Note 4 : An eligible HSI that submits a Cooperative Arrangement Development Grant with a partnering branch campus that is a part of the same institution will not be awarded a grant(34 CFR 606.7 (b)). 2. Cost Sharing or Matching : This program does not require cost sharing or matching requirements unless the grantee uses a portion of its grant for establishing or improving an endowment fund. If a grantee uses a portion of its grant for endowment fund purposes, it must match those grant funds with
non - Fe deral funds (section 503(c)(2) of the HEA; 20 U.S.C. 1101b(c)(2)). IV. Application and Submission Information 1. Address to Request Application Package : Carnisia M. Proctor , U.S. Department of Education, 1990 K Street, NW., Room24

60 38 , Washington, DC 200 06
- 8513. Telephone: (202) 502
- 7 606 or by e
- mail: Carnisia.Proctor@ed.gov . If you use a telecommunications device for the deaf (TDD)or a text telephone (TTY), call the Federal Relay Service (FRS), toll free, at 1
- 800
- 877
- 8339. Individuals with disabilities can obtain a copy of the application package in an accessible format (e.g., braille, large print, audiotape, or compact disc) by contacting the program contact person listed in this section. 2. Content and For m of Application Submission : Requirements concerning the content of an application, together with the forms you must submit, are in the application package for this program. Page Limits: The application narrative (Part III of the application) is where you, the applicant, address the selection criteria and the competitive priorities that reviewers use to evaluate your application. We have established mandatory page limits for both the Individual Development Grant and the Cooperative Arrangement Developm ent Grant applications. If your application addresses any of the competitive priorities you must limit the application narrative (Part III) to no more than 55 pages for the Individual Development Grant application and no more than 75 pages for the Coopera tive Arrangement Development Grant application. Please include a separate heading when25

responding to the competitive priorities. If you do not wish to address the competitive priorities, you must limit your application narrative to no more than 50 pages for the Individual Development Grant application and no more than 70 pages for the Cooperative Arrangement Development Grant application 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. Note : For purposes of determining compliance with the page limits, each page on which there are words will be counted as one full page. • Double space (no more than three lines per vertical inch) all text in the application narrative, except t itles, headings, footnotes, quotations, references, captions and all text in charts, tables, and graphs. These items may be single
spaced. Charts, tables, figures, and graphs in the application narrative count toward the page limit. • Use a font that is either 12 point or larger, or no smaller than 10 pitch (characters per inch). • Use one of the following fonts: Times New Roman, Courier, Courier New, or Arial. An application submitted in any other font (including Times Roman or Arial Narrow) will not b e accepted.26

The page limit does not apply to Part I, the Application for Federal Assistance (SF 424); the Department of Education Supplemental Information form (SF 424); Part II, Budget Information
-- Non - Construction Programs (ED 524); Part IV, the
assuranc es and certifications; or the one
- page project abstract, program activity budget detail form and supporting narrative, and the five
- year plan. However, the page limit does apply to all of the application narrative section (Part III), including the budget narrative of the selection criteria and the competitive priorities. If you include any attachments or appendices not specifically requested in the application package, these items will be counted as part of your application narrative (Part III) for purpos es of the page limit requirement. You must include your complete response to the selection criteria in the application narrative. Note : The narrative response to the budget selection criteria is not the same as the activity detail budget form and support ing narrative. The supporting narrative for the activity detail budget form lists the requested budget items line by line. We will reject your application if you exceed the page limit. 3. Submission Dates and Times :27

Applications Available: [INSERT DATE OF PUBLICATION IN THE FEDERAL REGISTER]. Deadline for Transmittal of Applications: [INSERT DATE 30 DAYS AFTER DATE OF PUBLICATION IN THE FEDERAL REGISTER]. Applications for grants under this program must be submitted electronically using the Grants.gov A pply site (Grants.gov). For information (including dates and times) about how to submit your application electronically, or in paper format by mail or hand delivery if you qualify for an exception to the electronic submission requirement, please refer to section IV. 7. Other Submission Requirements of this notice. We do not consider an application that does not comply with the deadline requirements. Individuals with disabilities who need an accommodation or auxiliary aid in connection with the applicatio n process should contact one of the persons listed under For Further Information Contact in section VII of this notice. If the Department provides an accommodation or auxiliary aid to an individual with a disability in connection with the application proc ess, the individual’s application remains subject to all other requirements and limitations in this notice. Deadline for Intergovernmental Review: [INSERT DATE 90 DAYS AFTER DATE OF PUBLICATION IN THE FEDERAL REGISTER].28

4. Intergovernmental Review : Thi s competition is subject to Executive Order 12372 and the regulations in 34 CFR part 79. Information about Intergovernmental Review of Federal Programs under Executive Order 12372 is in the application package for this competition. 5. Funding Restriction s : 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)
-- a nd, after July 24, 2012, with the System for Award Management (SAM)
-- the Government’s primary registrant database;

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

d. Maintain an active CCR or SAM registration with current informati on while your application is under review by the Department and, if you are awarded a grant, during the project period.29 You can obtain a DUNS number from Dun and Bradstreet. A DUNS number can be created within one business day.

If you are a corporate en tity, 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 allo w 2
- 5 weeks for your TIN to become active. The CCR or SAM registration process may take five or more business days to complete. If you are currently registered with the CCR, you may not need to make any changes. However, please make certain that the TIN associated with your DUNS number is correct. Also note that you will need to update your registration annually. This may take three or more business days to complete. Information about SAM is available at SAM.gov. In addition, if you are submitting yo ur application via Grants.gov, you must (1) be designated by your organization as an Authorized Organization Representative (AOR); and (2) register yourself with Grants.gov as an AOR. Details on these steps are outlined at the following Grants.gov Web pag e: www.grants.gov/applicants/get_registered.jsp. 7. Other Submission Requirements : Applications for grants under this competition must be submitted electronically unless30

you qualify for an exception to this requirement in accordance with the instruction s in this section.
a. Electronic Submission of Applications : Applications for grants under the HSI Program, CFDA Number 84.031S, must be submitted electronically using the Government wide Grants.gov Apply site at www.Grants.gov. Through this site, you wi ll be able to download a copy of the application package, complete it offline, and then upload and submit your application. You may not e
- mail an electronic copy of a grant application to us. We will reject your application if you submit it in paper forma t 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 qualif y for one of these exceptions. Further information regarding calculation of the date that is two weeks before the application deadline date is provided later in this section under Exception to Electronic Submission Requirement . You may access the electron ic grant application for Developing Hispanic
- Serving Institutions at www.Grants.gov. You must search for the downloadable application package for this program by the CFDA number. Do not include the CFDA number’s31

alpha suffix in your search (e.g., search for 84.031, not 84.031S). Please note the following: • When you enter the Grants.gov site, you will find information about submitting an application electronically through the site, as well as the hours of operation. • Applications received by Grants.go v are date and time stamped. Your application must be fully uploaded and submitted and must be date and time stamped by the Grants.gov system no later than 4:30:00 p.m., Washington, DC time, on the application deadline date. Except as otherwise noted in this section, we will not accept your application if it is received
-- that is, date and time stamped by the Grants.gov system
-- after 4:30:00 p.m., Washington, DC time, on the application deadline date. We do not consider an application that does not comply with the deadline requirements. When we retrieve your application from Grants.gov, we will notify you if we are rejecting your application because it was date and time stamped by the Grants.gov system after 4:30:00 p.m., Washington, DC time, on the appli cation 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 the32

application deadline date to begin the submission process through Grants.gov. • You should review and follow the Education Submission Procedures for submitting an application through Grants.gov that are included in the application package for this competition to ensure that you submit your application in a timely manner to the Grants.gov system. You can also find the Education Submission Procedures pertaining to Grants.gov under News and Events on the Department’s G5 system home page at h ttp://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 se ction, 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 Supple mental Information for SF 424, Budget Information
-- Non - Construction Programs (ED 524), and all necessary assurances and certifications. • You must upload any narrative sections and all other attachments to your application as files in a PDF (Portable Do cument) read
- only, non
- modifiable format. Do not upload an33

interactive or fillable PDF file. If you upload a file type other than a read
- only, non
- modifiable PDF or submit a password
protected file, we will not review that material
. • Your electronic a pplication 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
n otification indicates receipt by Grants.gov only, not receipt by the Department.) The Department then will retrieve your application from Grants.gov and send a second notification to you by e
- mail. This second notification indicates that the Department h as received your application and has assigned your application a PR/Award number (an ED

- specified identifying number unique to your application). • We may request that you provide us original signatures on forms at a later date. Application Deadline Date Extension in Case of Technical Issues with the Grants.gov System : If you are experiencing problems submitting your application through Grants.gov, please contact the Grants.gov Support Desk, toll free, at 1
- 800
- 518
- 4726. You must obtain a Grants.gov Supp ort Desk Case Number and must keep a record of it.34

If you are prevented from electronically submitting your application on the application deadline date because of technical problems with the Grants.gov system, we will grant you an extension until 4:30:00 p.m., Washington, DC time, the following business day to enable you to transmit your application electronically or by hand delivery. You also may mail your application by following the mailing instructions described elsewhere in this notice. If you su bmit an application after 4:30:00 p.m., Washington, DC time, on the application deadline date, please contact the person listed under For Further Information Contact in section VII of this notice and provide an explanation of the technical problem you expe rienced with Grants.gov, along with the Grants.gov Support Desk Case Number. We will accept your application if we can confirm that a technical problem occurred with the Grants.gov system and that that problem affected your ability to submit your applicat ion by 4:30:00 p.m., Washington, DC time, on the application deadline date. The Department will contact you after a determination is made on whether your application will be accepted. Note : The extensions to which we refer in this section apply only to the unavailability of, or technical problems with, the Grants.gov system. We will not grant you an extension if you failed to fully register to submit your application to35

Grants.gov before the application deadline date and time or if the technical proble m you experienced is unrelated to the Grants.gov system. Exception to Electronic Submission Requirement : You qualify for an exception to the electronic submission requirement, and may submit your application in paper format, if you are unable to submit an application through the Grants.gov system because

–– • You do not have access to the Internet; or • You do not have the capacity to upload large documents to the Grants.gov system; and
• No later than two weeks before the application deadline d ate (14 calendar days or, if the fourteenth calendar day before the application deadline date falls on a Federal holiday, the next business day following the Federal holiday), you mail or fax a written statement to the Department, explaining which of the t wo grounds for an exception prevent you from using the Internet to submit your application. If you mail your written statement to the Department, it must be postmarked no later than two weeks before the application deadline date. If you fax your writte n statement to the Department, we must receive the faxed statement no later than two weeks before the application deadline date.36

Address and mail or fax your statement to **:** Carnisia M. Proctor , U.S. Department of Education **,** 1990 K Street, NW., Room 60 38 , Washington, DC 20006
- 8513 **.** FAX: (202) 502
- 7777. 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 t o the electronic submission requirement, you may mail (through the U.S. Postal Service or a commercial carrier) your application to the Department. You must mail the original and two copies of your application, on or before the application deadline date, to the Department at the following address: U.S. Department of Education Application Control Center Attention: (CFDA Number 84.031S) LBJ Basement Level 1 400 Maryland Avenue, SW. Washington, DC 20202
- 4260 You must show proof of mailing consisting of on e of the following: (1) A legibly dated U.S. Postal Service postmark. (2) A legible mail receipt with the date of mailing stamped by the U.S. Postal Service. (3) A dated shipping label, invoice, or receipt from a commercial carrier.37

(4) Any other proof of mailing acceptable to the Secretary of the U.S. Department of Education. If you mail your application through the U.S. Postal Service, we do not accept either of the following as proof of mailing: (1) A private metered postmark. (2) A mail receipt th at is not dated by the U.S. Postal Service. If your application is postmarked after the application deadline date, we will not consider your application. Note : The U.S. Postal Service does not uniformly provide a dated postmark. Before relying on this me thod, you should check with your local post office
. c. Submission of Paper Applications by Hand Delivery . If you qualify for an exception to the electronic submission requirement, you (or a courier service) may deliver your paper application to the Depart ment 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 Numb er 84.031S) 550 12th Street, SW. Room 7041, Potomac Center Plaza Washington, DC 20202
- 426038

The Application Control Center accepts hand deliveries daily between 8:00 a.m. and 4:30:00 p.m., Washington, DC time, except Saturdays, Sundays, and Federal holid ays. Note for Mail or Hand Delivery of Paper Applications : If you mail or hand deliver your application to the Department
-- (1) You must indicate on the envelope and
-- if not provided by the Department
-- in Item 11 of the SF 424 the CFDA number, including suffix letter, if any, of the competition under which you are submitting your application; and (2) The Application Control Center will mail to you a notification of receipt of your grant application. If you do not receive this notification within 15 bus iness days from the application deadline date, you should call the U.S. Department of Education Application Control Center at (202) 245
- 6288. V. Application Review Information 1. Selection Criteria : The selection criteria for this program are in 34 CF R 606.22. In addition to these selection criteria, we evaluate an applicant’s performance under a previous development grant under 34 CFR 606.24. 2. Review and Selection Process : We remind potential applicants that in reviewing applications in any disc retionary 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,39

achievement of project objectives, and compliance with grant
c onditions. The Secretary may also consider whether the applicant failed to submit a timely performance report or submitted a report of unacceptable quality. In addition, in making a competitive grant award, the Secretary also requires various assurances i ncluding those applicable to Federal civil rights laws that prohibit discrimination in programs or activities receiving Federal financial assistance from the Department of Education (34 CFR 100.4, 104.5, 106.4, 108.8, and 110.23). Additional factors we con sider in selecting an application for an award are as follows: (A) Documentation of at least 25 Percent Hispanic Undergraduate FTE students . Applicants must provide, as an attachment to the application, the documentation the IHE relied upon in determinin g that at least 25 percent of the IHE’s undergraduate FTE students are Hispanic. Note : The 25 percent requirement applies only to undergraduate Hispanic students and is calculated based upon FTE students as defined in section 502(a)(4) of the HEA. Inst ructions for formatting and submitting the verification documentation to Grants.gov are in the application package for this competition. (B) Tiebreaker for Development Grants . In tie
- breaking situations for development grants described in 34 CFR 606.23(b ),40

the HSI Program regulations require that we award one additional point to an application from an IHE that has an endowment fund of which the current market value, per FTE enrolled student, is less than the average current market value of the endowment f unds, per FTE enrolled student, at comparable institutions that offer similar instruction. We also award one additional point to an application from an IHE that had expenditures for library materials per FTE enrolled student that are less than the average expenditures for library materials per FTE enrolled student at comparable institutions that offer similar instruction. For the purpose of these funding considerations, we use 2010
- 2011 data. If a tie remains after applying the tiebreaker mechanism above , priority will be given (a) for Individual Development Grants, to applicants that addressed the statutory priority found in section 521(d) of the HEA, as amended; and (b) for Cooperative Arrangement Development Grants, to applicants in accordance with sec tion 524(b) of the HEA, under which the Secretary determines that the cooperative arrangement is geographically and economically sound or will benefit the applicant HSI. If a tie still remains after applying the additional point(s) and the relevant statut ory priority, we will determine41

the ranking of applicants based on the lowest endowment values per FTE enrolled student. 3. Special Conditions : Under 34 CFR 74.14 and 80.12, the Secretary may impose special conditions on a grant if the applicant or grant ee is not financially stable; has a history of unsatisfactory performance; has a financial or other management system that does not meet the standards in 34 CFR parts 74 or 80, as applicable; has not fulfilled the conditions of a prior grant; or is otherwi se not responsible. VI. Award Administration Information 1. Award Notices : If your application is successful, we notify your U.S. Representative and U.S. Senators and send you a Grant Award Notification (GAN). We may notify you informally, also. If your application is not evaluated or not selected for funding, we notify you. 2. Administrative and National Policy Requirements : We identify administrative and national policy requirements in the application package and reference these and other requirement s in the Applicable Regulations section of this notice. We reference the regulations outlining the terms and conditions of an award in the Applicable Regulations section of this notice and include these and other specific conditions in42

the GAN. The GAN also incorporates your approved application as part of your binding commitments under the grant. 3. Reporting : (a) If you apply for a grant under this competition, you must ensure that you have in place the necessary processes and systems to comply with the reporting requirements in 2 CFR part 170 should you receive funding under the competition. This does not apply if you have an exception under 2 CFR 170.110(b). (b) At the end of your project period, you must submit a final performance report, includ ing financial information, as directed by the Secretary. If you receive a multi
- year award, you must submit an annual performance report that provides the most current performance and financial expenditure information as directed by the Secretary under 34 CFR 75.118. The Secretary may also require more frequent performance reports under 34 CFR 75.720(c). For specific requirements on reporting, please go to www.ed.gov/fund/grant/apply/appforms.html. 4. Performance Measures : The Secretary has established the following key performance measures for assessing the effectiveness of the HSI program: 1. The percentage change, over the five
- year grant period, of the number of full
- time degree
- seeking undergraduate students enrolled at HSIs.43

2. The percentag e of first
- time, full
- time degree
- seeking undergraduate students who were in their first year of postsecondary enrollment in the previous year and are enrolled in the current year at the same two
- year Hispanic
- serving institution. 3. The percentage of f irst
- time, full
- time degree
- seeking undergraduate students who were in their first year of postsecondary enrollment in the previous year and are enrolled in the current year at the same four
- year Hispanic
- serving institution. 4. The percentage of first
- time, full
- time degree
- seeking undergraduate students enrolled at four
- year HSIs graduating within six years of enrollment. 5. The percentage of first
- time, full
- time degree
- seeking undergraduate students enrolled at two
- year HSIs graduating within thre e years of enrollment. 6. Federal cost per undergraduate and graduate degree at institutions in the HSI Program. 5. Continuation Awards : In making a continuation award, the Secretary may consider, under 34 CFR 75.253, the extent to which a grantee has made “substantial progress toward meeting the objectives in its approved application.” This consideration includes review of a grantee’s progress in meeting the targets and projected outcomes in its approved application, and whether44

the grantee has expen ded funds in a manner that is consistent with its approved application and budget. In making a continuation grant, the Secretary also considers whether the grantee is operating in compliance with the assurances in its approved application, including those applicable to Federal civil rights laws that prohibit discrimination in programs or activities receiving Federal financial assistance from the Department (34 CFR 100.4, 104.5, 106.4, 108.8, and 110.23). VII. Agency Contact: For Further Information Contact : Carnisia M. Proctor , U.S. Department of Education, 1990 K Street, NW., Room 60 38 , Washington, DC 20006
- 8513. Telephone: (202) 502
- 7 606 or by e
mail: Carnisia.Proctor@ed.gov . If you use a TDD or a TTY, call th e FRS, toll free, at 1
- 800
- 877
- 8339. VIII. Other Information Accessible Format : Individuals with disabilities can obtain this document and a copy of the application package in an accessible format (e.g., braille, large print, audiotape, or compact disc) o n request to one of the program contact persons listed under For Further Information Contact in section VII of this notice. Electronic Access to This Document : The official version of this document is the document published in the Federal Register .45

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 Dep artment published in the Federal Register by using the article search feature at www.federalregister.gov . Specifically, through the advanced search feature at this site, you can limit your search to documents p ublished by the Department. Dated:

___________________________ David A. Bergeron , Acting Assistant Secretary F or P ostsecondary Education .46 **Title V Program Statute**
**TITLE V**

**— DEVELOPING INSTITUTIONS**  **PART A**

**— HISPANIC**  **- SERVING INS**  **TITUTIONS** SEC. 501. FINDINGS; PURPOSE; AND PROGRAM AUTHORITY. (a) FINDING.
-- Congress makes the following findings: (1) Hispanic Americans are at high risk of not enrolling or graduating from institutions of higher education. (2) Disparities between the enrollment of non
- Hispanic white students and Hispanic students in postsecondary education are increasing. Between 1973 and 1994, enrollment of white secondary

school graduate in 4
- ye ar institutions of higher education increased at a rate two times higher than that of Hispanic secondary school graduates. (3) Despite significant limitations in resources, Hispanic
- serving institutions provide a significant proportion of postsecondary opportunities for Hispanic students. (4) Relative to other institution of higher education, Hispanic
- serving institutions are under funded. Such institutions receive significantly less in State and local funding, per full
- time equivalent student, than other institutions of higher education. (5) Hispanic
- serving institution s are succeeding in educating Hispanic students despite significant resources problems that
-- (A) limit the ability

of such institutions to expand and improve the academic programs of such institutions; and (B) could imperil the financial and administrati ve stability of such institutions. (6) There is a national interest in remedyi ng the disparities described in paragraphs (2) and (4) and ensuring that Hispanic students have an equal opportunity to pursue postsecondary opportunities. (b) Purpose.
-- The purpose of this title is to
-- (1) expand educational opportunities for, and improve the academic attainment of Hispanic students, and; (2) expand and enhance the academic offerings, program quality , and institutional stability of colleges and universitie s that are educating the majority of Hispanic college students and helping large number of Hispanic students and other low
- income individuals complete postsecondary

degrees. (c) Program Authority
. -- The Secretary shall provide grants and related assistanc e to Hispanic
serving institutions to enable such institutions to improve and expand their capacity to serve Hispanic students and other low
- income individuals.47

SEC. 502 DEFINITIONS; ELIGIBILITY. (a) Definitions. For the purpose of this title: (1) EDUC ATIONAL AND GENERAL EXPENDITURES. The term “educational and general expenditures” means the total amount expended by and institution for instruction, research, public service, academic support (including library expenditures), student services, institutio nal support, scholarships and fellowships, operation and maintenance expenditures for the phy sical plant, and an mandatory transfers that the institution is required to pay by law. (2) ELIGIBLE INSTITUTION. The term “eligible institution” means
-- (A) an institution of higher education
-- (i) has an enrollment of needy students as required by subsection (b); (ii) except as provided in section 512(b), the average educational and general expenditures of which are low, per full time equivalent undergraduate student, in comparison with the average educational and general expenditures per full time equivalent undergraduate student of institutions that offer similar instruction: (iii) that is
-- (I) legall y authorized to provide, and provides within the State, an education program for which the institution awards a bachelor’s degree or (II) a junior or community college; (iv) that is accredited b y a nationally recognized accrediting agency or association determined by the Secretary to be reliable authority as to the quality

of training offered or that is, according to such an agency or association, making reasonable progress toward accreditation; (v) that meets such other requirements as the Secretary may prescribe; and (vi) that is located in a State; and (B) an y branch of an y institution of higher education described under subparagraph (A) that b y itself satisfies the requirements contained in clauses (I) and (ii) of such subparagraph. For purposes of the determination of whether an institution is an elig ible institution under this paragraph, the factor described under subparagraph (A)(I) shall be given twice the weight of the factor described under subparagraph (A)(ii). (3) ENDOWMENT FUND.
-- The term “endowment fund” means a fund that (A) is establishe d by

State law, b y a Hispanic
- serving institution, or by a foundation that is exempt from Federal income taxation; (B) is maintained for the purpose of generating income for the support of the institution; and (C) does not include real estate.48

(4) FU LL
- TI ME EQUIVALENT STUDENTS.
-- The term “full
- time equivalent students” means the sum of the number of students enrolled full time at an institution, plus the full
- time equivalent of the number of students enrolled part time (determined on the basis of the qu otient of the sum of the credit hours or all part
- time student divided by 12) at such institution. (5) HISPANIC
- SERVING INSTITUTION.
-- The term “Hispanic
- Serving institution” means an institution of higher education that

— (A) is an eligible institution; and (B) has an enrollment of undergraduate full
- time equivalent students that is at least 25 percent Hispanic students at the end of the award year immediatel y preceding the date of application. (6) JUNIOR OR COMMUNITY COLLEGE. The term “junior or community college” means an institution of higher education
-- (A) that admits as regular students persons who are beyond the age of compulsory school attendance in the State in which the institution is located and who have the ability to benefit from the traini ng offered b y the institution; (B) that does not provide an educational program for which the institution awards a bachelor’s degree (or an equivalent degree); and (C) that
-- (i) provides an educational program of not less than 2 y ears in duration that is acceptable for full credit toward such a degree; or (ii) offers a 2
- ye ar program in engineering, mathematics or the phy sical or biological sciences, designed to prepare a student to work as a technician or a the semiprofessional level in engineering, sc ientific, or other technological fields requiring the understanding the application of basic engineering, scientific, or mathematical principles of knowledge. (b) Enrollment of Needy Students.
-- For the purpose of this title, the term “enrollment of needy students” means an enrollment at an institution with respect to which
--

(1) at least 50 percent of the degree students so enrolled are receiving need
- based assistance under title IV in the second fiscal year preceding the fiscal year for which the determi nation is made (other than loans for which an interest subsidy is paid pursuant to section 428); or (2) a substantial percentage of the students so enrolled are receiving Federal Pell Grants in the second fiscal year preceding the fiscal year for which de termination is made compared to the percentage of students receiving Federal Pell Grants at all such institutions in the second fiscal year preceding the fiscal year for which the determination is made, unless the requirement of this paragraph is waived un der section 512(a). SEC. 503 AUTHORIZED ACTIVITIES. (a) TYPES OF ACTIVITIES AUTHORIZED. Grants awarded under this title shall be used by Hispanic
- serving institutions of higher education to assist the institutions to plan, develop, undertake, and carry

out programs to improve and expand such institutions’ capacity to serve Hispanic students and other low
- income students.49

(b) AUTHORIZED ACTIVITIES. Grants awarded under this section shall be used for one or more of the following activities: (1) Purchase, r ental or lease of scientific or laboratory equipment for educational purposes, including instructional and research purposes. (2) Construction, maintenance, renovation, and improvement in classrooms, libraries, laboratories, and other instructional facili ties. (3) Support of faculty

exchanges, facult y development, curriculum development, academic instruction, and faculty fellowships to assist in attaining advanced degrees in the fellow’s field of instruction. (4) Purchase of library

books, periodicals, and other educational materials, including telecommunications program material. (5) Tutoring, counseling, and student service programs designed to improve academic success. (6) Funds management, administrative management, and acquisition of equipment for use in strengthening funds management. (7) Joint use of facilities, such as laboratories and libraries. (8) Establishing or improving a development office to strengthen or improve contributions from alumni and the private sector. (9) Establishing or i mproving an endowment fund. (10) Creating or improving facilities for Internet or other distance learning academic instruction capabilities, including purchase or rental of telecommunications technology equipment or services. (11) Establishing or enhanci ng a program or teacher education designed to qualify students to teach in public elementary schools and secondary

schools. (12) Establishing community outreach programs that will encourage elementary school and secondary

school students to develop the ac ademic skills and the interest to pursue postsecondary

education. (13) Expanding the number of Hispanic and other underrepresented graduate and professional students that can be served b y the institution by expanding courses and institutional resources. (14) Other activities proposed in the application submitted pursuant to section 504 that
-- (A) that contribute to carrying out the purposes of this title (B) are approved b y the Secretary as part of the review and acceptance of such application. (c) End owment fund limitations.

– (1) Portion of a grant.
-- A Hispanic
- serving institution may not use more than 20 percent of the grant funds provided under this title for an y fiscal year for establishing or improving an endowment fund.50

(2) Matching requi red.
-- A Hispanic
- serving institution that uses any portion o f the grant funds provided under this title for an y fiscal year for establishing or improving and endowment fund shall provide from non
- Federal funds an amount equal to or greater than the port ion. (3) Comparability
. -- The provisions of part C of subchapter III of this chapter regarding the establishment or increase of an endowment fund, that the Secretary determines are not inconsistent with this subsection, shall apply to funds used under par agraph (1). SEC. 504
-- DURATION OF GRANT (a) Award Period
- The Secretary may award a grant to a Hispanic
- serving institution under this title for 5 years. (b) Planning grants. Notwithstanding subsection (a), the Secretary may award a grant to a Hispanic
- serving institution under this part for a period of one y ear for the purpose of preparation of plans and applications for a grant under this title. SEC. 505. SPECIAL RULE No Hispanic
- serving institution that is eligible for and receives funds under this title may concurrently

receive other funds under part A or B of Title III during the period for which funds under this title are awarded. **PART B --**  **GENERAL PROVISIONS** SEC. 511. ELIGIBILITY; APPLICATION. (a) Institutional Eligibility . Each Hispanic
- s erving institution desiring to receive assistance under this title shall submit to the Secretary such enrollment data as may be necessary

to demonstrate that the institution is a Hispanic
- serving institution as defined in section 502, along with such other data and information as the Secretary may be regulation require. (b) Applications. (1) Applications required. Any institution which is eligible for assistance under this subchapter shall submit to the Secretary an application for assistance at such tim e, in such form, and containing such information, as may be necessary

to enable the Secretary

to evaluate the institution’s need for assistance. Subject to the availability of appropriations to carry out this title, the Secretary

may approve an applicatio n for a grant under this title only if the Secretary determines that
- (A) the application meets the requirements of subsection (b); and (B) the institution is eligible for assistance in accordance with the provisions of this title under which the assistan ce is sought. (2) Preliminary

Applications.
-- In carrying out paragraph (1), the Secretary may develop a preliminary

application for use b y Hispanic
- serving institutions applying under this title prior to the submissions of the principal application. (c ) Contents. A Hispanic
- serving institution, in the institution’s application for a grant, shall
- (1) set forth, or describe how the institution will develop, a comprehensive development plan to strengthen the institution's academic quality and institutional management, and otherwise provide for institutional self
- sufficiency

and growth (including measurable objectives for the51

institution and the Secretary to use in monitoring the effectiveness of activities under this subchapter); (2) include a 5
- year plan for improving the assistance provided by the Hispanic
- serving institution to Hispanic students and other low
- income individuals; (3) set forth policies and procedures to ensure that Federal funds made available under this subchapter for an y fiscal year will be used to supplement and, to the extent practical, increase the funds that would otherwise be made available for the purposes of section 501(b), and in no case supplant those funds; (4) set forth policies and procedures for evaluating the effec tiveness in accomplishing the purpose of the activities for which a grant is sought under this title; (5) provide for such fiscal control and fund accounting procedures as may be necessary

to ensure proper disbursement of and accounting for funds made av ailable to the applicant under this title; (6) provide that the institution will comply with the limitations set forth in Section 516; (7) describe in a comprehensive manner an y proposed project for which funds are sought under the application and inclu de
--

(A) a description of the various components of the proposed project, including the estimated time required to complete each such component; (B) in the case of an y development project that consists of several components (as described b y the institutio n pursuant to subparagraph (A)), a statement identifying those components which, if separately funded, would be sound investments of Federal funds onl y if funded under this title in conjunction with other parts of the development project (as specified b y the institution); (C) an evaluation by

the applicant of the priorit y given an y proposed project for which funds are sought in relation to an y other projects for which funds are sought b y the applicant under this title, and a similar evaluation regarding pri orities among the components of an y single proposed project (as described by the applicant pursuant to subparagraph (A)); (D) a detailed budget showing the manner in which funds for an y proposed project would be spent by the applicant; and (E) a detailed description of any activit y which involves the expenditure of more than $25,000, as identified in the budget referred to in subparagraph (E); and (8) provide for making reports, in such form and containing such information, as the Secretary may require to carry

out the Secretary ’s functions under this title, including not less than one report annuall y setting forth the institution’s progress toward achieving the objectives for which the funds were awarded and for keeping such records and affording such a ccess to such records, as the Secretary may find necessary

to assure the correctness and verification of such reports; and (9) include such other information as the Secretary may prescribe.52

(d) Priority . With respect to applications for assistance under this section, the Secretary shall give priority

to an application that contains satisfactory evidence that the Hispanic
- serving institution has entered into or will enter into a collaborative arrangement with at least one local education agency

or communi ty - based organization to provide such agency or organization with assistance (from funds other than funds provided under this title) in reducing dropout rates for Hispanic students, improving rates of academic achievement for Hispanic students, and increas ing the rates at which Hispanic secondary school graduates enroll in higher education. (e) Eligibility

Data. The Secretary

shall use the most recent and relevant data concerning the number and percentage of students receiving need
- based assistance under IV in making eligibility determinations and shall advance the base
- year for the determinations forward following each annual grant cycle. SEC. 512. WAIVER AUTHORITY AND REPORTI NG REQUIREMENT (a) Waiver requirements; need
- based assistance students. The S ecretary may waive the requirements set forth in section 502(a)(2)(A)(I) in the case of an institution (1) that is extensively

subsidized by

the State in which it is located and charges low or no tuition; (2) which serves a substantial number of low
- in come students as a percentage of its total student population; (3) that is contributing substantially to increasing higher education opportunities for educationall y disadvantaged, underrepresented, or minority students, who are low
- income individuals; ( 4) which is substantially increasing higher educational opportunities for individuals in rural or other isolated areas which are unserved b y postsecondary institutions; (5) wherever located, if the Secretary determines that the waiver will substantially i ncrease higher education opportunities appropriate to the needs of Hispanic Americans. (b) Waiver determinations; expenditures
-- (1) The Secretary may waive the requirements set forth in section 502(a)(2)(A)(ii) if the Secretary determines, based on persua sive evidence submitted by

the institution, that the institution's failure to meet that criterion is due to factors which, when used in the determination of compliance with such criterion, distort such determination, and that the institution's designation as an eligible institution under part A is otherwise consistent with the purposes of this title. (2) Expenditures
-- The Secretary shall submit to the Congress every other year a report concerning the institutions that, although not satisfyingthe requir ements of section 502(a)(2)(A)(ii), have been determined to be eligible institutions under part A. Such report shall
- (A) identify

the factors referred to in paragraph (1) which were considered by the Secretary as factors that distorted the determination o f compliance with clauses (I) and (ii) of section 502(a)(2)(A); and (B) contain a list of each institution determined to be an eligible institution under part A including a statement of the reasons for each such determination. SEC. 513
-- APPLICATION REVIEW PROCESS53

(a) Review panel.
-- All applications submitted under this title by Hispanic serving institutions of higher education shall be read b y a panel of readers composed of individuals selected b y the Secretary and who include individuals representing His panic
- serving institutions. The Secretary shall ensure that no individual assigned under this section to review any application has an y conflict of interest with regard to that application which might impair the impartiality with which that individual con ducts the review under this section. (b) Instruction.
-- All readers selected b y the Secretary shall receive thorough instruction from the Secretary regarding the evaluation process for applications submitted under this title that are consistent with the pr ovisions of this title, including
-- (1) an enumeration of the factors to be used to determine the quality of applications submitted under this title; and (2) an enumeration of the factors to be used to determine whether a grant should be awarded for a pr oject under this title, the Secretary shall take into consideration the amount of any such grant, and the duration of any such grant. (c) Recommendations of panel. In awarding grants under this title, the Secretary shall take into consideration the recommendations of the panel made under subsection (a). (d) Notification. Not later than June 30 of each ye ar, the Secretary shall notify

each Hispanic
serving institution making an application under this title of (1) the scores given the applicant by the pan el pursuant to this section; (2) the recommendations of the panel with respect to such application; and (3) the reasons for the decision of the Secretary in awarding or refusing to award a grant under this title, and an y modifications, if any , in the re commendations of the panel made by the Secretary
. SEC. 514
-- COOPERATIVE ARRANGEMENTS (a) General authorit y. The Secretary may make grants to encourage cooperative arrangements with funds available to carry out this title, between Hispanic
- serving institutions eligible for assistance under this title and between such institutions and institutions not receiving assistance under this title, for assistance under this title, for the activities described in section 503 so that the resources of the cooperating institutions might be combined and shared in order to achieve the purposes of this title, to avoid costly duplicative efforts and to enhance the development of part A and part B eligible institutions. (b) Priority . The Secretary shall give priorit y to grants for the purposes described under subsection (a) whenever the Secretary determines that the cooperative arrangement is geographically

and economically

sound or will benefit the applicant Hispanic
- serving institution. (c) Duration. Grants to Hispanic
- se rving institutions having a cooperative arrangement may be made under this section for a period as determined under section 505. SEC. 515. ASSI STANCE TO INSTITUTIONS UNDER OTHER PROGRAMS (a) Assistance eligibility . Each Hispanic
- serving institution that the Secretary determines to be an institution eligible under this title may be eligible for waivers in accordance with subsection (b).54

(b) Waiver applicability (1) In General
- Subject to, and in accordance with, regulations promulgated for the purposes of this section, in the case of an y application by a Hispanic
- serving institution referred to in subsection (a) for assistance under an y programs specified in paragraph (2), the Secretary is authorized, if such application is otherwise approvable, to waive an y requirement for a non
Federal share of the cost of the program or project, or, to the extent not inconsistent with other law, to give, or require to be given, priority consideration of the application in relation to applications from other institutions
. (2) The provisions of this section shall apply to any program authorized by

Title IV or section 604. (c) Limitation. The Secretary shall not waive, under subsection (b) of this section, the non
Federal share requirement for an y program for application s which, if approved, would require the expenditure of more than 10 percent of the appropriations for the program for any fiscal year. SEC. 516. LIMITATIONS The funds appropriated under section 518 may not be used (1) for a school or department of d ivinity or any religious worship or sectarian activity ; (2) for an activit y that is inconsistent with a State plan for desegregation of higher education applicable to a Hispanic
- serving institution; (3) for an activit y that is inconsistent with a State plan of higher education applicable to a Hispanic
- serving institution; or (4) for purposes other than the purposes set forth in the approved application under which the funds were made available to a Hispanic
- serving institution. SEC. 517

—PENAL TI ES Whoe ver, being an officer, director, agent, or employee of, or connected in any capacit y with, any recipient of Federal financial assistance or grant pursuant to this subchapter embezzles, willfully misapplies, steals, or obtains by fraud any

of the funds whic h are the subject of such grant or assistance, shall be fined not more than $10,000 or imprisoned for not more than 2 years, or both. SEC. 518
-- AUTHORIZATIONS OF APPROPRIATIONS (a) Authorizations.
-- There are authorized to be appropriated to carry out this title $62,500,000 for fiscal ye ar 1999, and such sums as may be necessary

for each of the 4 succeeding fiscal ye ars. (b) Use of multiple ye ar awards. In the event of a multiple year award to any Hispanic
- serving institution under this title, the Sec retary shall make funds available for such award from funds appropriated for this title for the fiscal y ear in which such funds are to be used by the institution.55

**EXECUTIVE ORDER 12372 (Intergovernmental Review of Federal Programs)** This program falls under the rubric of Executive Order 12372 (Intergovernmental Review of Federal Programs) and the regulations in 34 CFR Part 79. One of the objectives of the Executive order is to strengthen federalism

— or the distribution of responsibility between localit ies, States, and the Federal government

— by fostering intergovernmental partnerships. This idea includes supporting processes that State or local governments have devised for coordinating and reviewing proposed Federal financial grant applications. The pr ocess 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 Contac t process and a list of names by State can be found at: http://www.whitehouse.gov/omb/grants/spoc.pdf Absent specific State review programs, applicants may submit comments directly to the Dep artment. All recommendations and comments must be mailed or hand
- delivered b y the date indicated in the actual application notice to the following address: The Secretary , EO 12372

— CFDA# 84.031S, U.S. Department of Education, room 7E200, 400 Maryland Avenue, SW., Washington, DC 20202. Proof of mailing will be determined on the same basis as applications (see 34 CFR 75.102). Recommendations or comments may be hand
- delivered until 4:30 p.m. ( Eastern Time ) on the closing date indicated in this notice. **Impo rtant 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.**56



## General Education Prov **isions Ac**  **t (GEPA)**

**Section 427 Section**  **427 requires**  **each applicant**  **to include**  **in its**  **application a**  **description of**  **the steps**  **the applicant**  **proposes to**  **take to**  **ensure equitable**  **access to,**  **and participation**  **in, its**  **federally -**  **assisted program for students, teachers, and other program beneficiaries with special needs**  **. This**  **section allows**  **applicants discretion**  **in developing**  **the required**  **description. T**  **he statute**  **highlights six**  **barriers that**  **can impede**  **equitable access**  **or participation**  **that you**  **may address:**  **gender, race, national origin, color disability, or**  **age. A**  **g eneral**  **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 required to a ddress this provision by attaching 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 this program.** 57 

## 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 consequences 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 accountabili ty for the expenditures of public funds, improve Congressional decision
- making through more objective information on the effectiveness of federal programs, and promote a new government focus on results, service delivery , and customer satisfaction. **How has the Department of Education Responded to the GPRA Requirements?**  As required 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 mission and program authorities and describes how the Department will work to improve education for all children and adults in the U.S. The Department’s goals, as listed in the plan, are: Goal 1: Increase student achievement, reward qualified teachers, and renew troubled schools so that every student can read and do math at grade level by 2014, as called for by the No Child Left Behind Act. Goal 2: Encourage more rigorous and advanced coursework to improve the academic performance of our middle and high school students. Goal 3: Work with colleges and universities to improve access, affordability, and accountability, so that our higher education system remains the world’s finest. The performance indicators for the Developing Hispanic
- Serving Institutions Program are part of the Department’s plan for meeting Goal 3. The Department’s specific goal for this program is “to strengthen Hispanic
- Serving Institutions.” **What are the Performance Indicators for the HSI 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
- qualit y educational o pportunities for their students. The specific performance indicators for the HSI Program are as follows: The effectiveness of the HSIProgram is assessed by : 1) The percentage change, over the five
ye ar grant period, of the number of full
- time degree
- se eking undergraduate students enrolled at HSI s. 2) The percentage of first
- time, full
- time degree
- seeking undergraduate students who were58

in their first year of postsecondary enrollment in the previous year and are enrolled in the current ye ar at the same two - ye ar HSI . 3) The percentage of first
- time, full
- time degree
- seeking undergraduate students who were in their first year of postsecondary enrollment in the previous ye ar and are enrolled in the current year at the same four
- ye ar HSI. 4 ) The percentage of first
time, full
- time degree
- seeking undergraduate students enrolled at four
- ye ar HSI s graduating within six years of enrollment. 5 ) The percentage of first
- time, full
- time degree
- seeking undergraduate students enrolled at two
- ye ar HSIs graduating with in three years of enrollment. 6 ) Federal cost for undergraduate and graduate degrees at institutions in the Developing HSI s program. **How does**  **the Department**  **of Education**  **determine whether**  **performance goals**  **have been**  **met?** An applicant that receives a gr ant award will be required to submit annual progress reports and a final report as a condition of the award. T he reports will document the extent to which project goals and objectives are met. The most recent version of this program’s annual performance report can be viewed at https://apr.ed.gov . To login, please click on the training tab and request login information to obtain access.59



## Instructions for Completing the **Ap plication**  The HSI application consists o f the following four parts. These parts are organized in the same manner that the submitted application should be organized. Remember to upload all forms and sections and follow carefully the Grants.gov application instructions. Note: **All attachments m ust**  **be a .PDF file.** The parts are as follows: **Part I: 424 Forms**  **:**

 Application for Federal Assistance (SF 424)  Department of Education Supplemental Information form for SF 424 **Part II :**  **U.S. Department of Education Budget Summary Forms:**

 ED 524 (Sectio n 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
- Fe deral Funds Applicants should include costs for all project ye ars. **Part III:** ED Abstract Form

Project Narrative Attachment Form Budget Narrative Attachment Form Other Attachments Form (to be used for the HSI Program Profile Form ) **Part IV: Assurances**  **, Certifications, and Survey Forms :** 

 GEPA Section 427 requirement  Assurances for Non
- Construction Programs (SF 424B)  Lobb yi ng Form (ED Form 80.0013)  Disclosure of Lobb yi ng Activities (SF
- LLL)  Survey

on Ensuring Equal Opportunity for Applicants **ED Abstrac t Form**  : Attach your one - page project abstract that will provide an overview of the proposed project. **Project Narrative Attachment Form**  : The project narrative should include the narrative responses to the selection criteria and the competitive preference priorities that will be used to evaluate your application submitted for this competition. Please include a Table of Contents as the first page of the application narrative. You must limit the application narrative to no more than 55 pages for the Individ

ual Development Grant application and 75 pages for the Cooperative Arrangement Development Grant application. If you do not wish to address the competitive priorities, you must limit your application narrative to no more than 50 pages for the Individual D evelopment Grant application and no more than 70 pages for the Cooperative Arrangement Development Grant application. T he pages of your Project Narrative should be consecutivel y60

numbered. You must attach your project narrative in the P roject N arrative Attachment F orm in Grants.gov. **Budget Narrative Attachment Form**  : Attach yo ur HSIDetailed Activity Budget and supporting narrative in the budget narrative attachment form. Note: The selection criterion also requires a budget section that you will respond to as a part of your project narrative (selection criteria)
. As stated above, this portion is attached to the **Project Narrative Attachment Form**  **in G**  **rants.gov**
. **NOTE** : The narrative response to the budget selection criteria is not the same as the activity detail budget form and supporting narrative. The supporting narrative for the activity detail budget form details the requested budget items line b y line for each activity. **P rogram Profile Narrative Form**  **:** Included in this application is an HSIProgram Profile Form. You must complete this form and attach it to the Other Attachments Form i n Grants.gov **Please note that if this form is missing from your application proposal, your application will**  **be deemed ineligible.**
**NOTE: Please do not attach any narr** **atives, supporting files, or application components to the Standard Form (SF 424). Although the form accepts attachments, the Department of Education**  **will only review materials/files attached to the attachment forms listed above. All attachments must be**  **in .pdf format.**  **Other types of files will not be accepted**

.61 

### Project **Narrative Instructions The**  **project narrative shall be attached to the “**  **Project Narrative Attachment Form”**  **in Grants.gov**  **.** Before preparing the Project Narrative, applicants should re view the program statute, program regulations, the Federal Register Notice, and the Dear Applicant Letter for specific guidance and requirements. The Secretary

evaluates an application according to the program specific criteria in 34 CFR 606.22. The Project Narrative should provide in detail the responses to each selection criterion. The maximum possible score for each category of selection criterion is indicated in parenthesis. For ease of reading b y the reviewers, applicants should follow the seq uence of the criteria as provided below. Applications should be written in a concise and clear manner. You must limit the section of the narrative that addresses the selection criteria and the competitive preference priorities to no more than 55 pages fo r the Individual Development Grant application and 75 pages for the Cooperative Arrangement Development Grant application. **Note** : Please include a separate heading when responding to the competitive priorities. If you do not wish to address the competi tive priorities, you must limit your application narrative to no more than 50 pages for the Individual Development Grant application and no more than 70 pages for the Cooperative Arrangement Development Grant application. **Applicants MUST address each of t he following HSI selection criteria:**  1. Quality

of Comprehensive Development Plan (34 CFR 606.22 (a)) (25 points) 2. Quality

of Activity Objectives ( 34 CFR 606.22 (b)) (15 points) 3. Quality

of Implementation Strategy (34 CFR 606.22 (c)) (20 points) 4. Quality

of Key Personnel (34 CFR 606.22 ( d)) ( 7 points) 5. Quality

of Project Management Plan (34 CFR 606.22 (e)) (10 points) 6. Quality

of Evaluation Plan ( 34 CFR 606.22 (f)) (15 points) 7. Quality

of Budget (34 CFR 606.22 (g)) ( 8 points)

_________ **Total Maximum Score for Selection Criteria 100 points**  **The following guidance may assist you in addressing the questions that will be used to evaluate your responses to the selection criteria**  **:** 1. Comprehensive Development Plan (CDP) (25 points): Applicants must identify and comprehensivel y anal yz e the strengths, weaknesses and challenges , and opportunities associated with the institution’s academic programs, institutional management, and fiscal stability , as they relate to the proposed Title V activit y (ies). Applicants’ strengths and weaknesses analyses should demonstrate if the process involved the major constituencies of the institution. In addition to the aforementioned, the CDP must also include:62

a. A delineation of the insti tution’s goals for its academic programs institutional management , and fiscal stability , based on the outcomes of the described anal ys is as it relates to the proposed Title V activit y (ies). b. Measurable objectives related to reaching each goal and timeframe for achieving the objectives. c. Methods and resources that will be used to institutionalize practices developed under the proposed project. d. The institution’s five
- ye ar plan , specifically addressing its services to Hispanic and other low
income
- students. **2. Activity Objectives (**  **15 points):** For each proposed activity , applicants must identify the objectives in realistic and measurable terms with defined results. Applicants also need to relate the objectives for each activity

to the problems to be solved and to the goals of the comprehensive development plan. **3. Implementation Strategy and Timetable (20 points):**  Applicants must comprehensivel y identify the implementation strategy for each activity
. Applicants must also identify : a. The rationale for the implementation strategy for each activity , clearl y described and supported by

the results of relevant studies or projects; and b. Realistic and likely

to be attained timetable(s) for each activity
. Note: Use the budget period of October 1 to September 30 to seq uentiall y identify implementation strategy (ies) to meet the objectives proposed for each year for which funds are requested. **4. Key Personnel (7 points):** ( **For evaluative purposes Key Personnel are defined by the Title V Program Office as any Title V Di**  **rector/Coordinator and Activity Directors).** Applicants must identify the past experience and training of key professional personnel, how that past experience and training is directly

related to the stated activity objectives , and ensure the time commitment of key personnel is realistic. **5. Project Management Plan (10 points):**  Applicants must identify procedures for managing the project that are likely

to: a. Ensure that the institution will efficientl y and effectively implement the project and b. Ensure that the project coordinator and activity director(s) have sufficient authority to conduct the project effectively , including access to the president or chief executive officer. Note : Do not evaluate fiscal and accounting procedures in this section of the narr ative. **6. Evaluation Plan (15 points):** Applicants must identify data elements and data collection procedures that clearl y: a. Describe and are appropriate to measure the attainment of activity objectives; b. Measure the success of the project in achieving th e goals of the comprehensive development plan; Applicants must also d escribe data anal ys is procedures that are likely to produce formative and summative results on attaining activit y objectives and measuring the success of the project achieving the goals of the CDP. **7. Budget (8 points):** Applicants must demonstrate that proposed costs are necessary and reasonable in relation to the project’s objectives and scope.63

**Competitive Preference Priorities** :

 Competitive Preference Priority 1: **Increasing Posts econdary Success** 

– projects that are designed to increase the number and proportion of high
- need students ( as defined in the closing date notice ) who persist in and complete college or other postsecondary education and training.

 Competitive Preference Pri ority 2: **Im proving Productivity** 

– projects that are designed to significantl y increase efficiency in the use of time, staff, money, or other resources while improving student learning or other educational outcomes (i.e., outcome per unit of resource). Suc h projects may

include innovative and sustainable uses of technology , modification of school schedules and teacher compensation sy stems, use of open educational resources (as defined in the closing date notice), or other strategies.64 

## Instructions for S **tandard Forms:**

**● APPLICATION FACE SHEET**  **- (SF 424)**  

### ● **DEPARTMENT OF EDUCATION SUPPLEMENTAL FORM (SF 424)**


### ● **DEPARTMENT OF EDUCATION BUDGET SUMMARY FORM (ED 524)**


### ● **DISCLOSURE OF LOBBYING ACTIVITIES (SF -**  **LLL)** 

### ● **SURVEY INSTRUCTIONS**



## Other Information and Guidance:

**● SUPPLEMENTAL INFORMATION AND INSTRUCTIONS**  

### ● **HSI ACTIVITY BUDGET DETAIL FORM INSTRUCTIONS** 65 INSTRUCTIONS FOR THE SF
- 424 Public reporting burden for this collection of information is estimated to average 60 minutes per response, inclu ding time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the co llection of information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348
- 0043), W ashington, DC 20503. **PLEA SE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF M**  **AN AG**  **EMENT A ND BUDGET. SEND**  **IT TO THE AD**  **DRESS PROVIDED BY THE SPONSORING A GENCY.**  This is a standard form (including the continuation sheet) required for use as a cover sheet for submission of pre
- applications and applications and related information under discretionary programs. So me of the items are required and some are optional at the discretion of the applicant or the Federal agency (agency). Required items are identified with an asterisk on the form and are specified in the instructions below. In addition to the instructions p rovided below, applicants must consult agency instructions 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  Cha nged/Corrected Application

– If requested by the agency, check if this submission is to change or correct a previously submitted application. Unless requested by the agency, applicants may not use this to submit changes after the closing date. 10. **Name Of Federal 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 ssistance Number/Title:**  Enter the Catalog of Federal Domestic Assistance number and title o f 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 application**  **in accordance with agency instructions.**   New

– An application that is being sub mi tted to an agency for the first time.  Continuation
- An extension for an additional funding/budget period for a project with a projected completion date. This can include renewals.  Revision - Any change in the Federal Government’s financial obligation or contingent liability from an existing obligation. If a revision, enter the appropriate letter(s). More than one may be selected. If "Other" is selected, please specify in text box provided. A. Increase Award B. Decrease Award

C . Increase Duration D. Decrease Duration E. Other (specify) 12. **Funding Opportunity Number/Title:**  (Required) Enter the Funding Opportunity Number and title of the opportunity under which assistance is requested, as found in the program annou ncement. 13. **Competition Identification Number/Title:** Enter the Competition Identification Number and title of the competition under which assistance is requested, if applicable.

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

**fected By**

**Project:** List the areas or entities using the ca tegories (e.g., cities, counties, states, etc.) specified in agency instructions. Use the continuation sheet to enter additional areas, if needed. 3. **Date Received:** Leave this field blank. This date will be assigned by the Federal agency. 15. **Descriptiv e 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 real property projects). For pre
applications, attach a summary description of the proj ect. 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**

**Identifier** : Enter the number assigned to your organization by the Federal Agency, if any. 16. **Congressional Districts Of** : (Required) 16a. Enter the applicant’s Congressional District, and 16b. Enter all District(s) affected by the program or project. Enter in the format: 2 characters State Abbreviation

– 3 characters District Number, e.g., CA
- 0 05 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 Identifier** : For new applications leave blank. For a continuation or revision to an existi ng award, enter the previously assigned Federal award identifier number. If a changed/corrected application, enter the Federal Identifier in accordance with agency instructions. 6. **Date Received by State:**  Leave this field blank. This date will be assig ned 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 N ame**  : (Required): Enter the legal name of applicant that will undertake the assistance activity. This is the name that the organization has registered with the Central Contractor Registry. Information on registering with CCR may be obtained by visiting the Grants.gov website. 17. **Proposed Project Start and End Dates** : (Required) Enter the proposed start date and end date of the project.
**b. 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 requested or to be66

**c. Organ izational DUNS**  : (Required) Enter the organization’s DUNS or DUNS+4 number received from Dun and Bradstreet. Information on obtaining a DUNS number may be obtained by visiting the Grants.gov website. contributed during the first funding/budget period by each contributor. V alue of in
- kind contributions should be included on appropriate lines, as applicable. If the action will result in a dollar change to an existing award, indicate only the amount of the change. For decreases, enclose the amounts in parentheses. **d. A ddress**  : E nter the complete address as follows: S treet 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 intergovernmental review process. Select the appropriate box. If “a.” is selected, enter t he date the application was submitted to the State **e. Organizational Unit:** Enter the name of the primary organizational unit (and department or division, if applicable **)** that will undertake the assistance activity, if applicable. **f. Name an d contact information of person to be contacted on**  **matters involving this application** : Enter the name (First and last name required), organizational affiliation (if affiliated with an organization other than the applicant organization), telephone number (R equired), 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 Debt?** (Required) Select the appropriate box. This question applies to the applicant orga nization, not the person who signs as the authorized representative. Categories of debt include delinquent audit disallowances, loans and taxes. If yes, include an explanation on the continuation sheet. 9. **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 applicant organization. Enter the name (First and last name required) title (Required), telephone number (Required), fax number, and email address (Required) of the person authorized to sign for the applicant

. A copy of the governing body’s authorization for you to sign this application as the official representative must be on file in the applicant’s office. (Certain Federal agencies may require that this authorization be submitted as part of the application.) A. State Government B. County Government C. City or Township Government D. Special District Government E. Regional Organization F. U.S. Territory o r Possession G. Independent School District H. Public/State Controlled Institution of Higher Education I. Indian/Native American Tribal Government (Federally Recognized) J. Indian/Native American Tribal Government (Other than Federally Recognized) K. Indian/Native Americ an Tribally Designated Organization L. Public/Indian Housing Authority M. Nonprofit with 501C3 IRS Status (Other than Institution of Higher Education) N. Nonprofit without 501C3 IRS Status (Other than Institution of Higher Education) O. Private Institution of Higher Education P. Individual Q. For- Profit Organization (Other than Small Business) R. Small Business S. Hispanic - serving Institution T. Historically Black Colleges and Universities (HBCUs) U. Tribally Controlled Colleges and Universities (TCCUs) V. Alaska Native and Native Hawaiia n Serving Institutions W. Non - domestic (non
- US) Entity X. Other (specify)67 **INSTRUCTIONS FOR DEPARTMENT OF EDUCATION SUPPLEMENTAL INFORMATION FOR SF 424** 

**a. Project Director .**  Name, address, telephone and fax numbers, and e
- mail address of the person to be contacted on matters i nvolving this application. **2. Novice Applicant.** Check **“Yes”** or “ **No** ” only if assistance is being requested under a program that gives special consideration to novice applicants. Otherwise, **leave blank.** Check “ **Yes”** if you meet the requirements for novice 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 Education Supplemental Information for SF 424.” By checking “Yes” the applicant cert ifies 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 Sup plemental 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 proposed project period. The r e maining parts of Item 3 are then not applicable. **If Hum an 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 rganization or at any other performance site or collaborating institution. 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 of Education Supplemental Information F or SF424.”) **3a . If Human Subjects Researc h is Exempt from the Human**  **Subjects Regulations .** Check “ **Yes** ” if all the research activities proposed are designated to be exempt from the regulations. In sert the exemption 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 Supplemental Information F or SF424.” **3a . If Human Subjects Research is Not Exemp t 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 Protections (OHRP), U.S. Department of Health and Human Ser

v ices, that c overs 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 subjects assurance upon request by the designated ED official. If the application is recommended/selected for funding, the de s ignated ED official will request that the applicant obtain the assurance within 30 days af ter 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 i s recommended/selected for funding, the designated ED official will request that the applicant obtain and send the certification to ED within 30 days after the formal r e quest. Paperwork Burden Statement
. **According to the Paperwork Reduction Act of 1**  **995, no persons are required to respond to a co**  **l lection of information unless such collection displays a valid**  **OMB control number. The valid OMB control number for this information collection is 1890** **- 0017. The time required to**  **complete this inform a**  **tion c ollection is estimated to average**  **between 15 and 45 minutes per response, including the time to review instructions, search existing data resources, gather the data**  **needed, and co m** 

**plete and review the information collection. If you have any comments conce** **rning the accuracy of the est**  **i mate(s) or suggestions for improving this form, please write to:**  **U.S. Department of Education, Washington, DC 20202 -**  **4700. If you have comments or concerns regarding the status of your**  **indivi d**  **ual submission of this form writ e directly to: Joyce I.**  **Mays, Application Control Center, U.S Department of Education, Potomac Center Plaza, 550 12**  **th Street, S.W. Room 7076,**  **Was h**  **ington, DC 20202 -**  **4260**
.68 **DEFINITIONS FOR DEPARTMENT OF EDUCATION SUPPLEMENTAL INFORMATION FOR SF 42**  **4 (Attachment to Instructions for Supplemental Information for SF 424)** 
**Definitions: Novice Applicant (See 34 CFR 75.225**  ). For discretionary grant programs under which the Secretary gives special consideration to novice applications, a novice 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 application, submi tted in accordance with 34 CF R 75.127
- 75.129, that received a grant under the program from which it seeks fun d ing; and

 Has not had an active discretionary grant from the Fe d eral government in the five years before the deadline date for applications under the program. F or the purposes of this requirement, a grant is act ive 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 research activit y will involve use of human subjects, as defined in the regul ations.

—**Research** The ED Regulations for the Protection of Human Sub jects, Title 34, Code of Federal Regulations, Part 97, define research as “a systemati c investigation, including research development, tes t ing and evaluation, designed to develop or contribute to generalizable knowledge.” If an activity follows a deliberate plan whose pu r pose is to develop or contribute to generalizable knowledge it is res earch. 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 purposes. F or example, some demonstration and service pro grams ma y include research acti vities.

**— Human Subject**  The regulations define human subject as “a living individual about whom an investigator (whether professional or student) conducting research obtains (1) data through intervention or i nteraction with the individual, or (2) identifi able 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 when a new instructional technique is tested, or by comm u nicating or interacting wi th the individual, as occurs with surveys and interviews, the definition of human subject is met. (2) If an activity involves obtaining private inform a tion about a living person in such a way that the information can be linked to that individual (the iden tity of the subject is or may be readily determined by the investigator or associated with the information), the defin i tion of human subject is met. [Private information includes information about behavior that occurs in a context in which an individual c an re a sonably expect that no observation or recording is taking place, and information which has been provided for specific purposes by an individual and which the individual can reasonably expect will not be made public (for example, a school health 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 effectiveness 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 manne r 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 could reasonably place the subjects at risk of criminal or civil liability or be d amaging to the sub jects’ financial standing, employability, or reputation. **If the subjects are children, exemption 2 applies only to research involving**  **educational tests and observations of public behavior when the investig** **a tor(s) do not participate in th**  **e 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 investigator(s) participate in the activities being**  **observed.** [Children are d e fined as per sons 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.]69 (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 subjects are elected or a p pointed public officials or candidates for public office; or fed eral 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) Re search and demonstration projects which are conducted by or subject to the approval of department or agency heads, and which are designed to study , evaluate, or otherwise examine: (a) public benefit or service programs; (b) procedures for obtain ing benefi ts or services under those programs; (c) possible changes in or alternatives to those programs or procedures; or (d) possible changes in methods or levels of payment for 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 o r 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 S ubjects**  **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 subjects “exempt research” or “nonexempt research” narrative. Insert the narrative(s) in the space provided. If you have multiple projects and need to provide more than one narrative, be sure to label each set of responses as to the project they address. **A . Exempt Research Narrative.** If you marked “Yes” for item 3 a. and designated exe mption 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 determination 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 narrative 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 th eir 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 special classes of subjects, such as children, children with di s abilities, adults wi th disabilities, persons with mental disabilities, pregnant women, prisoners, institutionalized individuals, or others who are likely to be vulne r able
. (2) **Sources of Materials** : Identify the sources of research mat e rial obtained from individually identifi able living human sub jects in the form of specimens, records, or data. Indicate whether the material or data will be obtained specifically for research purposes or whether use will be made of existing specimens, re c ords, or data. (3) **Recruitment and Info rmed Consent**  : Describe plans for the recruitment of subjects and the consent procedures to be followed. In clude the circumstances under which consent will be sought and obtained, who will seek it, the nature of the information to be pr o vided to prospecti ve 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 (phy sical, 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 confidentiality , and assess their likely effectiveness. Where appropri ate, discuss provisions for ensuring necessary medical or profe s sional intervention in the event of adverse effects to the subjects. Also, where appropriate, describe the provisions for monitoring the data collected to ensure the safety of the sub

jects. (6) **Importance of the Knowledge to be Gained** : Discuss the i m portance of the knowledge gained or to b e 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 importance of the knowledge that may re a sonably be expected to result. (7) **Collabor ating Site(s)**  : If research involving human sub jects will take place at collaborating site(s) or other performance site(s), name the sites and briefly describe their involv e ment or role in the research. **Copies of the Department of Education’s Regulations f or 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 Oversight 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/about/offices/list/OCFO/humansub.html** 

NOTE: The **State Applicant Identifier** on the SF 424 is for State Use only. Please complete it on the OMB Standard 424 in the upper right corner of the form (if applicable).70 

### Instructions for ED 524 General Instructions This form is used to apply to individual U.S. Department of Education (ED) disc retionary grant programs. Unless directed otherwise, provide the same budget information for each year of the multi
- year funding request. Pay attention to applicable program specific instructions, if attached. Please consult with your Business Office prior to submitting this form.

Section A
- Budget Summary U.S. Department of Education Funds All applicants must complete Section A and provide a breakdown by the applicable budget categories shown in lines 1
- 11. Lines 1
- 11, columns (a)
- (e): For each project year for which funding is requested, show the total amount requested for each applicable budget category. Lines 1
- 11, column (f): Show the multi
- year total for each budget category. If funding is requested for only one project year, leave this c olumn 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 thi s 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 appro ved 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
- Federal Funds If you are required to provide or volunteer to provide matching funds or other non
- federal resources to the project, these should be shown for each applicable budget category on lines 1
- 11 of Section B. Lines 1
- 11, columns (a)
- (e): For each project year, for which matching funds or other contributions are provided, show the t otal contribution for each applicable budget category. Lines 1
- 11, column (f): Show the multi
- year total for each budget category . If non
- federal contributions are provided for only one year, leave this column blank. Line 12, columns (a)
- (e): Show th e 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 pr ojects that will be divided into two or more separately budgeted major activities or sub
- projects, show for each budget category of a project year the breakdown of the specific expenses attributable to each 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" pr ograms) by a “modified total direct cost” (MTDC) base (34 CFR 75.563 or 76.563). Please indicate which costs are included and which costs are excluded from the base to which the indirect cost rate is applied. When calculating indirect costs (line 10) for "Training grants" or grants under "Restricted Rate" programs, you must refer to the information and examples on ED’s website at: http://www.ed.gov/fund/grant/apply/appforms/appforms.ht ml
. 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. **Paperwork Burden Statement** According to the Paperwork Reduction Act of 1995, no persons are required to r espond to a collection of information unless such collection displays a valid OMB control number. The valid OMB control number for this information collection is **1890 -**  **0004** . The time required to complete this information collection is estimated to vary fr om 13 to 22 hours per response, with an average of 17.5 hours per response, including the time to review instructions, search existing data sources, gather the data needed, and complete and review the information collection. If you have any comments concerning the accuracy of the time estimate(s) or suggestions for improving this form, please write to: U.S. Department of Education, Washington, DC 20202
- 4651. If you have comments or concerns regarding the status of your individual submission of this form, write directly to (insert program office), U.S. Department of Education, 400 Maryland Av enue, S.W., Washington, DC 20202.71 

### Activity Budget Detail Form Instructions **Note** : Applicants must submit a detailed budget narrative for each activity using the “HSIActivity

Budget Detail Form
. ” Upon completion, attach the HSI Activity Budget Detail Form as a .pdf into the Budget Narrative Attachment Form in Grants.gov
. Activity Budgets On the HSI Activity

Budget Detail Form, please provide detailed, itemized b udgets for each activity for each ye ar for which grant funds are sought. **If you fail to provide details, we may not be able to determine if the costs of the activities are necessary and reasonable and may disallow such costs.**  For all costs, demonstrate that they are reasonable in today ’s market and necessary to accomplish activity objectives.72 **INSTRUCTIONS FOR COMPLETION OF SF -**  **LLL, DISCLOSURE OF LOBBYING ACTIVITIES** This disclosure form shall be completed by the reporting entity , whether sub
- awardee o r 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 make payment to an y lobbying entity for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with a covered F ederal action. Complete all i tems 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 which lobbying acti vity is and/or has been secured to influence the outcome of a covered F ederal 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, S tate and zip code of the reporting entity . Include Congressional District, if known.

Check the appropriate classification of the reporting entity that designates if it is, or expects to be, a prime or sub
- award recipient. Identify

the tier of the sub
- aw ardee, 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 fu ll 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. F or 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

Federal Domestic Assistance (CFDA) 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 fo r Proposal (RF P) number; Invitations for Bid (IFB) 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 F ederal 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 Ac t 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. According to the Paperwork Reduction Act, as amended, no persons are required to respond to a collection of information unl ess it displays a valid OMB control Number. T he valid OMB control number for this information collection is OMB No. 0 348
- 0046. P ublic reporting burden for this collection of information is estimated to average 10 minutes per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. S end comments regardi ng the burden estimate or any other aspect of this collection of informat ion, including suggestions for reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348
- 0046), Washington, DC 20503.73

**Provide the**  **applicant’s (organization)**  **nam e**  **and DUNS**  **number and**  **the grant**  **name and**  **CFDA numbe**  **r.** 1. Self
- explanatory. 2. Self
- identify. 3. Self
- identify. 4. 501(c)(3) status is a legal designation provided on application to the Internal Revenue Service by eligible organizations. S ome grant programs may require nonprofit applicants to have 501(c)(3) status. Other grant programs do not. 5. Self
- explanatory. 6. For example, two part - time em ploy ees who each work half

- time equal one full
- time equivalent em ploy ee. I f the applicant is a local affiliate of a national organization, the responses to survey que stions 2 and 3 should reflect the staff and budget size of the local affiliate. 7. Annual budget means the amount of money yo ur organization spends each year on all of its activities. According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. The valid OMB control number for this information collection is 1890
- 0014
. T he time required to complete this information collection is estimate d to average five (5) mi nutes per response, including the time to review instructions, search existing data resources, gather the data needed, and complete and review the information collection. **If you have any comments concerning the accuracy of the tim**  **e estim**  **ate(s) or**  **suggestions for**  **im proving**  **this form** **, please**  **write to:**  The Agency Contact listed in this grant application package.

OMB No. 1890
- 0014 Exp . 0 5 / 31 /2012 **Survey Instructions on Ensuring Equal Opportunity for Applicants**74 

### Hispanic **- Serving Institutions Assurances**  **Additional instructions for applicants:**  Applicants enter HSI assurance data on the “HSI Program Profile Form ” in Part III of the application. Applicants will upload the “HSI Program Profile Form ” to the “ Other Attachments Form” in Grants.gov
. The statute governing the Hispanic
- Se rving Institutions Program (Title V of the Higher Education Act of 1965, as amended (HEA)) requires the applicant to provide an assurance of the following:

The applicant has an enrollment of undergraduate full
- time equivalent (FTE) students that is at lea st 25 percent Hispanic students at the end of the award ye ar immediatel y 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, 201 1
. Whatever the fu ll
- 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. Include both part
- time degree students and part
- time unclassified students. Divide the total number of credit hours for the part
- time undergraduate students by **twelve (12)** . The result is the FTE for part
- time undergraduate students. Note: An unclassified undergraduate student is one who is not a candidate for a degree or other formal award, but is taking courses for credit in regular classes with undergraduate degree students. However, both classified and unclassified undergraduate students enrolled must be in a program of at least two years in length that would result in the award of a certificate, associate degree or other educational credential. To calculate the total Undergraduate FTE Enrollment Count: Add the FTE of full
- time undergraduate students and the FTE of part - time undergraduate students. To calculate the Hispanic Undergraduate FTE Enrollment Count: Add the FTE of full
- time undergraduate Hispanic students and the FTE of part
- time undergraduate Hispanic students. To calculate the Undergraduate FTE Hispan ic Percent: Divide the Hispanic Undergraduate FTE Enrollment Count by

the Total Undergraduate FTE Enrollment Count and multiply by 100.75



### SUPPLEMENTAL INFORMATION AND INSTRUCTIONS **HSI Program Profile:** All applicants must complete the information requested on this page. Using the profile, the applicant will provide information on Assurances and Eligibility. **Do not modify, amend or delete any of this document.**  Applicants must copy

and paste this page into a separate document, or recreate the page exactly as it appears. Then, complete the page, save it to your computer and attach it to the “ Other Attachments Form ” in Grants.gov as .pdf document. Do not modify or amend the contents of the form in any way . **HSI Program Assurances:** All applicants must provide assurances regarding the percent of Hispanic students enrolled at an institution. By inserting a check mark in the box or an X in front of the box, for item #11, and by

providing the required data for items #8 and #9 on the “HSIProgram Profil e Form,” an applicant certifies that it will fully comply with the requirements. **Special Note**  **: The Department will cross -**  **reference, for verification, data reported to the Department’s**  **Integrated Postsecondary Education Data System (IPEDS), the institut ion’s state**  **reported enrollment data, and the institutional annual report. If there are any differences in the percentages reported**  **in IPEDS and the percentage reported in the grant application, the institution**  **should explain**  **the differences as a part of**  **its eligibility documentation. When providing eligibility**  **documentation to support your HSI assurances, please note that the Department does not consider a replication of the instructions sufficient justification. If the Department receives a replica of t**  **he instructions and/or cannot validate assurances, the application will be deemed ineligible.**  **Page Limits:** The project narrative (Part III of the application) is where yo u, the applicant, address the selection criteria that reviewers use to evaluate yo ur application. We have established mandatory page limits for both the Individual Development Grant and the Cooperative Arrangement Development Grant applications. You must limit the section of the narrative that addresses the selection criteria and the competitive preference priorities to no more than 55 pages for the Individual Development Grant application and 75 pages for the Cooperative Arrangement Development Grant application. **Note** : Please include a separate heading when responding to the competit ive priorities. If you do not wish to address the competitive priorities, you must limit your application narrative to no more than 50 pages for the Individual Development Grant application and no more than 70 pages for the Cooperative Arrangement Develop ment Grant application. The page limit does not apply to Part I, the Application for F ederal A ssistance (SF 424); the Department of Education S upplemental Information form (SF 424) ; Part II, B udget Information

— Non
- Construction Programs (ED Form 524); Part IV, the assurances and certifications ; or the one
- page project abstract, program activity

budget detail form and supporting narrative, and the five
- ye ar plan
. However, the page limit does apply

to all of the project narrative section (Part III), includin g the budget narrative of the selection criteria. If you include an y attachments or appendices not specifically requested in the application package, these items will be counted as part of the project narrative (Part III) for purposes of the page limit req

uirement. 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 application76

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**  **allowed for any**  **applications not meeting page limits and formatting requirements** 

### .77 

### Hispanic
- Serving Institutions Program Profile Form **INSTRUCTIONS** : **ALL applicants must complete and submit this profile. You may copy or recreate this form, but do**  **not amend or modify the required information or format.** Please complete all sections of this form. Upon completion, attach this document as a .pdf to the “ Other Attachments Form ” in Grants.gov. 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 would cite th e 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 located) Project Address: City: State: Zip: 3. **Participating Institutions in a Cooperative Arrangem ent**  : 3a. Name of Applicant Institution (Lead): 3b. Name of Participating Institution s DUNS Number Location (city/state) 1. 2. 3. 4. **Prior Grant Status** : If applicable, please identify the fiscal year, grant type and highlight your institution major accomplishment(s) as it relate s to enrollment, persistence, graduation rates, and/or fiscal stability. (Note: please check all that applies) **Fiscal Year(s)** : **Grant Type** : Individual Cooperative (If checked, please list partn er institution(s) Names of Partner(s): 1. 2. 3. **Major Accom plishment(s)**  : **Perform ance**  : 1. Enrollment Persistence Graduation Rates Fiscal Stability 2. Enrollment Persistence Graduation Rates Fiscal Stability 3. Enrollment Persistence Graduation Rates Fiscal Stability 5. **Tiebreaker Inform ation**  : Enter the full
- time equivalent (FTE) enrollment for Fall 20 10 . See the Application Guide and Federal Register Notice for instr uctions on calculating FTE enrollment. Total Fall 20 10 FULL
- TIME EQUIVALENT (FTE) students = a) Total market value of endowment fund for 20 10
- 1 1 b) Total expenditures for library material during 20 10
- 1 1 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 6. **Endow me**  **nt Fund Assurance** : The institution certifies that it proposes to use no more than tw enty percent (20%) of the Developin g Hispanic
- Serving Institutions Program development grant, made under the authority of Title V, of the Higher Education Act of 1965, as amended to establish or increase the institution’s endowment fund. The institution agrees to abide by the Department of Education’s regulations governing the Endowment Challenge Grant Program, 34 CFR Part 628, the program statute, and the program regulations, 34 CFR Part 606. The institution further agrees to raise the required matching funds.78 7. **Dual Submission Certif ication**  : If an institution applies for a grant under more than one program it must indicate that fact in each application: Strengthening Institutions Program American Indian Tribally Controlled Colleges and Univers ities Program Native Hawaiian
- Serving Institutions Program Alaska Native
- Serving Institutions Program Title V Hispanic
- Serving Institutions Program Cooperative Arrangement Individual 8. **Institutional Assurance Statistics** : See the Application Guide and the Federal Register Notice for HSI Assurance Instructions. Please provide us with the data your institution reported to the following: IPEDS and State Repo rted Enrollment. Enter information for all areas below for Fall 20 10 (up to 30 September 201 1 ) 8a. **HSI Assurance** : Total Undergraduate FTE Enrollment Count: Hispanic Undergraduate FTE 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 cross**  **- reference**  **, for verification, data reported to the**  **Depart me**  **nt’s Integ**  **rated Postsecondary Education Data System (IPEDS), the institution’s state reported enrollment data, and the institutional annual report. If there are any**  **differences in the percentages reported**  **in IPEDS and the percentage reported in the grant applicatio n**  **, the institution should explain**  **the differences as a part of**  **its eligibility documentation. When providing eligibility documentation to support your HSI assurance, please**  **note that the Department does not consider a replication of the instructions suffi cient justification. If the Department receives a replica**  **of the instructions and/or cannot validate assurance, the application will be deemed 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 the HSI program regulations 34 CFR Part 606.79 

## Hispanic **- Serving Institu**  **tions Program 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 the “ Budget Narrative Attachment Form” in Grants.gov
. **Activity Budget (To be com pleted for every activity for which funding is requested)**  **1. Nam e of Institution:**  **2. Activity Title: 3. Budget Categories By**  **Year First Year**  **Second Year Third Year**  **F ourth Year**  **Fifth Year Total Funds**  **Requested** Object Class % 0f Time Funds Requested % Of

Time Funds Requested % Of

Time Funds

Requested % Of

Time Funds

Requested % Of

Time Funds

Requested a. Personnel (Position Title) $ $ $ $ $ $

SUB
- TOTAL $ $ $ $ $ $ b. Fringe Benefits ___% $ $ $ $ $ $ c. Travel $ $ $ $ $ $ d. Equipment $ $ $ $ $ $ e. Supplies $ $ $ $ $ $ f. Contractual $ $ $ $ $ $ g. Construction $ $ $ $ $ $ h. Other (endowment) $ $ $ $ $ $ i. TO TAL DIRECT CHARGES $ $ $ $ $ $ 4. **Explain in detail how you arrived at the total am ount requested in each object class in each year of the activity. If you fa**  **il to provide sufficient details, we may disallow costs** 
.80 

## Ap **plication Checklist** Use This Checklist While Preparing Your Application Package : All items listed on this checklist are required. Application for Federal Assistance (SF 424) Department of Education Supplemental Information for SF 424 Department of Education Bud get Information Non
- Construction Programs Form (ED 524 ) One
- Page Program Abstract

– Attached to the “ED Abstract Form” in Grants.gov Project Narrative

– Attached to the “ Project Narrative Attachment Form” in Grants.gov Hispanic
- Serving Institution s Program Profile

– Attached to the “ Other Attachments Form” in Grants.gov Assurances and Certifications

– found in Grants.gov Assurances for Non
- Construction Programs ( SF
- 424B) Grants.gov Lobb yi ng Form ( ED 80
- 0013) Disclosure of Lobb yi ng Activities (SF
- LLL) Survey on Ensuring Equal Opportunity for Applicants ED GEPA 427 Form81 **Paperwork Burden Statement PAPERWORK BURDEN STA**  **TEMENT** 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 55 hours per response, including time for reviewing instructions, searching existing d ata sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. The obligation to respond to this collection is required to obtain or retain benefit (Section 501 of the Higher Education Act of 1965, as a mended) and voluntary . Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the U.S. Department of Education, 400 Maryland Ave., SW, Washington, DC 20210
- 4537 or email IC DocketMgr@ed.gov and reference the OMB Control Number 1840
- 0745. Note: Please do not return the completed application to this address.