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:
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Table of Contents

 Page

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

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

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

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

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

Program Statute.............................................................................. 46 

Intergovernmental Review................................................................. 55

General Education Provisions Act (GEPA).................................................. 56 

 

Government Performance and Results Act (GPRA).................................... 57 

INSTRUCTIONS

Instructions for Completing the Application............................................. 59 

Instructions for Project Narrative.......................................................... 61 

Instructions for Standard Forms........................................................... 64 

Instructions for the SF 424................................................................. 65 

Instructions for Department of Education Supplemental Information 

for SF 424........................................................................... 67

Instructions for ED 524..................................................................... 70 

Instructions for Activity Budget Detail Form........................................... 71 

Instructions for Completion of SF-LLL, Disclosure of 

Lobbying Activities................................................................ 72 

Instructions for Survey for Ensuring Equal Opportunity

for Applicants....................................................................... 73 

Hispanic-Serving Institutions Program Assurances.................................... 74 
ii

HSI Program Profile Form................................................................. 77 

HSI Activity 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 Regarding Lobbying......................................................... 91 

Survey on Ensuring Equal Opportunity for Applicants................................. 92 

SF-LLL, Disclosure of Lobbying Activities............................................. 93
1

Dear Applicant:

Thank you for your interest in applying for a new grant under the fiscal year (FY) 2013 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 least 25 percent enrollment of undergraduate full-time equivalent 

(FTE) Hispanic students at the end of the award year immediately preceding the date of 

application. 

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

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

reported enrollment data, and the institutional annual report. 

In the FY 2013 grant competition, there will be two competitive preference priorities and one 

invitational 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 priorities 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 the applicant proposes to meet these 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 2013, which is included in this application 

package.

Applications for FY 2013 grants under the HSI Program must be submitted electronically using 

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

must submit a written waiver of the electronic submission requirement at least two weeks before 

the deadline date. Additional information about Grants.gov submission requirements can be 

found in the Competition 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 HSI grant application. You 

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

official document. If you have any questions or require additional information, please contact 

Carnisia M. Proctor at (202) 502-7606 or carnisia.proctor@ed.gov. We encourage applicants to 
2

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.

Sincerely,

Dr. Linda Byrd-Johnson

Acting Deputy Assistant Secretary

For Higher Education Programs
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Competition Highlights 

Developing Hispanic-Serving Institutions grant applications for FY 2013 must be submitted electronically through

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

Once 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 your application. 

We recommend that you consider three important administrative factors when applying for this grant program:

1.) Register at the Grants.gov website early. The registration procedures may require 5 or more days to 

complete.

2.) Consider submitting your application 3-4 days prior to the closing date. The time it takes to upload an 

application will vary depending on your application and the speed of your Internet connection. The 

application submission process must be complete prior to the deadline for transmittal of applications.

3.) Remember to provide the DUNS number that was used when your organization registered with the System 

for Award Management (SAM) (formerly 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 “resubmit” the application. If the Department receives duplicate applications, we will accept and process the 

application with the latest “date/time received” validation.

1. The 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; articulation 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 technologies. 

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 HSI that submits a Cooperative Arrangement Development Grant with a partnering branch 

campus that is part of the same institution will not be awarded a grant.

4. There are two competitive preference priorities under this competition. We award up to an additional 4

points total to an application, depending on how clearly and persuasively all competitive preference 

priorities are conveyed. Applicants are required to address these priorities on a separate heading.

5. Please complete the “HSI Program Profile Form,” found 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 cited in 

the HSI program regulations, 34 CFR 606.2. 

6. Applicants must complete the HSI Activity Budget Detail Form with a supporting narrative. Applicants are 

required to copy and paste the Budget Detail Form and supporting narrative into a separate document or recreate the form exactly as it appears 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 

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 application, your institution 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 justification. 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: 

Individual Development Grant and Cooperative Arrangement Development Grant. An applicant may apply 

for more than one type of Developing Hispanic-Serving Institutions grant. For the 2013 Title V, Part A

grant competition, applicants should note the following funding 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 

will 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 55 pages for the Individual Development Grant application and no more than 75 pages for 

the Cooperative Arrangement Development 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 Development Grant application and no more than 70 pages for the Cooperative Arrangement 

Development Grant application.

This application package contains submission procedures to ensure your application is received in a timely and 

acceptable manner. Consult and 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 deadline 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 this 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 Adobe Reader XI are all available on Grants.gov. 

We strongly recommend that you review these details on www.Grants.gov before completing and 

submitting your application. In addition, applicants should submit their application a day or two in 

advance of the closing date as detailed below. 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 compatibility table for additional information about 

supported versions of Adobe Reader. If you have any questions regarding this matter please email the 

Grants.gov Contact Center at support@grants.gov or call 1-800-518-4726.

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

You may begin working on your application while completing the registration process, but you 

cannot submit an application until all of the Registration steps are complete. For detailed 

information on the Registration Steps, please go to: 

http://www.grants.gov/applicants/get_registered.jsp [Note: Your organization will need to update 

its 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 process it after it is fully uploaded. The time it takes to upload an application will vary 

depending on a number of factors including the size of the application and the speed of your 

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

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

successfully to Grants.gov before 4:30:00 p.m. Washington, DC time on the deadline date. 

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

was used when you registered as an Authorized Organization Representative (AOR) on 

Grants.gov. This DUNS number is typically the same number used when your organization 

registered with the SAM (formerly CCR - Central Contractor Registry). If you do not enter 
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 1-800-518-4726 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 

applications in the Federal Register notice and get a hard copy application postmarked by midnight on the 

deadline date.

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

you follow the procedures in the Federal Register notice and qualify for one of the exceptions to the 

electronic submission requirement and submit, no later than two weeks before the application deadline 

date, a written statement to the Department that you qualify for one of these exceptions. (See the Federal 

Register notice for detailed instructions.)

Helpful Hints When Working with Grants.gov

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

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

You will need to logon to Grants.gov to upload and submit the application. You must provide the 

DUNS number on your application that was used when you registered as an Authorized 

Organization Representative (AOR) on Grants.gov.
7

Please go to http://www.grants.gov/contactus/contactus.jsp for help with Grants.gov. For additional tips 

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

on the Grants.gov http://www.grants.gov/applicants/submit_application_faqs.jsp. 

Dial-Up Internet Connections

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

than when you are connected to the Internet with a high-speed connection, e.g. cable modem/DSL/T1. 

While times will vary depending upon the size of your application, it can take a few minutes to a few 

hours to complete your grant submission using a dial up connection. If you do not have access to a 

high-speed connection and electronic submission is required, you may want to consider following 

the instructions in the Federal Register notice to obtain an exception to the electronic submission 

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

notice for detailed instructions.) 

MAC Users

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

following Grants.gov link: http://www.grants.gov/help/download_software.jsp. If electronic submission 

is required and you are concerned about your ability to submit 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 following 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 application that includes two or more files that have the same 

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

should have a unique file name.

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

the size and content of file names. Uploaded files must be less than 50 characters, contain no 

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

and accent marks. Applications submitted that do not comply with the Grants.gov guidelines 

will be rejected at Grants.gov and not forwarded to the Department. 

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

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

can result in difficulties opening the files. For reference, the average discretionary grant 
8

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

your package before submission.

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

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

to SAM, grant applicants should read this information located on Grants.gov: 

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

2/2013
9

Application Transmittal Instructions

ATTENTION ELECTRONIC APPLICANTS: Please note that you must follow the 

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

competition. 

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

waiver instructions can be found in the Federal Register notice. 

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

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

application by mail, commercial carrier, or hand delivery.

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

deadline requirements:

Applications Submitted Electronically

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

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

time) on or before the deadline date.

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

an automatic acknowledgement when we receive your application.

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

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

Submission of Paper Applications by Mail:

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

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

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

U.S. Department of Education

Application Control Center

Attention: (CFDA Number 84.031S)

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 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. 
10

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

If you mail your application through the U.S. Postal Service, we do not accept either of the 

following as proof of mailing:

(1) A private metered postmark.

(2) A mail receipt that is not dated by the U.S. Postal Service.

If your application is postmarked after the application deadline date, we will not consider your 

application.

Note: The U.S. Postal Service does not uniformly provide a dated postmark. Before relying on 

this method, you should check with your local post office.

Submission of Paper Applications by Hand Delivery:

If you qualify for an exception to the electronic submission requirement, you (or a courier 

service) may deliver your paper application to the Department by hand. You must deliver the 

original and two copies of your application by hand, on or before the application deadline date, 

to the Department at the following address:

U.S. Department of Education

Application Control Center

Attention: (CFDA Number 84.031S)

550 12th Street, SW.

Room 7041, Potomac Center Plaza

Washington, DC 20202-4260 

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

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

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

application to the Department--

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

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

which you are submitting your application; and

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

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

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

Control Center at (202) 245-6288.

Late Applications

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

DRAFT CDN

4000-01-U

DEPARTMENT OF EDUCATION

Applications for New Awards; 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 PUBLICATION IN THE 

FEDERAL REGISTER].

Deadline for Transmittal of Applications: [INSERT DATE 30 DAYS 

AFTER DATE OF PUBLICATION IN THE FEDERAL REGISTER].

Deadline for Intergovernmental Review: [INSERT DATE 90 DAYS 

AFTER DATE OF PUBLICATION IN THE FEDERAL REGISTER].

Full Text of Announcement

I. Funding Opportunity Description
12

Purpose of Program: The 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 references 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) Activities 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 

503(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 these 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 discretionary 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 of 
14

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 preference 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 addresses 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 additional 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 complete 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 and 
15

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 this 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 improving student learning or other educational outcomes 

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

innovative and sustainable uses of technology, modification of 

school schedules and teacher compensation systems, use of open 

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

strategies. 

Note: The types of projects identified in Competitive Preference 

Priority 2 are suggestions for ways to improve productivity. 

The Department recognizes that some of these examples, such as 

modifications 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. The 
16

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 from the notice of 

final supplemental priorities and definitions for discretionary 

grant programs published in the Federal Register on December 15, 

2010 (75 FR 78486), and corrected on May 12, 2011 (76 FR 27637), 

and apply to the priorities in this notice:

High-need children and high-need students means children 

and students at risk of educational failure, such as children 

and students who are living in poverty, who are English 

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

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

left school or college before receiving, respectively, a regular 

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

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

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

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

who are migrant, or who have disabilities.
17

Open educational resources (OER) means teaching, learning, 

and research resources that reside in the public domain or have 

been released under an intellectual property license that 

permits their free use or repurposing by others.

Privacy requirements means the requirements of the Family 

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

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

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

local requirements regarding privacy.

Program Authority: 20 U.S.C. 1101-1101d; 1103-1103g.

Applicable Regulations: (a) The Education Department General 

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

79, 82, 84, 85, 86, 97, 98, and 99. (b) 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 Arrangement 
18

Development Grants will be awarded in FY 2013. 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, depends on final congressional 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 may 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. We 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 the 
19

specified maximum 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 Development 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 similar 
20

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 CFR 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 Inviting 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 reasonable 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 institution 
21

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 preceding the date of application” refers to the end 

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

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

Note 2: In considering applications for grants under this 

program, the Department will compare the data and documentation 

the institution relied on in its application with data reported 

to the Department’s Integrated Postsecondary Education Data 

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

the institutional annual report. If different percentages or 

data are reported in these various sources, the institution 

must, as part of the 25 percent assurance verification, explain 

the reason for the differences. If the IPEDS data show that 

less than 25 percent of the institution’s undergraduate FTE 

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

that the IPEDS data are inaccurate. If the IPEDS data indicate 
22

that the institution has an undergraduate FTE less than 25 

percent, and the institution fails to demonstrate that the IPEDS 

data are inaccurate, the institution will be considered 

ineligible.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 under 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 Alaska 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 

grantee 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 this competition, IHEs must report their 

undergraduate Hispanic FTE percent based on the student enrollment count 

closest to, but not after, September 30, 2011.
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 

Cooperative 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-Federal 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., Room 
24

6038, Washington, DC 20006-8513. Telephone: (202) 502-7606 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 Form of Application Submission: 

Requirements concerning the content of an application, together 

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

for this program. 

Page Limits: The application narrative (Part III of the 

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

criteria 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 Development 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 Cooperative Arrangement Development 

Grant application. Please include a separate heading when 
25

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 titles, 

headings, footnotes, quotations, references, captions and all 

text in charts, tables, and graphs. These items may be singlespaced. 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 be 

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 

assurances 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 purposes 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 

supporting 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 Apply site 

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

how to submit your application electronically, or in paper 

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

to the electronic submission requirement, please refer to 

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

We do not consider an application that does not comply with 

the deadline requirements.

Individuals with disabilities who need an accommodation or 

auxiliary aid in connection with the application process should 

contact one of the persons listed under For Further Information 

Contact in section VII of this notice. If the Department 

provides an accommodation or auxiliary aid to an individual with 

a disability in connection with the application process, the 

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: This 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 Restrictions: We reference regulations 

outlining funding restrictions in the Applicable Regulations

section of this notice.

6. Data Universal Numbering System Number, Taxpayer 

Identification Number, Central Contractor Registry, and System 

for Award Management: To do business with the Department of 

Education, you must--

 a. Have a Data Universal Numbering System (DUNS) 

number and a Taxpayer Identification Number (TIN);

 b. Register both your DUNS number and TIN with the 

Central Contractor Registry (CCR)--and, after July 24, 2012, 

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

primary registrant database;

 c. Provide your DUNS number and TIN on your 

application; and

 d. Maintain an active CCR or SAM registration with 

current information while your application is under review by 

the Department and, if you are awarded a grant, during the 

project period.
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 entity, agency, institution, or 

organization, you can obtain a TIN from the Internal Revenue 

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

the Internal Revenue Service or the Social Security 

Administration. If you need a new TIN, please allow 2-5 weeks 

for your TIN to become active. 

The CCR or SAM registration process may take five or more 

business days to complete. If you are currently registered with 

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

make certain that the TIN associated with your DUNS number is 

correct. Also note that you will need to update your 

registration annually. This may take three or more business 

days to complete. Information about SAM is available at 

SAM.gov. 

In addition, if you are submitting your application via 

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

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

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

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

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

7. Other Submission Requirements: Applications for grants 

under this competition must be submitted electronically unless 
30

you qualify for an exception to this requirement in accordance 

with the instructions in this section.

a. Electronic Submission of Applications:

Applications for grants under the 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 will be able to download a copy of the application 

package, complete it offline, and then upload and submit your 

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

application to us.

We will reject your application if you submit it in paper 

format unless, as described elsewhere in this section, you 

qualify for one of the exceptions to the electronic submission 

requirement and submit, no later than two weeks before the 

application deadline date, a written statement to the Department 

that you qualify for one of these exceptions. Further 

information regarding calculation of the date that is two weeks 

before the application deadline date is provided later in this 

section under Exception to Electronic Submission Requirement.

You may access the electronic grant application for 

Developing Hispanic-Serving Institutions at www.Grants.gov. You 

must search for the downloadable application package for this 

program by the CFDA number. Do not include the CFDA number’s 
31

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.gov are date and time 

stamped. Your application must be fully uploaded and submitted 

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

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

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

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

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

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

do not consider an application that does not comply with the 

deadline requirements. When we retrieve your application from 

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

application because it was date and time stamped by the 

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

the application deadline date.

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

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

of the application and the speed of your Internet connection. 

Therefore, we strongly recommend that you do not wait until the 
32

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 

http://www.G5.gov. 

• You will not receive additional point value because you 

submit your application in electronic format, nor will we 

penalize you if you qualify for an exception to the electronic 

submission requirement, as described elsewhere in this section, 

and submit your application in paper format.

• You must submit all documents electronically, including 

all information you typically provide on the following forms: 

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

of Education Supplemental Information for SF 424, Budget 

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

necessary assurances and certifications. 

• You must upload any narrative sections and all other 

attachments to your application as files in a PDF (Portable 

Document) read-only, non-modifiable format. Do not upload an 
33

interactive or fillable PDF file. If you upload a file type 

other than a read-only, non-modifiable PDF or submit a passwordprotected file, we will not review that material.

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

• After you electronically submit your application, you 

will receive from Grants.gov an automatic notification of 

receipt that contains a Grants.gov tracking number. (This 

notification indicates receipt by Grants.gov only, not receipt 

by the Department.) The Department then will retrieve your 

application from Grants.gov and send a second notification to 

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

Department has received your application and has assigned your 

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

number unique to your application).

• We may request that you provide us original signatures 

on forms at a later date.

Application Deadline Date Extension in Case of Technical Issues 

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

submitting your application through Grants.gov, please contact 

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

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

a record of it.
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 submit an application after 4:30:00 p.m., 

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

contact the person listed under For Further Information Contact

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

technical problem you experienced with Grants.gov, along with 

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

application if we can confirm that a technical problem occurred 

with the Grants.gov system and that that problem affected your 

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

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

contact you after a determination is made on whether your 

application will be accepted. 

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

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

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

failed to fully register to submit your application to 
35

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

the technical problem you experienced is unrelated to the 

Grants.gov system. 

Exception to Electronic Submission Requirement: You qualify for 

an exception to the electronic submission requirement, and may 

submit your application in paper format, if you are unable to 

submit an application through the Grants.gov system because––

• You do not have access to the Internet; or 

• You do not have the capacity to upload large documents 

to the Grants.gov system;

and

• No later than two weeks before the application deadline 

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

the application deadline date falls on a Federal holiday, the 

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

fax a written statement to the Department, explaining which of 

the two grounds for an exception prevent you from using the 

Internet to submit your application. 

If you mail your written statement to the Department, it 

must be postmarked no later than two weeks before the 

application deadline date. If you fax your written statement to 

the Department, we must receive the faxed statement no later 

than two weeks before the application deadline date.
36

Address and mail or fax your statement to: Carnisia M. 

Proctor, U.S. Department of Education, 1990 K Street, NW., Room 

6038, 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 to the electronic 

submission requirement, you may mail (through the U.S. Postal 

Service or a commercial carrier) your application to the 

Department. You must mail the original and two copies of your 

application, on or before the application deadline date, to the 

Department at the following address:

U.S. Department of Education

Application Control Center

Attention: (CFDA Number 84.031S)

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 legibly dated U.S. Postal Service postmark.

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

stamped by the U.S. Postal Service.

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

commercial carrier.
37

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

of the U.S. Department of Education.

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

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

mailing:

(1) A private metered postmark.

(2) A mail receipt that is not dated by the U.S. Postal 

Service.

If your application is postmarked after the application 

deadline date, we will not consider your application.

Note: The U.S. Postal Service does not uniformly provide a 

dated postmark. Before relying on this method, you should check 

with your local post office.

c. Submission of Paper Applications by Hand Delivery.

If you qualify for an exception to the electronic 

submission requirement, you (or a courier service) may deliver 

your paper application to the Department by hand. You must 

deliver the original and two copies of your application by hand, 

on or before the application deadline date, to the Department at 

the following address:

U.S. Department of Education

Application Control Center

Attention: (CFDA Number 84.031S)

550 12th Street, SW.

Room 7041, Potomac Center Plaza

Washington, DC 20202-4260 
38

The Application Control Center accepts hand deliveries daily 

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

Saturdays, Sundays, and Federal holidays.

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

mail or hand deliver your application to the Department--

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

by the Department--in Item 11 of the SF 424 the CFDA number, 

including suffix letter, if any, of the competition under which 

you are submitting your application; and

(2) The Application Control Center will mail to you a 

notification of receipt of your grant application. If you do 

not receive this notification within 15 business days from the 

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

of Education Application Control Center at (202) 245-6288.

V. Application Review Information

1. Selection Criteria: The selection criteria for this 

program are in 34 CFR 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 discretionary 

grant competition, the Secretary may consider, under 34 CFR 

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

out a previous award, such as the applicant’s use of funds, 
39

achievement of project objectives, and compliance with grant 

conditions. The Secretary may also consider whether the 

applicant failed to submit a timely performance report or 

submitted a report of unacceptable quality.

In addition, in making a competitive grant award, the 

Secretary also requires various assurances including those 

applicable to Federal civil rights laws that prohibit 

discrimination in programs or activities receiving Federal 

financial assistance from the Department of Education (34 CFR 

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

Additional factors we consider 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 determining 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. Instructions 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 

funds, 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 section 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 statutory priority, we will determine 
41

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 grantee is not financially stable; has a history of 

unsatisfactory performance; has a financial or other management 

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

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

grant; or is otherwise not responsible.

VI. Award Administration Information

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

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

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

also.

If your application is not evaluated or not selected for 

funding, we notify you.

2. Administrative and National Policy Requirements: We 

identify administrative and national policy requirements in the 

application package and reference these and other requirements 

in the Applicable Regulations section of this notice. 

We reference the regulations outlining the terms and 

conditions of an award in the Applicable Regulations section of 

this notice and include these and other specific conditions in 
42

the GAN. The GAN also incorporates your approved application as 

part of your binding commitments under the grant.

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

competition, you must ensure that you have in place the 

necessary processes and systems to comply with the reporting 

requirements in 2 CFR part 170 should you receive funding under 

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

under 2 CFR 170.110(b).

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

final performance report, including financial information, as 

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

you must submit an annual performance report that provides the 

most current performance and financial expenditure information 

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

may also require more frequent performance reports under 34 CFR 

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

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

4. Performance Measures: The Secretary has established

the following key performance measures for assessing the 

effectiveness of the 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 percentage 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 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 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 three 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 whether 
44

the grantee has expended funds in a manner that is consistent 

with its approved application and budget. In making a 

continuation grant, the Secretary also considers whether the 

grantee is operating in compliance with the assurances in its 

approved application, including those applicable to Federal 

civil rights laws that prohibit discrimination in programs or 

activities receiving Federal financial assistance from the 

Department (34 CFR 100.4, 104.5, 106.4, 108.8, and 110.23).

VII. Agency Contact:

For Further Information Contact: Carnisia M. Proctor, U.S. 

Department of Education, 1990 K Street, NW., Room 6038, 

Washington, DC 20006-8513. Telephone: (202) 502-7606 or by email: Carnisia.Proctor@ed.gov.

If you use a TDD or a TTY, call the FRS, toll free, at 1-

800-877-8339.

VIII. Other Information

Accessible Format: Individuals with disabilities can obtain 

this document and a copy of the application package in an 

accessible format (e.g., braille, large print, audiotape, or 

compact disc) on request to 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 Department published 

in the Federal Register by using the article search feature at 

www.federalregister.gov. Specifically, through the advanced 

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

documents published by the Department.

Dated: 

___________________________

David A. Bergeron, 

Acting Assistant Secretary

For Postsecondary Education.
46

Title V Program Statute

TITLE V—DEVELOPING INSTITUTIONS

PART A—HISPANIC-SERVING INSTITUTIONS

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-year 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 institutions 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 administrative stability of such institutions.

(6) There is a national interest in remedying 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 universities 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 assistance to Hispanicserving 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) EDUCATIONAL 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, 

institutional support, scholarships and fellowships, operation and maintenance expenditures for 

the physical 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) legally 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 by 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) any branch of any institution of higher education described under 

subparagraph (A) that by itself satisfies the requirements contained in clauses (I) 

and (ii) of such subparagraph. For purposes of the determination of whether an 

institution is an eligible 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 established by State law, by 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) FULL-TIME 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 quotient 

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 immediately 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 training offered by 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 years in duration that is

acceptable for full credit toward such a degree; or 

(ii) offers a 2-year program in engineering, mathematics or the physical or 

biological sciences, designed to prepare a student to work as a technician or a the 

semiprofessional level in engineering, scientific, 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 

determination 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 determination 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 under 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, rental or lease of scientific or laboratory equipment for educational 

purposes, including instructional and research purposes.

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

laboratories, and other instructional facilities.

(3) Support of faculty exchanges, faculty 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 improving 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 enhancing 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 academic 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 by 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 by the Secretary as part of the review and acceptance of such 

application. 

(c) Endowment 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 any fiscal year for establishing or improving an 

endowment fund. 
50

(2) Matching required. -- A Hispanic-serving institution that uses any portion of the 

grant funds provided under this title for any fiscal year for establishing or improving and 

endowment fund shall provide from non-Federal funds an amount equal to or greater than the 

portion.

(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 paragraph (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 year 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-serving 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 time, 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 application 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 assistance is sought.

(2) Preliminary Applications. -- In carrying out paragraph (1), the Secretary may develop 

a preliminary application for use by 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 the 
51

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 any fiscal year will be used to supplement and, to the extent practical, 

increase the funds that would otherwise be made available for the purposes of section 501(b), 

and in no case supplant those funds; 

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

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

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

ensure proper disbursement of and accounting for funds made available to the applicant under 

this title; 

(6) provide that the institution will comply with the limitations set forth in Section 516;

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

under the application and include--

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

estimated time required to complete each such component;

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

described by the institution pursuant to subparagraph (A)), a statement identifying 

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

Federal funds only if funded under this title in conjunction with other parts of the 

development project (as specified by the institution);

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

which funds are sought in relation to any other projects for which funds are 

sought by the applicant under this title, and a similar evaluation regarding 

priorities among the components of any single proposed project (as described by 

the applicant pursuant to subparagraph (A)); 

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

project would be spent by the applicant; and 

(E) a detailed description of any activity which involves the expenditure of more 

than $25,000, as identified in the budget referred to in subparagraph (E); and 

(8) 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 annually setting forth the institution’s progress toward achieving the objectives 

for which the funds were awarded and for keeping such records and affording such access 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 community-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 

increasing 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 REPORTING REQUIREMENT

(a) Waiver requirements; need-based assistance students. The Secretary 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-income students as a percentage of its total 

student population;

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

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

individuals; 

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

rural or other isolated areas which are unserved by postsecondary institutions;

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

increase 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 persuasive evidence 

submitted by the institution, that the institution's failure to meet that criterion is due to factors 

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

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

otherwise consistent with the purposes of this title. 

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

concerning the institutions that, although not satisfying the requirements 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 of 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 PROCESS
53

(a) Review panel.-- All applications submitted under this title by Hispanic serving institutions of 

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

Secretary and who include individuals representing Hispanic-serving institutions. The Secretary

shall ensure that no individual assigned under this section to review any application has any 

conflict of interest with regard to that application which might impair the impartiality with which 

that individual conducts the review under this section.

(b) Instruction.-- All readers selected by the Secretary shall receive thorough instruction from the 

Secretary regarding the evaluation process for applications submitted under this title that are 

consistent with the provisions 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 project 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 year, the Secretary shall notify each Hispanicserving institution making an application under this title of

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

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

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

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

Secretary. 

SEC. 514--COOPERATIVE ARRANGEMENTS

(a) General authority. 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 priority to grants for the purposes described under 

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

geographically and economically sound or will benefit the applicant Hispanic-serving institution. 

(c) Duration. Grants to Hispanic-serving institutions having a cooperative arrangement may be 

made under this section for a period as determined under section 505.

SEC. 515. ASSISTANCE 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 any application by a Hispanic-serving institution referred 

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

is authorized, if such application is otherwise approvable, to waive any requirement for a nonFederal 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 nonFederal share requirement for any program for applications which, if approved, would require 

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

SEC. 516. LIMITATIONS

The funds appropriated under section 518 may not be used 

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

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

education applicable to a Hispanic-serving institution; 

(3) for an activity 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—PENALTIES

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

with, any recipient of Federal financial assistance or grant pursuant to this subchapter embezzles, 

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

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

or both. 

SEC. 518--AUTHORIZATIONS OF APPROPRIATIONS

(a) Authorizations. -- There are authorized to be appropriated to carry out this title $62,500,000 

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

years.

(b) Use of multiple year awards. In the event of a multiple year award to any Hispanic-serving 

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

appropriated for this title for the fiscal year in which such funds are to be used by the 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 localities, States, 

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

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

reviewing proposed Federal financial grant applications.

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

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

state.

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

can be found at:

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

Absent specific State review programs, applicants may submit comments directly to the 

Department. All recommendations and comments must be mailed or hand-delivered by the date 

indicated in the actual application notice to the following address: The Secretary, EO 12372—

CFDA# 84.031S, 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.

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

submits its completed applications. Do not send applications to the above address.
56

General Education Provisions Act (GEPA)

Section 427

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

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

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

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

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

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

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

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

overcome these barriers.

*Notes: 

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

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

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

provision in order to receive funding under this program.
57

Government Performance 

and Results Act (GPRA)

What is GPRA?

The Government Performance and Results Act of 1993 (GPRA) is a straightforward statute that 

requires all federal agencies to manage their activities with attention to the consequences of those

activities. Each agency is to clearly state what it intends to accomplish, identify the resources 

required, and periodically report their progress to the Congress. In so doing, it is expected that 

the GPRA will contribute to improvements in accountability for the expenditures of public funds, 

improve Congressional decision-making through more objective information on the effectiveness 

of federal programs, and promote a new government focus on results, service delivery, and 

customer satisfaction.

How has the Department of Education Responded to the GPRA Requirements?

As required by GPRA, the Department of Education has prepared a strategic plan for 2007-2012. 

This plan reflects the Department’s priorities and integrates them with its mission and program

authorities and describes how the Department will work to improve education for all children 

and adults in the U.S. The Department’s goals, as listed in the plan, are:

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

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

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

our middle and high school students.

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

our higher education system remains the world’s finest. 

The performance indicators for the Developing Hispanic-Serving Institutions Program are part of 

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

“to strengthen Hispanic-Serving Institutions.” 

What are the Performance Indicators for the HSI Program?

The Developing Hispanic-Serving Institutions Program’s overarching goal is: To improve the 

capacity of minority-serving institutions, which traditionally have limited resources and serve 

large numbers of low-income and minority students, to improve student success and to provide 

high-quality educational opportunities for their students.

The specific performance indicators for the HSI Program are as follows:

The effectiveness of the HSI Program is assessed by: 1) The percentage change, over the fiveyear grant period, of the number of full-time degree-seeking undergraduate students enrolled at 

HSIs. 2) The percentage of first-time, full-time degree-seeking undergraduate students who were 
58

in their first year of postsecondary enrollment in the previous year and are enrolled in the current 

year at the same two-year 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 

year and are enrolled in the current year at the same four-year HSI. 4) The percentage of firsttime, 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 three years of enrollment. 6) 

Federal cost for undergraduate and graduate degrees at institutions in the Developing HSIs 

program.

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

met?

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

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

goals and objectives are met.

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 Application 

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

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

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

be 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 (Section A and Section B) 

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

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

Education Funds and Section B – Budget Summary Non-Federal Funds Applicants should include 

costs for all project years. 

Part III: 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)

 Lobbying Form (ED Form 80.0013)

 Disclosure of Lobbying Activities (SF-LLL)

 Survey on Ensuring Equal Opportunity for Applicants

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

proposed project.

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

responses to the selection criteria and the competitive preference 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 Individual 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 

Development Grant application and no more than 70 pages for the Cooperative Arrangement 

Development Grant application. The pages of your Project Narrative should be consecutively 
60

numbered. You must attach your project narrative in the Project Narrative Attachment Form in 

Grants.gov.

Budget Narrative Attachment Form: Attach your HSI Detailed 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 Grants.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 by line for each activity.

Program Profile Narrative Form: Included in this application is an HSI Program Profile Form.

You must complete this form and attach it to the Other Attachments Form in 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 narratives, supporting files, or application components to the 

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

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

must be in .pdf format. Other types of files will not be accepted.
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 review 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 by 

the reviewers, applicants should follow the sequence of the criteria as provided below. Applications 

should be written in a concise and clear manner. You must limit the section of the narrative that 

addresses the selection criteria and the competitive preference 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 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.

Applicants MUST address each of the 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 

comprehensively analyze 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 activity (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 institution’s goals for its academic programs institutional management,

and fiscal stability, based on the outcomes of the described analysis as it relates to the 

proposed Title V activity (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-year plan, specifically addressing its services to Hispanic and other lowincome-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 comprehensively identify

the implementation strategy for each activity. Applicants must also identify:

a. The rationale for the implementation strategy for each activity, clearly 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 sequentially 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 Director/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 efficiently 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 narrative. 

6. Evaluation Plan (15 points): Applicants must identify data elements and data collection procedures 

that clearly:

a. Describe and are appropriate to measure the attainment of activity objectives;

b. Measure the success of the project in achieving the goals of the comprehensive development 

plan;

Applicants must also describe data analysis procedures that are likely to produce formative and 

summative results on attaining activity 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 Postsecondary 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 Priority 2: Improving Productivity – projects that are designed to 

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

improving student learning or other educational outcomes (i.e., outcome per unit of resource). 

Such projects may include innovative and sustainable uses of technology, modification of school 

schedules and teacher compensation systems, use of open educational resources (as defined in 

the closing date notice), or other strategies.
64

Instructions for Standard Forms:

● APPLICATION FACE SHEET - (SF 424)

● DEPARTMENT OF EDUCATION SUPPLEMENTAL FORM (SF 424)

● DEPARTMENT OF EDUCATION BUDGET SUMMARY FORM (ED 524)

● DISCLOSURE OF LOBBYING ACTIVITIES (SF-LLL)

● SURVEY INSTRUCTIONS 

Other Information and Guidance:

● SUPPLEMENTAL INFORMATION AND INSTRUCTIONS

● 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, including time for reviewing 

instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection 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), Washington, DC 20503. 

PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT AND BUDGET. SEND IT TO THE 

ADDRESS PROVIDED BY THE SPONSORING AGENCY.

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

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

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

instructions below. In addition to the instructions provided below, applicants must consult agency instructions to determine specific 

requirements.

Item Entry: Item Entry:

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

in accordance with agency instructions.

 Pre-application

 Application

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

check if this submission is to change or correct a previously 

submitted application. Unless requested by the agency, applicants 

may not use this to submit changes after the closing date.

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

agency from which assistance is being requested with this application.

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

Catalog of Federal Domestic Assistance number and title of the program 

under which assistance is requested, as found in the program 

announcement, if applicable. 

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

in accordance with agency instructions.

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

the first time.

 Continuation - An extension for an additional funding/budget 

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

include renewals.

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

obligation or contingent liability from an existing obligation. If a 

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

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

A. Increase Award B. Decrease Award

 C. Increase Duration D. Decrease Duration 

 E. Other (specify)

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

Opportunity Number and title of the opportunity under which assistance 

is requested, as found in the program announcement.

13. Competition Identification Number/Title: Enter the Competition 

Identification Number and title of the competition under which assistance 

is requested, if applicable.

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

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

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

needed.

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

by the Federal agency.

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

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

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

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

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

organization by the Federal Agency, if any.

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

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

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

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

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

district. 

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

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

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

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

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

continuation or revision to an existing award, enter the previously 

assigned Federal award identifier number. If a changed/corrected 

application, enter the Federal Identifier in accordance with agency 

instructions.

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

assigned by the State, if applicable.

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

will be assigned by the State, if applicable.

8. Applicant Information: Enter the following in accordance with 

agency instructions:

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

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

organization has registered with the Central Contractor Registry. 

Information on registering with CCR may be obtained by visiting 

the Grants.gov website.

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

start date and end date of the project.

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

Employer or Taxpayer Identification Number (EIN or TIN) as 

assigned by the Internal Revenue Service. If your organization is 

not in the US, enter 44-4444444. 18. Estimated Funding: (Required) Enter the amount requested or to be 
66

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

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

Information on obtaining a DUNS number may be obtained by 

visiting the Grants.gov website.

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

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

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

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

d. Address: Enter the complete address as follows: Street amounts in parentheses. 

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

(Required, if country is US), Province, Country (Required), 

Zip/Postal Code (Required, if country is US).

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

12372 Process? Applicants should contact the State Single Point of 

Contact (SPOC) for Federal Executive Order 12372 to determine 

whether the application is subject to the State intergovernmental review 

process. Select the appropriate box. If “a.” is selected, enter the 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 and contact information of person to be contacted on 

matters involving this application: Enter the name (First and 

last name required), organizational affiliation (if affiliated with an 

organization other than the applicant organization), telephone 

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

the person to contact on matters related to this application.

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

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

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

debt include delinquent audit disallowances, loans and taxes.

If yes, include an explanation on the continuation sheet.

9. Type of Applicant: (Required)

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

agency instructions.

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

authorized representative of the applicant organization. Enter the name 

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

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

authorized to sign for the applicant. 

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

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

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

submitted as part of the application.)

A. State Government

B. County Government

C. City or Township Government

D. Special District Government

E. Regional Organization

F. U.S. Territory or Possession

G. Independent School District

H. Public/State Controlled Institution 

of Higher Education

I. Indian/Native American Tribal 

Government (Federally Recognized)

J. Indian/Native American Tribal 

Government (Other than Federally 

Recognized)

K. Indian/Native American Tribally 

Designated Organization

L. Public/Indian Housing Authority 

M. Nonprofit with 

501C3 IRS Status 

(Other than Institution 

of Higher Education)

N. Nonprofit without 

501C3 IRS Status 

(Other than Institution 

of Higher Education)

O. Private Institution 

of Higher Education

P. Individual

Q. For-Profit 

Organization (Other 

than Small Business)

R. Small Business

S. Hispanic-serving 

Institution

T. Historically Black 

Colleges and 

Universities (HBCUs)

U. Tribally Controlled 

Colleges and 

Universities (TCCUs)

V. Alaska Native and 

Native Hawaiian 

Serving Institutions

W. Non-domestic 

(non-US) Entity

X. Other (specify)
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 involving this application.

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

being requested under a program that gives special consideration to 

novice applicants. Otherwise, leave blank.

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

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

attached page entitled “Definitions for Department of Education 

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

applicant certifies that it meets these novice applicant requirements. 

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

applicants.

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

attached page entitled “Definitions for Department of Education 

Supplemental Information For SF 424.”)

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

activities involving human subjects are not planned at any time

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

are then not applicable.

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

involving human subjects are planned at any time during the 

proposed project period, either at the applicant organization or at 

any other performance site or collaborating institution. Check 

“Yes” even if the research is exempt from the regulations for the 

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

page entitled “Definitions for Department of Education 

Supplemental Information For SF 424.”) 

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

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

proposed are designated to be exempt from the regulations. Insert 

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

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

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

the attached page entitled “Definitions for Department of Education 

Supplemental Information For SF 424.” 

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

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

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

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

entitled “Definitions for Department of Education Supplemental 

Information For SF 424

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

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

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

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

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

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

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

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

assurance upon request by the designated ED official. If the 

application is recommended/selected for funding, the designated ED 

official will request that the applicant obtain the assurance within 30 

days after the specific formal request.

Note about Institutional Review Board Approval. ED does not 

require certification of Institutional Review Board approval with the 

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

human subjects research is recommended/selected for funding, the 

designated ED official will request that the applicant obtain and 

send the certification to ED within 30 days after the formal request.

Paperwork Burden Statement. According to the Paperwork 

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

collection of information unless such collection displays a valid 

OMB control number. The valid OMB control number for this 

information collection is 1890-0017. The time required to 

complete this information collection 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 complete and review the information collection. If 

you have any comments concerning the accuracy of the 

estimate(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 

individual submission of this form write directly to: Joyce I. 

Mays, Application Control Center, U.S Department of Education, 

Potomac Center Plaza, 550 12th Street, S.W. Room 7076, 

Washington, DC 20202-4260.
68

DEFINITIONS FOR

DEPARTMENT OF EDUCATION SUPPLEMENTAL INFORMATION FOR SF 424

(Attachment to Instructions for Supplemental Information for SF 424)

Definitions:

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

programs under which the Secretary gives special consideration to 

novice applications, a novice applicant means any applicant for a 

grant from ED that—

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

program from which it seeks funding;

 Has never been a member of a group application, 

submitted in accordance with 34 CFR 75.127-75.129, 

that received a grant under the program from which it 

seeks funding; and

 Has not had an active discretionary grant from the 

Federal government in the five years before the deadline 

date for applications under the program. For the 

purposes of this requirement, a grant is active until the 

end of the grant’s project or funding period, including 

any extensions of those periods that extend the grantee’s 

authority to obligate funds.

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

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

requirements listed above.

PROTECTION OF HUMAN SUBJECTS IN RESEARCH

I . Definitions and Exemptions

A . Definitions.

A research activity involves human subjects if the activity is 

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

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

the regulations.

—Research

The ED Regulations for the Protection of Human Subjects, Title 

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

systematic investigation, including research development, testing 

and evaluation, designed to develop or contribute to generalizable 

knowledge.” If an activity follows a deliberate plan whose 

purpose is to develop or contribute to generalizable knowledge it 

is research. Activities which meet this definition constitute 

research whether or not they are conducted or supported under a 

program that is considered research for other purposes. For 

example, some demonstration and service programs may include 

research activities.

—Human Subject

The regulations define human subject as “a living individual about 

whom an investigator (whether professional or student) conducting 

research obtains (1) data through intervention or interaction with 

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

activity involves obtaining information about a living person by 

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

occur when a new instructional technique is tested, or by 

communicating or interacting with the individual, as occurs with 

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

If an activity involves obtaining private information about a living 

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

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

determined by the investigator or associated with the information), 

the definition of human subject is met. [Private information 

includes information about behavior that occurs in a context in 

which an individual can reasonably expect that no observation or 

recording is taking place, and information which has been 

provided for specific purposes by an individual and which the 

individual can reasonably expect will not be made public (for 

example, a school health record).]

B. Exemptions.

Research activities in which the only involvement of human 

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

exemptions are not covered by the regulations:

(1) Research conducted in established or commonly accepted 

educational settings, involving normal educational practices, such 

as (a) research on regular and special education instructional 

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

among instructional techniques, curricula, or classroom 

management methods.

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

diagnostic, aptitude, achievement), survey procedures, interview 

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

information obtained is recorded in such a manner that human 

subjects can be identified, directly or through identifiers linked to 

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

responses outside the research could reasonably place the subjects 

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

financial standing, employability, or reputation. If the subjects 

are children, exemption 2 applies only to research involving 

educational tests and observations of public behavior when the 

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

Exemption 2 does not apply if children are surveyed or 

interviewed or if the research involves observation of public 

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

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

the legal age for consent to treatments or procedures involved in 

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

research will be conducted.]
69

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

diagnostic, aptitude, achievement), survey procedures, interview 

procedures or observation of public behavior that is not exempt 

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

appointed public officials or candidates for public office; or 

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

confidentiality of the personally identifiable information will be 

maintained throughout the research and thereafter.

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

documents, records, pathological specimens, or diagnostic 

specimens, if these sources are publicly available or if the 

information is recorded by the investigator in a manner that 

subjects cannot be identified, directly or through identifiers linked 

to the subjects.

(5) Research and demonstration projects which are conducted by 

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

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

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

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

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

changes in methods or levels of payment for benefits or services 

under those programs.

(6) Taste and food quality evaluation and consumer acceptance 

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

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

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

chemical or environmental contaminant at or below the level 

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

approved by the Environmental Protection Agency or the Food 

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

Agriculture.

II . Instructions for Exempt and Nonexempt Human Subjects 

Research Narratives

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

Education Supplemental Information for SF 424, the applicant 

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

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

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

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

they address.

A . Exempt Research Narrative.

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

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

narrative must contain sufficient information about the 

involvement of human subjects in the proposed research to allow a 

determination by ED that the designated exemption(s) are 

appropriate . The narrative must be succinct.

B . Nonexempt Research Narrative.

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

“nonexempt research” narrative . The narrative must address the 

following seven points. Although no specific page limitation 

applies to this section of the application, be succinct.

(1) Human Subjects Involvement and Characteristics: Provide 

a detailed description of the proposed involvement of human 

subjects. Describe the characteristics of the subject population, 

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

Identify the criteria for inclusion or exclusion of any

subpopulation. Explain the rationale for the involvement of 

special classes of subjects, such as children, children with 

disabilities, adults with disabilities, persons with mental 

disabilities, pregnant women, prisoners, institutionalized 

individuals, or others who are likely to be vulnerable.

(2) Sources of Materials: Identify the sources of research material 

obtained from individually identifiable living human subjects in 

the form of specimens, records, or data. Indicate whether the 

material or data will be obtained specifically for research purposes 

or whether use will be made of existing specimens, records, or 

data.

(3) Recruitment and Informed Consent: Describe plans for the 

recruitment of subjects and the consent procedures to be followed. 

Include the circumstances under which consent will be sought and 

obtained, who will seek it, the nature of the information to be 

provided to prospective subjects, and the method of documenting 

consent . State if the Institutional Review Board (IRB) has 

authorized a modification or waiver of the elements of consent or 

the requirement for documentation of consent.

(4) Potential Risks: Describe potential risks (physical, 

psychological, social, legal, or other) and assess their likelihood 

and seriousness. Where appropriate, describe alternative 

treatments and procedures that might be advantageous to the 

subjects.

(5) Protection Against Risk: Describe the procedures for 

protecting against or minimizing potential risks, including risks to 

confidentiality, and assess their likely effectiveness. Where 

appropriate, discuss provisions for ensuring necessary medical or 

professional intervention in the event of adverse effects to the 

subjects. Also, where appropriate, describe the provisions for 

monitoring the data collected to ensure the safety of the subjects.

(6) Importance of the Knowledge to be Gained: Discuss the 

importance of the knowledge gained or to be gained as a result of 

the proposed research. Discuss why the risks to subjects are 

reasonable in relation to the anticipated benefits to subjects and in 

relation to the importance of the knowledge that may reasonably 

be expected to result.

(7) Collaborating Site(s): If research involving human subjects 

will take place at collaborating site(s) or other performance site(s), 

name the sites and briefly describe their involvement or role in the 

research.

Copies of the Department of Education’s Regulations for the 

Protection of Human Subjects, 34 CFR Part 97 and other 

pertinent materials on the protection of human subjects in 

research are available from the Grants Policy and Oversight 

Staff, Office of the Chief Financial Officer, U.S. Department of 

Education, Washington, DC 20202-4250, telephone: (202) 245-

6120, and on the U.S. Department of Education’s Protection of 

Human Subjects in Research Web Site: 

http://www.ed.gov/about/offices/list/OCFO/humansub.html

NOTE: The State Applicant Identifier on the SF 424 is for State Use 

only. Please complete it on the OMB Standard 424 in the upper right 

corner of the form (if applicable).
70

Instructions for ED 524

General Instructions

This form is used to apply to individual U.S. Department of 

Education (ED) discretionary grant programs. Unless directed 

otherwise, provide the same budget information for each year of 

the multi-year funding request. Pay attention to applicable 

program specific instructions, if attached. Please consult with 

your Business Office prior to submitting this form.

Section A - Budget Summary

U.S. Department of Education Funds

All applicants must complete Section A and provide a 

breakdown by the applicable budget categories shown in lines 1-

11.

Lines 1-11, columns (a)-(e): For each project year for which 

funding is requested, show the total amount requested for each 

applicable budget category.

Lines 1-11, column (f): Show the multi-year total for each 

budget category. If funding is requested for only one project 

year, leave this column blank.

Line 12, columns (a)-(e): Show the total budget request for each 

project year for which funding is requested.

Line 12, column (f): Show the total amount requested for all 

project years. If funding is requested for only one year, leave 

this space blank.

Indirect Cost Information: 

If you are requesting reimbursement for indirect costs on line 

10, this information is to be completed by your Business Office. 

(1): Indicate whether or not your organization has an Indirect 

Cost Rate Agreement that was approved by the federal 

government. (2): If you checked “yes” in (1), indicate in (2) the 

beginning and ending dates covered by the Indirect Cost Rate 

Agreement. In addition, indicate whether ED or another federal 

agency (Other) issued the approved agreement. If you check 

“Other,” specify the name of the federal agency that issued the 

approved agreement. (3): If you are applying for a grant under 

a Restricted Rate Program (34 CFR 75.563 or 76.563), indicate 

whether you are using a restricted indirect cost rate that is 

included on your approved Indirect Cost Rate Agreement or 

whether you are using a restricted indirect cost rate that 

complies with 34 CFR 

76.564(c)(2). Note: State or local government agencies may 

not use the provision for a restricted indirect cost rate specified 

in 34 CFR 76.564(c)(2). Check only one response. Leave 

blank, if this item is not applicable.

Section B - Budget Summary

Non-Federal Funds

If you are required to provide or volunteer to provide matching 

funds or other non-federal resources to the project, these should 

be shown for each applicable budget category on lines 1-11 of 

Section B.

Lines 1-11, columns (a)-(e): For each project year, for which 

matching funds or other contributions are provided, show the 

total contribution for each applicable budget category.

Lines 1-11, column (f): Show the multi-year total for each 

budget category . If non-federal contributions are provided for 

only one year, leave this column blank.

Line 12, columns (a)-(e): Show the total matching or other 

contribution for each project year.

Line 12, column (f): Show the total amount to be contributed 

for all years of the multi-year project. If non-Federal 

contributions are provided for only one year, leave 

Section C - Budget Narrative [Attach separate sheet(s)]

Pay attention to applicable program specific instructions, 

if attached.

1 . Provide an itemized budget breakdown, and justification by 

project year, for each budget category listed in Sections A 

and B . For grant projects that will be divided into two or 

more separately budgeted major activities or sub-projects, 

show for each budget category of a project year the 

breakdown of the specific expenses attributable to each subproject or activity.

2 . If applicable to this program, provide the rate and base on 

which fringe benefits are calculated.

3 . If you are requesting reimbursement for indirect costs on 

line 10, this information is to be completed by your Business 

Office. Specify the estimated amount of the base to which 

the indirect cost rate is applied and the total indirect 

expense. Depending on the grant program to which you are 

applying and/or your approved Indirect Cost Rate 

Agreement, some direct cost budget categories in your grant 

application budget may not be included in the base and 

multiplied by your indirect cost rate. For example, you must 

multiply the indirect cost rates of “Training grants" (34 CFR 

75.562) and grants under programs with “Supplement not 

Supplant” requirements ("Restricted Rate" programs) by a 

“modified total direct cost” (MTDC) base (34 CFR 75.563 

or 76.563). Please indicate which costs are included and 

which costs are excluded from the base to which the indirect 

cost rate is applied.

When calculating indirect costs (line 10) for "Training 

grants" or grants under "Restricted Rate" programs, you 

must refer to the information and examples on ED’s 

website at: 

http://www.ed.gov/fund/grant/apply/appforms/appforms.ht

ml. 

You may also contact (202) 377-3838 for additional 

information regarding calculating indirect cost rates or 

general indirect cost rate information.

4. Provide other explanations or comments you deem 

necessary.

Paperwork Burden Statement

According to the Paperwork Reduction Act of 1995, no persons 

are required to respond to a collection of information unless 

such collection displays a valid OMB control number. The valid 

OMB control number for this information collection is 1890-

0004. The time required to complete this information collection 

is estimated to vary from 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 

Avenue, S.W., Washington, DC 20202. 
71

Activity Budget Detail Form Instructions

Note: Applicants must submit a detailed budget narrative for each activity using the “HSI Activity 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 budgets for each activity for 

each year 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 or prime Federal recipient, at the initiation or 

receipt of a covered Federal action, or a material change to a previous filing, pursuant to Title 31 U.S.C. Section 1352. The filing of 

a form is required for each payment or agreement to make payment to any lobbying entity for influencing or attempting to influence 

an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of

Congress in connection with a covered Federal action. Complete all items that apply for both the initial filing and material change 

report. Refer to the implementing guidance published by the Office of Management and Budget for additional information.

1. Identify the type of covered Federal action for which lobbying activity is and/or has been secured to influence the outcome 

of a covered Federal action.

2. Identify the status of the covered Federal action.

3. Identify the appropriate classification of this report. If this is a follow-up report caused by a material change to the 

information previously reported, enter the year and quarter in which the change occurred. Enter the date of the last 

previously submitted report by this reporting entity for this covered Federal action.

4. Enter the full name, address, city, State and zip code of the reporting entity. Include Congressional District, if known. 

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

recipient. Identify the tier of the sub-awardee, e.g., the first sub-awardee of the prime is the 1st tier. Sub-awards include but 

are not limited to subcontracts, subgrants and contract awards under grants.

5. If the organization filing the report in item 4 checks “Subawardee,” then enter the full name, address, city, State and zip code 

of the prime Federal recipient. Include Congressional District, if known.

6. Enter the name of the federal agency making the award or loan commitment. Include at least one organizational level below 

agency name, if known. For example, Department of Transportation, United States Coast Guard.

7. Enter the Federal program name or description for the covered Federal action (item 1). If known, enter the full Catalog of 

Federal Domestic Assistance (CFDA) number for grants, cooperative agreements, loans, and loan commitments.

8. Enter the most appropriate Federal identifying number available for the Federal action identified in item 1 (e.g., Request for 

Proposal (RFP) number; Invitations for Bid (IFB) number; grant announcement number; the contract, grant, or loan award 

number; the application/proposal control number assigned by the Federal agency). Included prefixes, e.g., “RFP-DE-90-

001.”

 9. For a covered Federal action where there has been an award or loan commitment by the Federal agency, enter the Federal 

amount of the award/loan commitment for the prime entity identified in item 4 or 5.

10. (a) Enter the full name, address, city, State and zip code of the lobbying registrant under the Lobbying Disclosure Act of 

1995 engaged by the reporting entity identified in item 4 to influence the covered Federal action.

(b) Enter the full names of the individual(s) performing services, and include full address if different from 10(a) . Enter Last 

Name, First Name, and Middle Initial (MI).

11. The certifying official shall sign and date the form, print his/her name, title, and telephone number.

According to the Paperwork Reduction Act, as amended, no persons are required to respond to a collection of information unless it displays a valid 

OMB control Number. The valid OMB control number for this information collection is OMB No. 0348-0046. Public 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. 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 (0348-0046), Washington, DC 20503.
73

Provide the applicant’s (organization) name and 

DUNS number and the grant name and CFDA 

number.

1. Self-explanatory.

2. Self-identify.

3. Self-identify.

4. 501(c)(3) status is a legal designation provided on 

application to the Internal Revenue Service by 

eligible organizations. Some grant programs may 

require nonprofit applicants to have 501(c)(3) 

status. Other grant programs do not.

5. Self-explanatory.

6. For example, two part-time employees who each 

work half-time equal one full-time equivalent 

employee. If the applicant is a local affiliate of a 

national organization, the responses to survey 

questions 2 and 3 should reflect the staff and 

budget size of the local affiliate. 

7. Annual budget means the amount of money your 

organization spends each year on all of its activities.

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. The time required to complete this 

information collection is estimated to average five (5) 

minutes 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 

time estimate(s) or suggestions for improving this form, 

please write to: The Agency Contact listed in this grant 

application package.

OMB No. 1890-0014 Exp. 05/31/2012

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-Serving 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 least 25 percent Hispanic students at the end of the 

award year immediately preceding the date of application.

For the purposes of the calculation, use your institution’s student enrollment count closest to, but not 

after, September 30, 2011.

Whatever the full-time course load is at your institution, count a full-time undergraduate degree student as 

one FTE.

To determine the FTE for part-time undergraduate students, total the number of credit hours of all parttime undergraduate students. Include both part-time degree students and part-time unclassified students. 

Divide the total number of credit hours for the part-time undergraduate students by twelve (12). The 

result is the FTE for part-time undergraduate students.

Note: An unclassified undergraduate student is one who is not a candidate for a degree or other formal 

award, but is taking courses for credit in regular classes with undergraduate degree students. However, 

both classified and unclassified undergraduate students enrolled must be in a program of at least two 

years in length that would result in the award of a certificate, associate degree or other educational 

credential.

 

To calculate the total Undergraduate FTE Enrollment Count: Add the FTE of full-time undergraduate 

students and the FTE of part-time undergraduate students.

To calculate the Hispanic Undergraduate FTE Enrollment Count: Add the FTE of full-time 

undergraduate Hispanic students and the FTE of part-time undergraduate Hispanic students.

To calculate the Undergraduate FTE Hispanic Percent: Divide the Hispanic Undergraduate FTE 

Enrollment Count by the Total Undergraduate FTE Enrollment Count and multiply by 100. 
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 “HSI Program Profile 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 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, 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 the 

instructions and/or cannot validate assurances, the application will be deemed ineligible. 

Page Limits: The project narrative (Part III of the application) is where you, the applicant, address the 

selection criteria that reviewers use to evaluate your application. We have established mandatory page 

limits for 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 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.

The page limit does not apply to Part I, the Application for Federal Assistance (SF 424); the Department 

of Education Supplemental Information form (SF 424); Part II, Budget Information—Non-Construction 

Programs (ED Form 524); Part IV, the assurances 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 project narrative section (Part III), including the budget narrative of the 

selection criteria. If you include any attachments or appendices not specifically requested in the 

application package, these items will be counted as part of the project narrative (Part III) for purposes of 

the page limit requirement. You must include your complete response to the selection criteria in the 

project narrative.

Formatting Requirements: A ‘‘page’’ is 8.5′′ x 11′′, on one side only, with 1 inch margins at the top, 

bottom, and both sides. Double space (no more than three lines per vertical inch) all text in the application 
76

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. Name of Institution/Campus Requesting: (Use your institution’s complete name. If your institution is a branch campus, use the 

parent institution’s name but follow it with the name of the branch campus. For example, you would cite the State University of New York, 

Brockport Campus.)

Institution/Campus OPE ID#: DUNS#:

2. Applicant Address: (All applicants must indicate the address where the project will be located)

Project Address:

City: State: Zip:

3. Participating Institutions in a Cooperative Arrangement:

3a. Name of Applicant Institution (Lead):

3b. Name of Participating Institutions 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 relates 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 partner institution(s)

 Names of Partner(s):

1.

 2.

3.

Major Accomplishment(s): Performance:

1. Enrollment Persistence Graduation Rates Fiscal Stability

2. Enrollment Persistence Graduation Rates Fiscal Stability

3. Enrollment Persistence Graduation Rates Fiscal Stability

5. Tiebreaker Information: Enter the full-time equivalent (FTE) enrollment for Fall 2010. See the Application Guide and 

Federal Register Notice for instructions on calculating FTE enrollment.

Total Fall 2010 FULL-TIME EQUIVALENT (FTE) students =

a) Total market value of endowment fund for 2010-11

b) Total expenditures for library material during 2010-11

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. Endowment Fund Assurance: 

The institution certifies that it proposes to use no more than twenty percent (20%) of the Developing 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 Certification: 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

 Universities 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 Reported Enrollment. 

Enter information for all areas below for Fall 2010 (up to 30 September 2011)

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 Department’s Integrated 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 application, 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 sufficient 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 Institutions Program Activity Budget Detail Form

INSTRUCTIONS: ALL applicants must complete and submit this form. You may copy or recreate this form, but do not amend or modify the required 

information or format. Upon completion, attach this document as a .pdf into the “Budget Narrative Attachment Form” in Grants.gov.

Activity Budget (To be completed for every activity for which funding is requested)

1. Name of Institution: 2. Activity Title:

3. Budget Categories By 

Year

First Year Second Year Third Year Fourth Year Fifth Year Total Funds 

Requested

Object Class

% 0f 

Time

Funds 

Requested

% Of 

Time

Funds 

Requested

% Of 

Time

Funds 

Requested

% Of 

Time

Funds 

Requested

% Of 

Time

Funds 

Requested

a. Personnel (Position 

Title)

$ $ $ $ $ $

SUB-TOTAL $ $ $ $ $ $

b. Fringe Benefits ___% $ $ $ $ $ $

c. Travel $ $ $ $ $ $

d. Equipment $ $ $ $ $ $

e. Supplies $ $ $ $ $ $

f. Contractual $ $ $ $ $ $

g. Construction $ $ $ $ $ $

h. Other (endowment) $ $ $ $ $ $

i. TOTAL DIRECT 

CHARGES

$ $ $ $ $ $

4. Explain in detail how you arrived at the total amount requested in each object class in each year of the activity. If you fail to provide sufficient details, we 

may disallow costs.
80

Application Checklist

Use This Checklist While Preparing Your Application Package: All items listed on this checklist 

are required.

 Application for Federal Assistance (SF 424) 

 Department of Education Supplemental Information for SF 424 

 Department of Education Budget Information Non-Construction Programs Form (ED 524)

 One-Page Program Abstract – Attached to the “ED Abstract Form” in Grants.gov

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

 Hispanic-Serving Institutions 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 Lobbying Form (ED 80-0013)

 Disclosure of Lobbying Activities (SF-LLL)

 Survey on Ensuring Equal Opportunity for Applicants 

 ED GEPA 427 Form
81

Paperwork Burden Statement

PAPERWORK BURDEN STATEMENT

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

information unless such collection displays a valid OMB control number. Public reporting burden for 

this collection of information is estimated to average 55 hours per response, including time for 

reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and 

completing and reviewing the collection of information. The obligation to respond to this collection is 

required to obtain or retain benefit (Section 501 of the Higher Education Act of 1965, as amended) 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 ICDocketMgr@ed.gov and reference the 

OMB Control Number 1840-0745. Note: Please do not return the completed application to this address.