U.S. DEPARTMENT OF EDUCATION

Office of Postsecondary Education 

Washington, DC 20006-8513

Fiscal Year 2015

APPLICATION FOR GRANTS UNDER THE 

PREDOMINANTLY BLACK INSTITUTIONS PROGRAM 

(CFDA NUMBER: 84.382A)

Form Approved 

OMB No. 1840-0797 Expiration Date: XX/XX/2018

CLOSING DATE: XX/XX, 2015
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TABLE OF CONTENTS

Dear Applicant Letter ..............................................................................................3

Competition Highlights ............................................................................................5

Introduction ............................................................................................................8

Grants.gov Submission Procedures and Tips for Applicants ..................................10

Grants.gov Registration Instructions ......................................................................14

Application Transmittal Instructions.........................................................................17 

Notice Inviting Applications .....................................................................................19 

Authorizing Legislation ...........................................................................................61 

Supplemental Information..........................................................................62

Intergovernmental Review of Federal Programs ....................................................64

General Education Provisions Act (GEPA) .............................................................65 

Government Performance and Results Act (GPRA) ..............................................66 

INSTRUCTIONS

Instructions for Completing the Application ............................................................68 

Instructions for Project Narrative ............................................................................70 

Instructions for Standard Forms .............................................................................75

Instructions for the SF 424 .....................................................................................76

Instructions for Department of Education Supplemental Information for SF 424 ....78

Instructions for ED 524 ...........................................................................................84

Instructions for Budget Summary Form and Budget Narrative................................87

Instructions for Completion of SF-LLL, Disclosure of Lobbying Activities................89

Predominantly Black Institutions Program Profile Form .........................................91

Application Checklist ..............................................................................................92

Paperwork Burden Statement ................................................................................93
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 [Insert Date]

Dear Applicant:

Thank you for your interest in applying for a new grant under the fiscal year (FY) 2015 

Predominantly Black Institutions (PBI) Competitive grant program 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. 

The PBI program is authorized under Title III, Part F, Section 371 of the Higher 

Education Act of 1965 (HEA), as amended. This program supports the strengthening of 

PBI to carry out programs in the following areas: science, technology, engineering, or 

mathematics (STEM); health education; internationalization or globalization; teacher 

preparation; or improving educational outcomes of African American males. 

Information on the PBI program is accessible at the program website at:

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

For the FY 2015 grant competition, there are two competitive preference priorities for 

this program. Applicants may receive up to a total of six additional points for an 

application that meets the Competitive Preference Priorities. For additional information 

about the competitive preference priorities, refer to the Federal Register Notice Inviting 

Applications (NIA), and the competition highlights included in this application package. 

All applications must be submitted electronically using the Grants.gov Apply site 

(www.grants.gov). You are urged to acquaint yourself with the requirements of 

Grants.gov early. Additional information about grants.gov submission requirements can 

be found in the competition highlights, the NIA published in the Federal Register, and 

the transmittal instructions included in this package. 

The NIA published in the Federal Register is the official document describing the 

requirements for submitting a PBI grant application. You should not rely upon any 

information that is inconsistent with the guidance contained in the official NIA. We

encourage applicants to review the “Competition Highlights” found in this package for an 

overview of important items. 
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If you have questions or require additional information, please contact Bernadette D. 

Miles at bernadette.miles@ed.gov or by telephone at 202-502-7616. 

We appreciate your interest in the PBI program and look forward to receiving your 

application.

Sincerely,

Donald E. Watson

Director, Historically Black Colleges and Universities

Higher Education Programs
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COMPETITION HIGHLIGHTS

1. All applicants are encouraged to address the two competitive preference

priorities below. The Department will award up to an additional three points per 

priority for a total of up to six additional points to an application, depending on 

how well the application meets these priorities. 

Increasing Postsecondary Access, Affordability, and Completion (up to 3 points)

Projects that are designed to address one or both of the following:

 

a) Reducing the net cost, median student loan debt, and likelihood of 

student loan default for high-need students who enroll in college, 

other postsecondary education, or other career and technical 

education.

b) Supporting the development and implementation of high-quality 

online or hybrid credit-bearing and accessible learning opportunities 

that reduce the cost of higher education, reduce time to degree 

completion, or allow students to progress at their own pace.

Improving Teacher Effectiveness and Promoting Equitable Access to Effective Teachers 

(up to 3 points)

Projects that are designed to increase the number and percentage of effective 

teachers in lowest-performing schools, schools in rural local educational 

agencies, or schools with high concentrations of students from low-income 

families and minority students, through such activities as:

a) Improving the preparation, recruitment, selection, and early career

development of teachers; implementing performance-based 

certification systems; reforming compensation and advancement 

systems; and reforming hiring timelines and systems. 

b) Improving the retention of effective teachers through such activities 

as creating or enhancing opportunities for teachers’ professional 

growth; delivering professional development to teachers that is 

relevant, effective, and outcome-oriented; reforming compensation 

and advancement systems; and improving workplace conditions to 

create opportunities for successful teaching and learning.
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2. Electronic submission of applications through Grants.gov is required; therefore, you 

must submit an electronic application unless you follow the procedures outlined in the 

Federal Register Notice inviting applications for new awards for FY 2015 and qualify for 

one of the exceptions to the electronic submission requirement. If you think you may 

need an exception, you are urged to review the requirement promptly. All documents 

uploaded in Grants.gov should be in PDF format.

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

more thorough discussion is included later in this application package. Grants.gov is 

accessible through its portal page at: www.Grants.gov.

4. We strongly recommend that you submit your application 2-3 days prior to the closing 

date. The time it takes to upload an application will vary depending on the size of your 

application and the speed of your Internet connection. The application submission 

process must be completed prior to the deadline for transmittal of applications. The

application must be submitted by 4:30:00 pm (Washington, D.C. time) on or before the 

deadline date. Late applications will not be accepted. The U.S. Department of 

Education (Department) is required to enforce the established deadline to ensure 

fairness to all applicants. No changes or additions to an application will be accepted 

after the deadline date.

5. The Grants.gov site does not allow applicants to “un-submit” applications. Therefore, 

if you discover that changes or additions are needed once your application has been 

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

Please know that if the Department receives duplicate applications, we will accept and 

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

6. Please review and familiarize yourself with the program authorizing legislation. The 

authorizing legislation will be found in this package.

7. Applicants are required to submit a Program Abstract as well as a Program Profile 

page. Information provided in the Program Abstract is limited to one single-spaced 

page. 

8. In the Program Profile page, you will be required to provide the Department with 

documentation the institution relied upon in determining that at least 40 percent of the 

institution’s undergraduate unduplicated enrollment is Black and at least 50 percent of 

the enrolled undergraduates are low-income individuals. The Department will crossreference, for verification, data reported to the 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 to 

the above references, the institution should justify the differences as a part of their 

eligibility documentation. When providing eligibility documentation to support your PBI 

assurances, please note that the Department does not consider a replication of the 
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instructions sufficient justification. If the Department receives a replica of the 

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

9. All applicants are required to adhere to the page limit for the Program Narrative 

portion of the application. You must limit the section of the narrative that addresses the 

selection criteria to no more than 40 pages. Please note that all pages in the narrative 

section that contain information will be counted as one full page. In addition, as stated 

in the NIA, for the competitive preference priorities, if you are addressing one priority, a

maximum of three additional pages for a total of 43 pages are acceptable for the 

narrative. If you are addressing both priorities, a maximum of six additional pages are 

acceptable for the narrative. The application narrative must not exceed 46 pages. 

Please include a separate heading for each competitive preference priority that you 

address.

10. Please note, “.PDF” (Portable Document) files are the only approved file type 

accepted as detailed in the Notice. 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 Grants.gov webpage for links to conversion 

programs. Please refer to the “Grants.gov Submission Procedures and Tips for 

Applicants” section, found in this application package, for more details. 

Applications submitted to Grants.gov for the Department of Education will be posted 

using Adobe forms. Therefore, applicants will need to download the latest version of 

Adobe Reader (Grants.Gov recommends at least Adobe Reader 10.1.4). Information 

on computer and operating system compatibility with Adobe and links to download the 

latest version are available on Grants.gov. We strongly recommend that you review 

these details on Grants.gov before completing and submitting your application.
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PREDOMINANTLY BLACK INSTITUTIONS PROGRAM

AUTHORIZATION

Title III, Part F, Section 371 of the Higher Education Act of 1965, as amended (HEA).

PROGRAM REGULATIONS

The Education Department General Administrative Regulations (EDGAR) in 34 CFR 

parts 75, 77, 79, 82, 84, 86, 97, 98, and 99; and Uniform Guidance 2 CFR part 200 

PURPOSE

The purpose of the Predominantly Black Institutions (PBI) program is to strengthen 

predominantly Black institutions to carry out programs in the following areas: science, 

technology, engineering, or mathematics (STEM); health education; internationalization 

or globalization; teacher preparation; or improving educational outcomes of African 

American males.

ELIGIBLE APPLICANTS

To receive a grant under this program, institutions of higher education (IHE) must meet 

the following conditions: 

(A) Have an enrollment of needy students as defined by Title III, Part F, Section 371 

of the Higher Education Act of 1965, as amended HEA.

(B) Have an average educational and general expenditure which is low, per full-time 

equivalent undergraduate student in comparison with the average educational 

and general expenditure per full-time equivalent undergraduate student of 

institutions of higher education that offer similar instruction, except that the 

Secretary may apply the waiver requirements described in section 392(b) to this 

subparagraph in the same manner as the Secretary applies the waiver 

requirements to section 312(b)(1)(B);

(C) Have an enrollment of undergraduate students—

(i) that is at least 40 percent Black American students;

(ii) that is at least 1,000 undergraduate students;

(iii) of which not less than 50 percent of the undergraduate students enrolled 

at the institution are low-income individuals or first-generation college 

students (as that term is defined in section 402A(g)); and

(iv) of which not less than 50 percent of the undergraduate students are 

enrolled in an educational program leading to a bachelor’s or associate’s 

degree that the institution is licensed to award by the State in which the 

institution is located;

(D) Is legally authorized to provide, and provides within the State, an educational 

program within the State, an educational program for which the institution of 

higher education awards a bachelor’s degree, or in the case of a junior or 

community college, an associate’s degree;
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(E) Is accredited by a nationally recognized accrediting agency or association 

determined by the Secretary to be a reliable authority as to the quality of training 

offered, or is, according to such an agency or association making reasonable 

progress toward accreditation; and

(F) Is not receiving assistance under Part B of Title III.

ALLOWABLE ACTIVITIES 

Institutions may use Federal funds to establish or strengthen programs in the following

areas: 

1. Science, technology, engineering, or mathematics (STEM);

2. Health education;

3. Internationalization or globalization;

4. Teacher preparation; or

5. Improving educational outcomes of African American males.
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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 – Browser Support

Grants.gov is a Custom Java Application that uses standard web-browsers as the client. Grants.gov 

leverages the latest web technologies such as Ajax which relies extensively on JavaScript, HTML, and 

CSS. Grants.gov recommends you use the most up-to-date web browser possible for the best User 

Experience. If you are unsure about which version of the browser you are using, please check the 

following places: 

Microsoft IE – the About Internet Explorer setting under Help on your toolbar 

Firefox – the About Firefox setting under Help on your toolbar 

Chrome- the About Google Chrome setting under the Customize and Control Google Chrome option 

(located on the far right ) in your toolbar options for your browsers. 

The table below lists supported Web Browsers:

Web Browser Support Comments

Microsoft IE 9/10/11 Supported

Mozilla Firefox Supported

Versions change frequently; we recommend you 

have the latest version. Legacy versions are 

functional but may experience some issues. It is 

recommended to upgrade to the latest version.

Google Chrome Supported

Versions change frequently; we recommend you 

have the latest version. Legacy versions are 

functional but may experience some issues. It is 

recommended to upgrade to the latest version.

Apple Safari Supported

Versions change frequently; we recommend you 

have the latest version. Legacy versions are 

functional but may experience some issues. It is 

recommended to upgrade to the latest version.

For additional information of updates, please see the Grants.gov Browser Support Page. 

http://www.grants.gov/web/grants/support/technical-support/software/browser-support.html
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ATTENTION – Adobe Forms and PDF Files Required

Applications submitted to Grants.gov for the Department of Education will be posted using 

Adobe forms. Therefore, applicants will need to download the latest version of Adobe reader (at

least Adobe Reader 10.1.14). (Please note that in early 2013, Grants.gov discovered an issue 

with the newest version of Adobe Reader XI but it was subsequently resolved.) Information on 

computer and operating system compatibility with Adobe and links to download the latest 

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

that you review these details on www.Grants.gov before completing and submitting your 

application. In addition, applicants should submit their application a day or two in advance of 

the closing date as detailed below. Also, applicants are required to upload their attachments in 

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

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

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

1) REGISTER EARLY – Grants.gov registration involves many steps including registration on 

SAM (www.sam.gov) which may take approximately one week to complete, but could take 

upwards of several weeks to complete, depending upon the completeness and accuracy of 

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

application while completing the registration process, but you cannot submit an application 

until all of the Registration steps are complete. Please note that once your SAM registration 

is active, it will take 24-48 hours for the information to be available in Grants.gov, and before 

you can submit an application through Grants.gov. For detailed information on the 

Registration Steps, please go to: http://www.grants.gov/web/grants/register.html [Note: 

Your organization will need to update its SAM registration annually (formerly Central 

Contractor Registry (CCR).]

Primary information about SAM is available at www.sam.gov . However, to further assist 

you with obtaining and registering your DUNS number and TIN in SAM or updating your 

existing SAM account the Department of Education has prepared a SAM.gov Tip Sheet 

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

2) SUBMIT EARLY – We strongly recommend that you do not wait until the last day

to submit your application. Grants.gov will put a date/time stamp on your 

application and then process it after it is fully uploaded. The time it takes to upload 

an application will vary depending on a number of factors including the size of the 

application and the speed of your Internet connection, and the time it takes Grants.gov 

to process the application will vary as well. If Grants.gov rejects your application (see 

step three below), you will need to resubmit successfully to Grants.gov before 4:30:00 

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

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

application that was used when you registered as an Authorized Organization 

Representative (AOR) on Grants.gov. This DUNS number is typically the same 

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

Central Contractor Registry). If you do not enter the same DUNS number on your 

application as the DUNS you registered with, Grants.gov will reject your 

application.
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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/web/grants/applicants/grant-applicationprocess/application-statuses.html. For more detailed information on troubleshooting 

Adobe errors, you can review the Adobe Reader Error Messages document at 

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

application is late or has been rejected, please see the instructions below. Note: You 

will receive a series of confirmations both online and via e-mail about the status of your 

application. Please do not rely solely on e-mail to confirm whether your application has 

been received timely and validated successfully. 

Submission Problems – What should you do?

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

Grants.gov Customer Support at 1-800-518-4726 or 

http://www.grants.gov/web/grants/about/contact-us.html, or access the Grants.gov SelfService 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 
13

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

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

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

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

Grants.gov. For additional tips related to submitting grant applications, please refer to the 

Grants.gov Submit Application FAQs found on the Grants.gov 

http://www.grants.gov/web/grants/support/general-support/faqs.html. 

Dial-Up Internet Connections

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

longer than when you are connected to the Internet with a high-speed connection, e.g. cable 

modem/DSL/T1. While times will vary depending upon the size of your application, it can take a 

few minutes to a few hours to complete your grant submission using a dial up connection. If 

you do not have access to a high-speed connection and electronic submission is 

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

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

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

instructions.) 

MAC Users

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

the following Grants.gov link: http://www.grants.gov/web/grants/support/technicalsupport/recommended-software.html. 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. 

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 
14

50 characters, contain no spaces, no special characters (example: -, &, *, %, /, #, \) 

including periods (.), blank spaces and accent marks. Applications submitted that do 

not comply with the Grants.gov guidelines will be rejected at Grants.gov and not 

forwarded to the Department. 

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

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

attachments and can result in difficulties opening the files. For reference, the 

average discretionary grant application package totals 1 to 2 MB. Therefore, you 

may want to check the total size of your package before submission.

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

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

to SAM, grant applicants should read this information located on Grants.gov: http://grantsgov.blogspot.com/2012/07/information-about-pendingmigration.html#!/2012/07/information-about-pending-migration.html

Grants.gov Registration Instructions for Organizations

The following instructions provide registration guidance for a company, academic or 

research institution, state, local or tribal government, not-for-profit, or other type of 

organization. Registration is a one-time process that is required before representatives 

of an organization can submit grant application packages electronically through 

Grants.gov. The registration process can take up to four weeks depending on your 

organization and whether all steps are taken in a timely manner. For more information, 

visit http://www07.grants.gov/applicants/get_registered.jsp.

Note: If you are an individual applying for a grant on your own behalf and not on behalf of a 

company, academic or research institution, state, local or tribal government, not-for-profit, 

or other type of organization, visit 

http://www.grants.gov/applicants/individual_registration.jsp. If you apply as an individual to 

a grant designated for organizations, your application will be rejected. 

STEP 1: OBTAIN DATA UNIVERSAL NUMBER SYSTEM (DUNS) NUMBER 

WHY?

The federal government has adopted the use of DUNS numbers to track how 

federal grant money is allocated. DUNS numbers identify your organization. 

HOW?

Ask the grant administrator, chief financial officer, or authorizing official of your 

organization to identify your DUNS number. 

If your organization does not know its DUNS number or needs to register for one, 

visit Dun & Bradstreet at http://fedgov.dnb.com/webform. 
15

TIME REQUIRED?

Same day. If requested by phone (1-866-705-5711), DUNS is provided immediately. 

STEP 2: REGISTER WITH SYSTEM FOR AWARD MAINTENANCE (SAM)

WHY?

Registering with SAM is required for organizations to use Grants.gov. 

HOW?

Ask the grant administrator, chief financial officer, or authorizing official of your 

organization if your organization has registered with SAM. 

If your organization is not registered, apply online at www.sam.gov.

When your organization registers with SAM, you must designate an E-Business 

Point of Contact (E-Biz POC). This person will create a special password called a

Marketing Partner Identification Number (MPIN). 

This MPIN gives the E-Biz POC authority to designate which staff members from 

your organization are allowed to submit applications electronically through 

Grants.gov. These designated staff members are called Authorized 

Organization Representatives (AORs). 

TIME REQUIRED?

If your organization already has an Employment Identification Number (EIN) or 

Taxpayer Identification Number (TIN), allow three to five business days to 

process the SAM registration.

If your organization does not have an EIN or TIN, then please allow two weeks for

obtaining the EIN or TIN from the Internal Revenue Service (IRS) if requested via 

phone or Internet. 

Your organization needs to renew its SAM registration once a year, which may take up 

to five business days. You will not be able to move on to Step 3 until this step is 

completed.

STEP 3: CREATE GRANTS.GOV USERNAME & PASSWORD 

WHY?

An AOR (Authorized Organization Representative) username and password 

serves as an "electronic signature" when submitting a Grants.gov application. 

HOW?

To create a username and password, AORs must complete a profile on Grants.gov 

(using their organization’s DUNS number) at 

https://apply07.grants.gov/apply/OrcRegister. 
16

TIME REQUIRED?

Same day. After the AOR has completed the profile, he/she will be prompted to create 

a username and password that will allow the user to log in and check their approval 

status immediately.

STEP 4: AOR AUTHORIZATION 

WHY?

Only the E-Biz POC can approve AORs, who then have the ability to submit 

applications on behalf of the organization. 

HOW?

When an AOR registers with Grants.gov, that organization's E-Biz POC is notified 

by email. 

The E-Biz POC must then log in to Grants.gov (using the organization’s DUNS 

number for the username and the MPIN password obtained in Step 2) and 

approve the AOR, thereby giving him or her permission to submit applications. 

When an E-Biz POC approves an AOR, Grants.gov will send the AOR a 

confirmation email. 

TIME REQUIRED?

This depends on how long it takes the E-Biz POC to log in and approve the AOR. 

Once the approval is completed, the AOR can immediately submit an application.

STEP 5: TRACK AOR STATUS 

WHY?

To verify that the organization’s E-Biz POC has approved the AOR. 

HOW?

AORs can log in using their username and password (obtained in Step 3) to check 

if they have been approved by the E-Biz POC. 

TIME REQUIRED?

Logging in as an applicant is instantaneous. The approval process depends on 

how long it takes the E-Biz POC to log in and approve the AOR.
17

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 

via mail, commercial carrier or by hand delivery.

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

deadline requirements:

Applications Submitted Electronically:

You must submit your grant application through the Internet using the Grants.gov Apply site at 

www.Grants.gov by 4:30:00 p.m. (Washington, D.C. time) on the application deadline date.

Submission of Paper Applications by Mail:

If you qualify for an exception to the electronic submission requirement, you may 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 84.382A)

LBJ Basement Level 1

400 Maryland Avenue, SW.

Washington, DC 20202-4260

You must show proof of mailing consisting of one of the following:

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

(2) A legible mail receipt with the date of mailing stamped by the U.S. Postal Service.

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

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

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

following as proof of mailing:
18

(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 84.382A)

550 12th Street, SW.

Room 7039, Potomac Center Plaza

Washington, DC 20202-4260 

Application Control Center Hours of Operation

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.
19

4000-01-U

DEPARTMENT OF EDUCATION

Applications for New Awards; Predominantly Black Institutions 

Competitive Grant Program

AGENCY: Office of Postsecondary Education, Department of 

Education

ACTION: Notice.

Overview Information:

Predominantly Black Institutions Competitive Grant Program (PBI 

Program) 

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

2015.

Catalog of Federal Domestic Assistance (CFDA) Number: 84.382A.

Dates:

Applications Available: [INSERT DATE OF PUBLICATION IN THE 

FEDERAL REGISTER].

Deadline for Transmittal of Applications: [INSERT DATE 45 DAYS 

AFTER DATE OF PUBLICATION IN THE FEDERAL REGISTER].

Deadline for Intergovernmental Review: [INSERT DATE 105 DAYS 

AFTER DATE OF PUBLICATION IN THE FEDERAL REGISTER].

Full Text of Announcement
20

I. Funding Opportunity Description

Purpose of Program: The purpose of the PBI Program is to 

strengthen Predominantly Black Institutions (PBIs) to carry out 

programs in the following areas: science, technology, 

engineering, or mathematics (STEM); health education; 

internationalization or globalization; teacher preparation; or 

improving educational outcomes of African-American males.

Background: We encourage applicants to read carefully the 

Selection Criteria section of this notice. Consistent with the 

Department’s increasing emphasis in recent years on promoting 

evidence-based practices through our grant competitions, the 

Secretary will evaluate applications on the extent to which the 

proposed project is supported by a logic model that meets the 

evidence standard of “strong theory” (as defined in this 

notice). Resources to assist applicants in creating a logic 

model can be found here: 

http://ies.ed.gov/ncee/edlabs/regions/pacific/pdf/REL_2014007.pd

f. 

Priorities: This notice contains two competitive preference 

priorities. These priorities are from the Department’s notice 

of final supplemental priorities and definitions for 

discretionary grant programs (Supplemental Priorities), 
21

published in the Federal Register on December 10, 2014 (79 FR 

73425). 

Competitive Preference Priorities: For FY 2015 and any 

subsequent year in which we make awards from the list of 

unfunded applicants from this competition, these priorities are 

competitive preference priorities. Under 34 CFR 

75.105(c)(2)(i), we award an application up to three additional 

points for each priority, for a total of up to six additional 

points, depending on how well the application meets each of 

these priorities.

These priorities are:

Competitive Preference Priority 1: Increasing 

Postsecondary Access, Affordability, and Completion (up to 3 

points).

Projects that are designed to address one or both of the 

following:

(a) Reducing the net cost, median student loan debt, 

and likelihood of student loan default for high-need 

students who enroll in college, other postsecondary 

education, or other career and technical education.

(b) Supporting the development and implementation of 

high-quality online or hybrid credit-bearing and accessible 
22

learning opportunities that reduce the cost of higher education, 

reduce time to degree completion, or allow students to progress 

at their own pace.

Competitive Preference Priority 2: Improving Teacher 

Effectiveness and Promoting Equitable Access to Effective 

Teachers (up to 3 points).

 Projects that are designed to increase the number and 

percentage of effective teachers in lowest-performing schools, 

schools in rural local educational agencies, or schools with 

high concentrations of students from low-income families and 

minority students, through such activities as:

 (a) Improving the preparation, recruitment, selection, and 

early career development of teachers; implementing performancebased certification systems; reforming compensation and 

advancement systems; and reforming hiring timelines and systems. 

 (b) Improving the retention of effective teachers through 

such activities as creating or enhancing opportunities for 

teachers’ professional growth; delivering professional 

development to teachers that is relevant, effective, and 

outcome-oriented; reforming compensation and advancement 

systems; and improving workplace conditions to create 

opportunities for successful teaching and learning.
23

Definitions: The following definitions are from the 

Supplemental Priorities and from 34 CFR 77.1 and apply to the

priorities and selection criteria in this notice:

High-minority school means a school as that term is defined 

by a local educational agency (LEA), which must define the term 

in a manner consistent with its State's Teacher Equity Plan, as 

required by section 1111(b)(8)(C) of the Elementary and 

Secondary Education Act of 1965, as amended (ESEA). The 

applicant must provide the definition(s) of high-minority 

schools used in its application.

High-need students means students who are at risk of 

educational failure or otherwise in need of special assistance 

and support, such as students who are living in poverty, who 

attend high-minority schools, who are far below grade level, who 

have left school before receiving a regular high school diploma, 

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

are homeless, who are in foster care, who have been 

incarcerated, who have disabilities, or who are English 

learners. 

Logic model (also referred to as theory of action) means a 

well-specified conceptual framework that identifies key 

components of the proposed process, product, strategy, or 
24

practice (i.e., the active “ingredients” that are hypothesized 

to be critical to achieving the relevant outcomes) and describes 

the relationships among the key components and outcomes, 

theoretically and operationally. 

Note: In developing logic models, applicants may want to use 

resources such as the Pacific Education Laboratory’s Education 

Logic Model Application (www.relpacific.mcrel.org/PERR.html or 

http://files.eric.ed.gov/fulltext/ED544779.pdf) to help design 

their logic models. 

Lowest-performing schools means—

For a State with an approved request for flexibility under 

the ESEA, priority schools or Tier I and Tier II schools that 

have been identified under the School Improvement Grants (SIG) 

program.

For any other State, Tier I and Tier II schools that have 

been identified under the SIG program.

Persistently-lowest achieving school means, as determined 

by the State--

(a)(1) Any Title I school that has been identified for 

improvement, corrective action, or restructuring under section 

1116 of the ESEA and that--

(i) Is among the lowest-achieving five percent of Title I 
25

schools in improvement, corrective action, or restructuring or 

the lowest-achieving five Title I schools in improvement, 

corrective action, or restructuring in the State, whichever 

number of schools is greater; or

(ii) Is a high school that has had a graduation rate, as 

defined in 34 CFR 200.19(b), that is less than 60 percent over a 

number of years; and

(2) Any secondary school that is eligible for, but does 

not receive, Title I funds that--

(i) Is among the lowest-achieving five percent of 

secondary schools or the lowest-achieving five secondary schools 

in the State that are eligible for, but do not receive, Title I 

funds, whichever number of schools is greater; or

(ii) Is a high school that has had a graduation rate, as 

defined in 34 CFR 200.19(b), that is less than 60 percent over a 

number of years.

(b) To identify the lowest-achieving schools, a State must 

take into account both--

(i) The academic achievement of the “all students” group 

in a school in terms of proficiency on the State's assessments 

under section 1111(b)(3) of the ESEA, in reading/language arts 

and mathematics combined; and
26

(ii) The school's lack of progress on those assessments 

over a number of years in the “all students” group.

Priority schools means schools that, based on the most 

recent data available, have been identified as among the lowestperforming schools in the State. The total number of priority 

schools in a State must be at least five percent of the Title I 

schools in the State. A priority school is--

(a) A school among the lowest five percent of Title I 

schools in the State based on the achievement of the “all 

students” group in terms of proficiency on the statewide 

assessments that are part of the state educational agency’s 

(SEA's) differentiated recognition, accountability, and support 

system, combined, and has demonstrated a lack of progress on 

those assessments over a number of years in the “all students” 

group;

(b) A Title I-participating or Title I-eligible high 

school with a graduation rate that is less than 60 percent over 

a number of years; or

(c) A Tier I or Tier II school under the SIG program that 

is using SIG funds to implement a school intervention model.

Regular high school diploma means the standard high school 

diploma that is awarded to students in the State and that is 
27

fully aligned with the State's academic content standards or a 

higher diploma and does not include a General Education 

Development credential, certificate of attendance, or any 

alternative award.

Rural local educational agency means an LEA that is 

eligible under the Small Rural School Achievement program or the 

Rural and Low-Income School program authorized under title VI, 

part B of the ESEA. Eligible applicants may determine whether a 

particular LEA is eligible for these programs by referring to 

information on the Department's Web site at 

www2.ed.gov/nclb/freedom/local/reap.html.

Strong theory means a rationale for the proposed process, 

product, strategy, or practice that includes a logic model. 

Tier I schools means--

(a) A Title I school that has been identified as in 

improvement, corrective action, or restructuring under section 

1116 of the ESEA and that is identified by the SEA under 

paragraph (a)(1) of the definition of persistently-lowest 

achieving school.

(b) An elementary school that is eligible for title I, 

part A funds that—
28

(1)(i) Has not made adequate yearly progress for at least

two consecutive years; or

(ii) Is in the State's lowest quintile of performance 

based on proficiency rates on the State's assessments under 

section 1111(b)(3) of the ESEA in reading/language arts and 

mathematics combined; and

(2) Is no higher achieving than the highest-achieving 

school identified by the SEA under paragraph (a)(1)(i) of the 

definition of persistently-lowest achieving school.

Tier II schools means—

(a) A secondary school that is eligible for, but does not 

receive, title I, part A funds and is identified by the SEA 

under paragraph (a)(2) of the definition of persistently-lowest 

achieving schools.

(b) A secondary school that is eligible for title I, part 

A funds that—

(1)(i) Has not made adequate yearly progress for at least 

two consecutive years; or

(ii) Is in the State's lowest quintile of performance 

based on proficiency rates on the State's assessments under 

section 1111(b)(3) of the ESEA, in reading/language arts and 

mathematics combined; and
29

(2)(i) Is no higher achieving than the highest-achieving 

school identified by the SEA under paragraph (a)(2)(i) of the 

definition of persistently-lowest achieving school; or

(ii) Is a high school that has had a graduation rate, as 

defined in 34 CFR 200.19(b), that is less than 60 percent over a 

number of years.

Program Authority: 20 U.S.C. 1067q.

Applicable Regulations: (a) The Education Department General 

Administrative Regulations in 34 CFR parts 75, 77, 79, 82, 84, 

86, 97, 98, and 99. (b) The Office of Management and Budget 

Guidelines to Agencies on Governmentwide Debarment and 

Suspension (Nonprocurement) in 2 CFR part 180, as adopted and 

amended as regulations of the Department in 2 CFR part 3485. 

(c) The Uniform Administrative Requirements, Cost Principles, 

and Audit Requirements for Federal Awards in 2 CFR part 200, as 

adopted and amended in 2 CFR part 3474. (d) The Supplemental 

Priorities. 

II. Award Information

Type of Award: Discretionary grants.

Estimated Available Funds: $13,920,000. 

Contingent upon the availability of funds and the quality 

of applications, we may make additional awards in FY 2016 from 
30

the list of unfunded applicants from this competition. 

Estimated Average Size of Awards: $600,000.

Estimated Number of Awards: 23.

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

notice.

Project Period: Up to 60 months.

III. Eligibility Information

1. Eligible Applicants: To qualify as an eligible 

institution under the PBI Program, an institution of higher 

education (IHE) must--

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

section 371(c)(3) of the HEA (20 U.S.C. 1067q(c)(3)). 

The term enrollment of needy students means the enrollment 

at the eligible IHE with respect to which not less than 50 

percent of the undergraduate students enrolled in an academic 

program leading to a degree--

(i) In the second fiscal year preceding the fiscal year 

for which the determination is made, were Federal Pell Grant 

recipients for such year;

(ii) Come from families that receive benefits under a 

means-tested Federal benefit program (as defined in section 

371(c)(5) of the HEA, 20 U.S.C. 1067q(c)(5));
31

(iii) Attended a public or nonprofit private secondary 

school that--

(A) Is in the school district of an LEA that was eligible 

for assistance under part A of title I of the ESEA (20 U.S.C. 

6311 et seq.), for any year during which the student attended 

such secondary school; and

(B) For the purpose of this paragraph and for that year, 

was determined by the Secretary (pursuant to regulations and 

after consultation with the SEA of the State in which the school 

is located) to be a school in which the enrollment of children 

counted under a measure of poverty described in section 

1113(a)(5) of the ESEA (20 U.S.C. 6313(a)(5)) exceeds 30 percent 

of the total enrollment of such school; or

(iv) Are first-generation college students, as that term 

is defined in section 402A(h) of the HEA (20 U.S.C. 1070a11(h)), and a majority of such first-generation college students 

are low-income individuals, as that term is defined in section 

402A(h) of the HEA (20 U.S.C. 1070a-11(h));

(b) Have an average educational and general expenditure 

that is low, per full-time equivalent (FTE) undergraduate 

student, in comparison with the average educational and general 

expenditure per FTE undergraduate student of IHEs that offer 
32

similar instruction. The Secretary may waive this requirement, 

in accordance with section 392(b) of the HEA (20 U.S.C. 

1068a(b)), in the same manner as the Secretary applies the 

waiver requirements to grant applicants under section 

312(b)(1)(B) of the HEA (20 U.S.C. 1058(b)(1)(B));

(c) Have an enrollment of undergraduate students--

(i) That is at least 40 percent Black American students;

(ii) That is at least 1,000 undergraduate students;

(iii) Of which not less than 50 percent of the 

undergraduate students enrolled at the institution are lowincome individuals, as that term is defined in section 402A(h) 

of the HEA (20 U.S.C. 1070a-11(h)), or first-generation college 

students, as that term is defined in section 402A(h) of the HEA 

(20 U.S.C. 1070a-11(h)); and

(iv) Of which not less than 50 percent of the 

undergraduate students are enrolled in an educational program 

leading to a bachelor’s or associate’s degree that the 

institution is licensed to award by the State in which the 

institution is located;

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

the State an educational program for which the IHE awards a 
33

bachelor’s degree or, in the case of a junior or community 

college, an associate’s degree;

(e) Be accredited by a nationally recognized accrediting 

agency or association determined by the Secretary to be a 

reliable authority as to the quality of training offered, or be, 

according to such an agency or association, making reasonable 

progress toward accreditation; and

(f) Not be receiving assistance under part B of title III 

or part A of title V of the HEA or an annual authorization of 

appropriations under the Act of March 2, 1867 (20 U.S.C. 123).

Note: The notice for applying for designation as an eligible 

institution was published on November 3, 2014 (75 FR 65197) and 

applications were due on December 22, 2014. Only institutions 

that submitted applications by the deadline date and that the 

Department determined are eligible may apply for a grant.

Applicants must provide, as an attachment to the 

application, the documentation the institution relied upon to 

determine that at least 40 percent of the institution’s 

undergraduate enrollment are Black American students. The 40 

percent requirement applies only to undergraduate Black American 

students and is calculated based upon unduplicated undergraduate 

enrollment. Instructions for formatting and submitting the 
34

verification documentation are in the application package for 

this competition.

 2. Cost Sharing or Matching: This program does not 

require cost sharing or matching.

IV. Application and Submission Information

1. Address to Request Application Package: You can obtain 

an application via the Internet at Grants.gov. If you do not 

have access to the Internet, please contact Bernadette D. Miles, 

U.S. Department of Education, 1990 K Street, NW., Washington, DC 

20006-8513. Telephone: (202) 502-7616.

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.
35

Page Limit: The application narrative (Part III of the 

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

criteria and the competitive preference priorities that 

reviewers use to evaluate your application. We have established 

the following mandatory page limits. You must limit the section 

of the application narrative that addresses:

The selection criteria to no more than 40 pages.

A competitive preference priority, if you are addressing 

one or both, to no more than three pages (for a total of six 

pages if you address both).

Accordingly, under no circumstances may the application 

narrative exceed 46 pages. Please include a separate heading 

for each competitive preference priority that you address.

For the purpose of determining compliance with the page 

limit, each page on which there are words will be counted as one 

full page. Applicants must use the following standards:

• A “page” is 8.5" x 11", on one side only, with 1"

margins at the top, bottom, and both sides. Page numbers and an 

identifier may be within the 1" margins.

• 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 
36

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

single-spaced. Charts, tables, figures, and graphs in the 

application narrative count toward the page limit.

• Use a font that is either 12 point or larger, or no 

smaller than 10 pitch (characters per inch). However, you may 

use a 10-point font in charts, tables, figures, graphs, 

footnotes, and endnotes.

• 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.

The page limit does not apply to Part I, the cover sheet SF 

424; Part II, the budget section, including the narrative budget 

justification; or Part IV, the assurances and certifications. 

The page limit also does not apply to the table of contents, the 

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

of support. If you include any attachments or appendices not 

specifically requested, these items will be counted as part of 

the application narrative for purposes of the page-limit 

requirement. You must include your complete response to the 

selection criteria and priorities in the application narrative.
37

We will reject your application if you exceed the page 

limit.

3. Submission Dates and Times:

Applications Available: [INSERT DATE OF PUBLICATION IN THE 

FEDERAL REGISTER].

Deadline for Transmittal of Applications: [INSERT DATE 45 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 the person listed under For Further Information Contact

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

accommodation or auxiliary aid to an individual with a 

disability in connection with the application process, the 
38

individual's application remains subject to all other 

requirements and limitations in this notice.

Deadline for Intergovernmental Review: [INSERT DATE 105 DAYS 

AFTER DATE OF PUBLICATION IN THE FEDERAL REGISTER].

4. Intergovernmental Review: This program is subject to 

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

Information about Intergovernmental Review of Federal Programs 

under Executive Order 12372 is in the application package for 

this 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, 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 System 

for Award Management (SAM) (formerly the Central Contractor 

Registry (CCR)), the Government’s primary registrant database;

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

and
39

d. Maintain an active SAM registration with current 

information while your application is under review by the 

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

period.

You can obtain a DUNS number from Dun and Bradstreet. A 

DUNS number can be created within one to two business days.

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

organization, you can obtain a TIN from the Internal Revenue 

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

the Internal Revenue Service or the Social Security 

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

weeks for your TIN to become active.

The SAM registration process can take approximately seven 

business days, but may take upwards of several weeks, depending 

on the completeness and accuracy of the data entered into the 

SAM database by an entity. Thus, if you think you might want to 

apply for Federal financial assistance under a program 

administered by the Department, please allow sufficient time to 

obtain and register your DUNS number and TIN. We strongly 

recommend that you register early.

Note: Once your SAM registration is active, you will need to 

allow 24 to 48 hours for the information to be available in 
40

Grants.gov and before you can submit an application through 

Grants.gov.

If you are currently registered with SAM, 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.

Information about SAM is available at www.SAM.gov. To 

further assist you with obtaining and registering your DUNS 

number and TIN in SAM or updating your existing SAM account, we 

have prepared a SAM.gov Tip Sheet, which you can find at: 

http://www2.ed.gov/fund/grant/apply/sam-faqs.html.

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/web/grants/register.html.

7. Other Submission Requirements: Applications for grants 

under this competition must be submitted electronically unless 

you qualify for an exception to this requirement in accordance 

with the instructions in this section.
41

a. Electronic Submission of Applications.

Applications for grants under the PBI Program, CFDA number 

84.382A, must be submitted electronically using the 

Governmentwide 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 email 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 the PBI 

Program at www.Grants.gov. You must search for the downloadable 

application package for this competition by the CFDA number. Do 

not include the CFDA number's alpha suffix in your search (e.g., 

search for 84.382, not 84.382A).
42

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 
43

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 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 
44

assurances and certifications.

 You must upload any narrative sections and all other 

attachments to your application as files in a PDF (Portable 

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

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

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

detailed information on how to attach files is in the 

application instructions.

 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 email. 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 
45

on forms at a later date.

Application Deadline Date Extension in Case of Technical Issues 

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

submitting your application through Grants.gov, please contact 

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

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

a record of it.

If you are prevented from electronically submitting your 

application on the application deadline date because of 

technical problems with the Grants.gov system, we will grant you 

an extension until 4:30:00 p.m., Washington, DC time, the 

following business day to enable you to transmit your 

application electronically or by hand delivery. You also may 

mail your application by following the mailing instructions 

described elsewhere in this notice.

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 
46

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

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

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

contact you after a determination is made on whether your 

application will be accepted.

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

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

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

failed to fully register to submit your application to 

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

the technical problem you experienced is unrelated to the 

Grants.gov system.

Exception to Electronic Submission Requirement: You qualify for 

an exception to the electronic submission requirement, and may 

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

submit an application through the Grants.gov system because—

 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 
47

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 

prevents you from using the Internet to submit your 

application.

If you mail your written statement to the Department, it 

must be postmarked no later than two weeks before the 

application deadline date. If you fax your written statement to 

the Department, we must receive the faxed statement no later 

than two weeks before the application deadline date.

Address and mail or fax your statement to: Bernadette D. 

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

6025, Washington, DC 20006-8513. Fax: (202) 502-7861.

Your paper application must be submitted in accordance with 

the mail or hand delivery instructions described in this notice.

b. Submission of Paper Applications by Mail.

If you qualify for an exception to the electronic 

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

Service or a commercial carrier) your application to the 

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

application, on or before the application deadline date, to the 
48

Department at the following address: 

U.S. Department of Education

Application Control Center

Attention: (CFDA Number 84.382A)

LBJ Basement Level 1

400 Maryland Avenue, SW.

Washington, DC 20202-4260

You must show proof of mailing consisting of one of the 

following:

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

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

stamped by the U.S. Postal Service.

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

commercial carrier.

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

of the U.S. Department of Education.

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

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

mailing:

(1) A private metered postmark.

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

Service.

If your application is postmarked after the application 

deadline date, we will not consider your application.

Note: The U.S. Postal Service does not uniformly provide a 
49

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 84.382A)

550 12th Street, SW.

Room 7039, 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 
50

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 from 34 CFR 75.210. Applicants must address each of 

the following selection criteria. We will award up to 100 

points to an application under the selection criteria; the total 

possible points for each selection criterion are noted in 

parentheses.

a.Need for project. (Maximum 15 points) The Secretary 

considers the need for the proposed project. In determining the 

need for the proposed project, the Secretary considers:

1. The magnitude of the need for the services to be 

provided or the activities to be carried out by the proposed

project. (5 points)

2. The extent to which the proposed project will focus on 

serving or otherwise addressing the needs of disadvantaged 

individuals. (5 points)

3. The extent to which specific gaps or weaknesses in 

services, infrastructure, or opportunities have been identified 
51

and will be addressed by the proposed project, including the 

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

b. Quality of the project design. (Maximum 30 points) 

The Secretary considers the quality of the design of the 

proposed project. In determining the quality of the design of 

the proposed project, the Secretary considers the following 

factors:

1. The extent to which the goals, objectives, and outcomes 

to be achieved by the proposed project are clearly specified and 

measurable. (10 points)

2. The extent to which the design of the proposed project 

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

the target population or other identified needs. (10 points)

3.The extent to which the proposed project is supported by 

strong theory (as defined in this notice). (10 points)

c. Quality of project services. (Maximum 10 points) The 

Secretary considers the quality of the services to be provided 

by the proposed project. In determining the quality of the

services to be provided by the proposed project, the Secretary 

considers the quality and sufficiency of strategies for ensuring 

equal access and treatment for eligible project participants who 

are members of groups that have traditionally been 
52

underrepresented based on race, color, national origin, gender, 

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

1. The extent to which the services to be provided by the 

proposed project are appropriate to the needs of the intended 

recipients or beneficiaries of those services. (5 points)

2. The extent to which the services to be provided by the 

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

effective practice. (5 points)

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

Secretary considers the quality of the personnel who will carry 

out the proposed project. In determining the quality of project 

personnel, the Secretary considers the extent to which the 

applicant encourages applications for employment from persons 

who are members of groups that have traditionally been 

underrepresented based on race, color, national origin, gender, 

age, or disability. 

 In addition, the Secretary considers:

1. The qualifications, including relevant training and 

experience, of the project director or principal investigator. 

(5 points)

2. The qualifications, including relevant training and 

experience, of key project personnel. (5 points)
53

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

Secretary considers the adequacy of resources for the proposed 

project. In determining the adequacy of resources for the 

proposed project, the Secretary considers:

1. The extent to which the budget is adequate to support 

the proposed project. (3 points)

2. The extent to which the costs are reasonable in 

relation to the objectives, design, and potential significance 

of the proposed project. (2 points)

f. Quality of the management plan. (Maximum 15 points) 

The Secretary considers the quality of the management plan for 

the proposed project. In determining the quality of the 

management plan for the proposed project, the Secretary 

considers:

1. The adequacy of the management plan to achieve the 

objectives of the proposed project on time and within budget, 

including clearly defined responsibilities, timelines, and 

milestones for accomplishing project tasks. (5 points)

2. The adequacy of procedures for ensuring feedback and 

continuous improvement in the operation of the proposed project. 

(5 points)
54

3. The adequacy of mechanisms for ensuring high-quality 

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

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

The Secretary considers the quality of the evaluation to be 

conducted of the proposed project. In determining the quality 

of the evaluation, the Secretary considers:

 1. The extent to which the methods of evaluation are 

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

and outcomes of the proposed project. (5 points)

2. The extent to which the methods of evaluation include the 

use of objective performance measures that are clearly related 

to the intended outcomes of the project and will produce 

quantitative and qualitative data to the extent possible. (5 

points)

3. The extent to which the methods of evaluation will 

provide performance feedback and permit periodic assessment of 

progress toward achieving intended outcomes. (5 points)

2. Review and Selection Process: We remind potential 

applicants that in reviewing applications in any discretionary 

grant competition, the Secretary may consider, under 34 CFR 

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

out a previous award, such as the applicant’s use of funds, 
55

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).

 3. Special Conditions: Under 2 CFR 3474.10, the Secretary 

may impose special conditions and, in appropriate circumstances, 

high-risk 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 2 CFR part 200, subpart D; 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); or we may send you an email 
56

containing a link to access an electronic version of your 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 

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, 
57

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). Please see the application package for details of 

annual and final reporting requirements. For specific 

requirements on reporting, please go to 

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

4. Performance Measures: The Secretary has established the 

following key performance measures for assessing the 

effectiveness of the PBI Program: 

(a) The percentage of change in the number of full-time, 

degree-granting undergraduate students enrolled at PBIs. 

(b) The percentage of first-time, full-time, degree-seeking 

undergraduate students at four-year PBIs 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 PBI. 

(c) The percentage of first-time, full-time, degree-seeking 

undergraduate students at two-year PBIs 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 PBI. 
58

(d) The percentage of first-time, full-time, degree-seeking 

undergraduate students enrolled at four-year PBIs who graduate 

within six years of enrollment. 

(e) The percentage of first-time, full-time, degree-seeking 

undergraduate students enrolled at two-year PBIs who graduate 

within three years of enrollment.

5. Continuation Awards: In making a continuation award 

under 34 CFR 75.253, the Secretary considers, among other 

things: whether a grantee has made substantial progress in 

achieving the goals and objectives of the project; whether the 

grantee has expended funds in a manner that is consistent with 

its approved application and budget; and, if the Secretary has 

established performance measurement requirements, the 

performance targets in the grantee’s approved application. In 

making a continuation award, the Secretary also considers 

whether the grantee is operating in compliance with the 

assurances in its approved application, including those 

applicable to Federal civil rights laws that prohibit 

discrimination in programs or activities receiving Federal 

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

106.4, 108.8, and 110.23).

VII. Agency Contacts
59

For Further Information Contact: Bernadette D. Miles, U.S. 

Department of Education, 1990 K Street, NW., room 6025, 

Washington, DC 20006-8513. Telephone: (202) 502-7616 or by 

email: bernadette.miles@ed.gov. 

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

800-877-8339.

VIII. Other Information

Accessible Format: Individuals with disabilities can obtain 

this document and a copy of the application package in an 

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

compact disc) on request to the program contact person listed 

under For Further Information Contact in section VII of this 

notice.

Electronic Access to This Document: The official version of 

this document is the document published in the Federal Register. 

Free Internet access to the official edition of the Federal 

Register and the Code of Federal Regulations is available via 

the Federal Digital System at: www.gpo.gov/fdsys. At this site 

you can view this document, as well as all other documents of 

this Department published in the Federal Register, in text or 

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

Adobe Acrobat Reader, which is available free at the site.
60

You may also access documents of the Department published in the 

Federal Register by using the article search feature 

atwww.federalregister.gov. Specifically, through the advanced 

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

documents published by the Department.

Delegation of Authority: The Secretary of Education has 

delegated authority to Jamienne S. Studley, Deputy Under 

Secretary, to perform the functions and duties of the Assistant 

Secretary for Postsecondary Education.

Dated: 

_____________________________

Jamienne S. Studley,

Deputy Under Secretary.
61

AUTHORIZING LEGISLATION 

The Predominantly Black Institutions (PBI) program is authorized under Title III, 

Part F, Section 371 of the Higher Education Act of 1965, as amended. Legislation 

governing the PBI program can be accessed from the following Web site:

http://www2.ed.gov/programs/pbi/legislation.html
62

SUPPLEMENTAL INFORMATION

The following information supplements the information provided in the “Dear 

Applicant” letter and the Federal Register. 

1. Certification of PBI Eligibility

All applicant institutions under the Predominantly Black Institutions (PBI) program 

must submit the Program Profile Sheet, which requires enrollment data that 

certifies their eligibility to be considered for funding.

2. Estimated Funding and Project Period

Estimated Available Funds for FY 2015: $13,920,000

Estimated Size of Awards: $600,000 per year

Estimated Number of New Awards: 23

Project Period for New Awards: Up to 60 months

The U.S. Department of Education is not bound by these estimates. 

3. Intergovernmental Review of Federal Programs

Intergovernmental Review of Federal Programs was issued to foster an 

intergovernmental partnership and to strengthen federalism by relying on state 

and local processes for the coordination and review of proposed Federal financial 

assistance.

Applicants must contact the appropriate State Single Point of Contact to find out 

about, and to comply with, the State's process under Executive Order 12372. A 

listing of the Single Point of Contact for each State may be viewed at: 

http://www.whitehouse.gov/OMB/grants/spoc.

4. Appendices to Applications

Please limit the appendices to the following:

1. Curricula vitae of key personnel; including the U.S.-based project personnel 

and the overseas center personnel; language program staff; biographical 

information for consultants, evaluators, and other persons who are vital to the 

proposed project.

2. Position descriptions for positions proposed for the funding cycle.

3. The Program Profile form must be signed by the authorized representative of 

the applicant, ensuring that the institution meets the PBI provisions specified 

under Title III, Part F, Section 371 of the HEA. 

.

5. Evaluation of Applicants 

A three-member panel of non-Federal reviewers evaluates each application. 

Each reviewer assigns points for each selection criterion and prepares evaluation 

comments.
63

6. Selection Criteria

The selection criteria in EDGAR 34 CFR Part 75, section 75.210 are used to 

evaluate applications. The selection criteria and maximum possible points are 

included in the Notice.

7. Notice to Successful Applicants

The Department’s Office of Legislation and Congressional Affairs will inform the 

Congress regarding applications approved for new PBI program grants. 

Successful applicants will receive award notices by e-mail shortly after the 

Congress is notified. No funding information will be released before the 

Congress is notified.

8. Notice to Unsuccessful Applicants

Unsuccessful applicants will be notified in writing following the notice to 

successful applicants.

9. Annual Performance Report Requirements 

If you receive a new grant award under the PBI program, you will be required to 

complete an interim performance report after six months into the grant period, an 

annual report each following spring, and a final performance report at the end of 

the grant period.

10. Contact Information

For PBI program-related questions and assistance, please contact:

Bernadette D. Miles, Program Officer at (202) 502-7616 or via e-mail at: 

bernadette.miles@ed.gov. 

For grants.gov related questions and assistance, please contact:

Support Desk: Grants.gov Contact Center

Telephone or Email: 1-800-518-4726 or 

http://www.grants.gov/web/grants/about/contact-us.htmlMonday – Friday, 

6:00 A.M. - 4:00 P.M. Eastern Time
64

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.

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# [84.382A], U.S. Department of Education, room 7E200, 

400 Maryland Avenue, S.W., 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 4:30:00 p.m. 

(Eastern Standard 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.
65

GENERAL EDUCATION PROVISIONS ACT (GEPA)

SECTION 427

Section 427 of GEPA 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 programs for students, teachers, and other 

program beneficiaries with special needs. The provision allows an applicant discretion 

in developing the required description. The statute highlights six types of barriers that 

can impede equitable access or participation: 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 must include information in their applications to address this provision 

in order to receive funding under this program.

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

ED GEPA 427 Form downloaded from Grants.gov. 
66

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 decisionmaking 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 

2014-2018. 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: Postsecondary Education, Career and Technical Education, and Adult Education.

Increase college access, affordability, quality, and completion by improving postsecondary 

education and lifelong learning opportunities for youths and adults.

Goal 2: Elementary and Secondary Education.

Improve the elementary and secondary education system’s ability to consistently deliver 

excellent instruction aligned with rigorous academic standards while providing effective support 

services to close achievement and opportunity gaps, and ensure all students graduate high 

school college- and career-ready.

Goal 3: Early Learning.

Improve the health, social-emotional, and cognitive outcomes for all children from birth through 

3rd grade, so that all children, particularly those with high needs, are on track for graduating 

from high school college- and career-ready.

Goal 4: Equity.

Increase educational opportunities for and reduce discrimination against underserved students 

so that all students are well-positioned to succeed.

Goal 5: Continuous Improvement of the U.S. Education System.

Enhance the education system’s ability to continuously improve through better and more 

widespread use of data, research and evaluation, evidence, transparency, innovation, and 

technology.

Goal 6: U.S Department of Education Capacity.

Improve the organizational capacities of the Department to implement this strategic plan.
67

What are the performance indicators for the Predominantly Black Institutions 

(PBI) Competitive grant program?

The performance indicators for the PBI program are part of the Department’s plan for 

meeting Goal 1. 

Program Goal: 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 percentage change of the number of full-time degree-granting 

undergraduate students enrolled at PBIs.

 The percentage of first-time, full-time, degree-seeking undergraduate students 

at four-year PBIs 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 

PBI.

 The percentage of first-time, full-time, degree-seeking undergraduate students 

at two-year PBIs 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 PBI.

 The percentage of first-time, full-time, degree-seeking undergraduate students 

enrolled at four-year PBIs who graduate within six years of enrollment.

 The percentage of first-time, full-time, degree-seeking undergraduate students 

enrolled at two-year PBIs who graduate within three years of enrollment.

Efficiency measure: Federal cost per undergraduate at PBIs.

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. 
68

INSTRUCTIONS FOR COMPLETING THE APPLICATION PACKAGE

Grants.gov allows you to download the application, complete it, and then upload the 

completed version. The application consists of four parts. These parts are organized in 

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

follows:

Part I: 424 Forms

Application for Federal Assistance – (SF424)

 Department of Education Supplemental Information Form for SF424

Part II: 524 Forms

Department of Education Budget Summary Form – (ED 524)

Sections A & B

(Section C – Budget Narrative should be included in the Budget Narrative Attachment 

Form, located in Part III.)

Part III: Attachments (NOTE: all attachments uploaded must be .PDF Files)

ED Abstract Form

Project Narrative Attachment Form

Budget Narrative Attachment Form

Other Attachments Form

Applicants are required to submit a project abstract. The project abstract is limited to 

one page, single - spaced. The project abstract must include information about the 

institution's proposed Title III, Part F, Section 371 project, providing a brief summary of 

the proposed activities and how you will address the competitive preference priorities in 

the proposed activities, goals and objectives of the Predominantly Black Institutions 

program.

The Project Narrative should include the detailed narrative section addressing the 

program selection criteria that will be used to evaluate applications submitted for this 

competition - this section has a strict page limit of 40 pages. In addition, as stated in the 

NIA, for the competitive preference priorities, if you are addressing one priority, a 

maximum of three additional pages for a total of 43 pages are acceptable for the 

narrative. If you are addressing both priorities, a maximum of six additional pages are 

acceptable for the narrative. The application narrative must not exceed 46 pages. 

Please include a separate heading for each competitive preference priority that you 

address. 
69

The Budget Narrative should include a detailed line item budget and any supplemental 

budget information. The budget should demonstrate and justify that all costs are 

reasonable and necessary to accomplish the proposed project activities. 

Other Attachments should include the PBI Program Profile Form, and appendices, 

including: curricula vitae of key personnel, and position descriptions for proposed 

personnel for the project. 

Please note, “.PDF” (Portable Document) files are the only approved file type 

accepted as detailed in the Notice. 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 Grants.gov webpage 

for links to conversion programs. Please refer to the “Grants.gov Submission 

Procedures and Tips for Applicants” section, found in this application package, 

for more details. 

Part IV: Assurances, Certifications, and Survey Forms

GEPA Section 427 Requirement

Assurances – Non-Construction Programs (SF 424B)

Disclosure of Lobbying Activities (SF-LLL)

Grants.gov Lobbying Form (Formerly ED Form 80-0013)
70

INSTRUCTIONS FOR PROJECT NARRATIVE

Please note that the project narrative is limited to 40 pages. This section includes the 

applicant’s responses to the selection criteria specified in the Notice and in this 

package. In addition, as stated in the NIA, for the competitive preference priorities, if 

you are addressing one priority, a maximum of three additional pages for a total of 43 

pages are acceptable for the narrative. If you are addressing both priorities, a 

maximum of six additional pages are acceptable for the narrative. The application 

narrative must not exceed 46 pages. Please include a separate heading for each 

competitive preference priority that you address. 

Formatting

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

both sides. Page numbers and an identifier may be within the 1” margin. 

Double-space all text in the application, including titles and headings. All text in 

charts, tables, graphs, footnotes, quotations, references, and captions may be 

single-spaced. Applicants may use one of the following fonts: Times New 

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

font (including Times Roman and Arial Narrow) will not be accepted. Do not use 

anything smaller than a 12-point font.

Before preparing the Program Narrative, applicants should review the Dear 

Applicant Letter, the Federal Register Notice, and program statute for specific 

guidance and requirements. Note that applications will be evaluated according to 

the specific selection criteria specified in the Federal Register Notice and this 

package.

The Secretary evaluates an application on the basis of the broad criteria in 34 

CFR Part 75, section 75.210 of the Education Department General 

Administrative Regulations (EDGAR). Please see “Selection Criteria” in the 

Federal Register. 

When developing your application, be sure to address the selection criteria (34 CFR 

Part 75.210) as precisely as possible to ensure your application contains the information 

readers will need to judge the quality of the proposed project. If you are addressing the 

competitive preference priorities, be sure to also include measurable objectives and 

activities that relate to the priorities outlined in the Notice and the competition 

highlights. 

To facilitate the review of the application, provide responses to the following selection 

criteria in the following order:

I. Need for the project. (Maximum 15 Points) In determining the need for the 

proposed project, the Secretary considers:
71

a. The magnitude of the need for the services to be provided or the activities to 

be carried out by the proposed project. (5 points)

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

addressing the needs of disadvantaged individuals. (5 points)

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

or opportunities have been identified and will be addressed by the proposed 

project, including the nature and magnitude of those gaps or weaknesses. (5 

points)

II. Quality of the project design. (Maximum 30 Points) The Secretary considers the 

quality of the design of the proposed project. In determining the quality of the design of 

the proposed project, the Secretary considers the following factors:

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

the proposed project are clearly specified and measurable. (10 points)

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

will successfully address, the needs of the target population or other identified 

needs. (10 points) 

c. The extent to which the proposed project is supported by strong theory (as 

defined in the notice). (10 points)

III. Quality of project services. (Maximum 10 Points) In determining the quality of 

the services to be provided by the proposed project, the Secretary considers the quality 

and sufficiency of strategies for ensuring equal access and treatment for eligible project 

participants who are members of groups that have traditionally been underrepresented 

based on race, color, national origin, gender, age, or disability. In addition, the 

Secretary considers:

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

appropriate to the needs of the intended recipients or beneficiaries of those 

services. (5 points)

b. The extent to which the services to be provided by the proposed project 

reflect up-to-date knowledge from research and effective practice. (5 points)

IV. Quality of project personnel. (Maximum 10 Points) In determining the quality of 

project personnel, the Secretary considers the extent to which the applicant encourages 

applications for employment from persons who are members of groups that have 

traditionally been underrepresented based on race, color, national origin, gender, age, 

or disability. In addition, the Secretary considers:

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

director or principal investigator. (5 points)

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

personnel. (5 points)

V. Adequacy of resources. (Maximum 5 Points) In determining the adequacy of 

resources for the proposed project, the Secretary considers:
72

a. The extent to which the budget is adequate to support the proposed project. 

(3 points)

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

design, and potential significance of the proposed project. (2 points)

VI. Quality of the management plan. (Maximum 15 Points) In determining the 

quality of the management plan for the proposed project, the Secretary considers:

a. The adequacy of the management plan to achieve the objectives of the 

proposed project on time and within budget, including clearly defined 

responsibilities, timelines, and milestones for accomplishing project tasks. (5 

points)

b. The adequacy of procedures for ensuring feedback and continuous 

improvement in the operation of the proposed project. (5 points)

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

from the proposed project. (5 points)

VII. Quality of Project Evaluation (Maximum 15 Points) In determining the quality 

of evaluation, the Secretary considers:

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

appropriate to the goals, objectives and outcomes of the proposed project. (5 

points)

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

performance measures that are clearly related to the intended outcomes of 

the project and will produce quantitative and qualitative data to the extent 

possible. (5 points)

c. The extent to which the methods of evaluation will provide performance 

feedback and permit periodic assessment of progress toward achieving 

intended outcomes. (5 points)

THE FOLLOWING GUIDANCE MAY ASSIST YOU IN ADDRESSING EACH OF THE 

WEIGHTED SELECTION CRITERIA:

Need: When addressing this criterion, applicants should provide detailed information 

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

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

documentation may consist of recent statistics from State, local and Federal sources; 

mission statement; comparison data from similar institutions, etc.

Project Design: When addressing this criterion, please review the new description for 

providing strong theory and a logic model. The definitions can be found in the Federal 

Register Notice. Applicants should clearly and succinctly identify the goals, objectives, 

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

not sufficient. The identified goals, objectives and outcomes should not only address 
73

the identified need for the project but should also be measurable, support the purpose 

of the PBI program, and describe models (active ingredients), tools, or practices that will 

be used to achieve the relevant outcomes. 

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

the activities and services they are proposing and the intended recipients or 

beneficiaries of each service or activity. A mere listing of the services and beneficiaries 

is not enough. Provide details as to the types of activities and services to be provided 

and the extent to which the activities and services reflect up-to-date knowledge from 

research and effective practice. In other words, will the proposed activities and services 

meet the need of the project?

Key Personnel: The minimum qualifications must be identified for all project personnel 

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

required and the acceptable field(s) of study. The type and minimum amount of workrelated experience should also be described for each position. 

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

budget will provide adequate resources necessary to successfully carry out the 

proposed project. Applicants should demonstrate here how the proposed costs would 

enable them to carry out the project and that the proposed costs are reasonable in 

relation to the objectives, design and significance of the proposed project.

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

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

or service? What are the expected milestones for accomplishing the proposed activities 

or services? Have you included procedures that will ensure feedback and the 

opportunity for continuous improvement in the operation of the proposed project? Be 

sure that the management plans are clearly and concisely defined.

Evaluation: A strong evaluation plan should be included and should be used, as 

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

period. The evaluation plan should include process and outcome performance 

measures and benchmarks to monitor progress toward meeting specific project 

objectives and goals. Specifically, the plan should identify the individual or organization 

that has agreed to serve as evaluator for the project and describe the qualifications of 

the evaluator. The plan should describe the evaluation design, indicating: (1) what 

types of data will be collected; (2) when various types of data will be collected; (3) what 

methods will be used; (4) what instruments will be developed and when; (5) how the 

data will be analyzed; (6) when reports and outcomes will be available; and (7) how the 

applicant will use the information collected through evaluation to monitor progress of the 

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

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

to ensure that the evaluation is appropriately rigorous and independent.

Budget: In response to this criterion, applicants must provide a detailed, itemized 

budget (ED Form 524) and a detailed budget narrative for each 12-month budget 
74

period. The budget narrative is to be included in the Project Narrative to be attached to 

the Project Narrative Attachment Form in the application package downloaded from 

Grants.gov. 
75

INSTRUCTIONS FOR STANDARD FORMS

● Application for Federal Assistance (SF 424)

● Department of Education Supplemental Form for the SF 424

● Department of Education Budget Summary Form (ED 524)

● Disclosure of Lobbying Activities (SF-LLL)
76

Instructions for Standard Forms

Instructions for Federal Assistance Form SF424

This is a standard form 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 fields on the form are identified with an asterisk (*) and are also specified as “Required” in the instructions 

below. In addition to these instructions, applicants must consult agency instructions to determine other 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 – Check if this 

submission is to change or correct a previously submitted 

application. Unless requested by the agency, applicants 

may not use this form 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 (specify)

C. Increase Duration D. Decrease

 Duration 

E. Other (specify) 

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

Funding Opportunity Number (FON) 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: This data element is intended for 

use only by programs for which the area(s) affected are 

likely to be different than the place(s) of performance 

reported on the SF-424 Project/Performance Site 

Location(s) Form. Add attachment 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 pre-applications, attach a summary 

description of the project. 

4. Applicant Identifier: Enter the entity identifier assigned by 

the federal agency, if any, or the 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: 16a. (Required) Enter the 

applicant’s congressional district. 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 5th district, CA-012 for California 

12 district, NC-103 for North Carolina’s 103 district. If all 

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

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

in Maryland. If nationwide, i.e. all districts within all states 

are affected, enter US-all. If the program/project is outside 

the US, enter 00-000. This optional data element is 

intended for use only by programs for which the area(s) 

affected are likely to be different than place(s) of 

performance reported on the SF-424 Project/Performance 

Site Location(s) Form. Attach an additional list of 

program/project congressional districts, if needed.

5b. Federal Award Identifier: For new applications, enter NA. 

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 organization that has registered with the System for 

Award Management (SAM). Information on registering with 

SAM may be obtained by visiting www.Grants.gov. 

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

proposed start date and end date of the project.
77

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

Enter the employer or taxpayer identification number (EIN 

or TIN) as assigned by the Internal Revenue Service. If 

your organization is not in the US, enter 44-4444444.

18. Estimated Funding: (Required) Enter the amount requested, 

or to be contributed during the first funding/budget period by 

each contributor. Value of in-kind contributions should be 

included on appropriate lines, as applicable. If the action will 

result in a dollar change to an existing award, indicate only 

the amount of the change. For decreases, enclose the 

amounts in parentheses.

c. Organizational DUNS: (Required) Enter the 

organization’s DUNS or DUNS+4 number received from 

Dun and Bradstreet. Information on obtaining a DUNS 

number may be obtained by visiting www.Grants.gov. 

19. Is Application Subject to Review by State Under Executive 

Order 12372 Process? (Required) 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. 

d. Address: Enter address: Street 1 (Required); city 

(Required); County/Parish, State (Required if country is 

US), Province, Country (Required), 9-digit zip/postal code 

(Required if country US). 

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 federal debt 

include; but, may not be limited to: delinquent audit 

disallowances, loans and taxes. If yes, include an 

explanation in an attachment. 

e. Organizational Unit: Enter the name of the primary 

organizational unit, department or division that will 

undertake the assistance activity. 

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

authorized representative of the applicant organization. 

Enter the first and last name (Required); prefix, middle 

name, suffix. Enter title, telephone number, email 

(Required); and fax number. 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.)

f. Name and contact information of person to be contacted 

on matters involving this application: Enter the first and last 

name (Required); prefix, middle name, suffix, title. Enter 

organizational affiliation if affiliated with an organization 

other than that in 7.a. Telephone number and email 

(Required); fax number. 

9. Type of Applicant: (Required) Select up to three applicant 

type(s) in accordance with agency instructions. 

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

N. Private Institution of 

Higher Education

O. Individual

P. For-Profit 

Organization (Other 

than Small 

Business)

Q. Small Business

R. Hispanic-serving 

Institution

S. Historically Black 

Colleges and 

Universities 

(HBCUs)

T. Tribally Controlled 

Colleges and 

Universities 

(TCCUs)

U. Alaska Native and 

Native Hawaiian 

Serving Institutions

V. Non-US Entity

W. Other (specify)

[U.S Department of Education note: As of spring, 2010, the FON discussed in Block 12 of the instructions can be found via the 

following URL: http://www.grants.gov/applicants/find_grant_opportunities.jsp.]
78

Instructions for Department of Education Supplemental Information 

for the SF424

1. Project Director. Name, address, telephone and fax numbers, and e-mail address of the person to be contacted on matters involving 

this application. Items marked with an asterisk (*) are mandatory.

2. Novice Applicant. Check “Yes” if you meet the definition for novice applicants specified in the regulations in 34 CFR 75.225 and 

included on the attached page entitled “Definitions for U.S. Department of Education Supplemental Information for the SF-424”. By 

checking “Yes” the applicant certifies that it meets these novice applicant requirements. Check “No” if you do not meet the definition for 

novice applicants.

This novice applicant information will be used by ED to: 1) determine the amount and type of technical assistance that a novice might 

need, if funded, and 2) determine novice applicant eligibility in discretionary grant competitions that give special consideration to novice 

applications. Certain ED discretionary grant programs give special consideration to novice applications, either by establishing a special 

competition for novice applicants or by giving competitive preference to novice applicants under the procedures in 34 CFR 75.105(c)(2). 

If special consideration is being given to novice applications under a particular discretionary grant competition, the application notice for 

the competition published in the Federal Register will specify this information

3. Human Subjects Research. (See I. A. “Definitions” in attached page entitled “Definitions for U.S. Department of Education 

Supplemental Information for the SF-424.”)

3a. 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.

3a. 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 U.S. Department of Education Supplemental Information for SF-424.”) 

3b. 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. Check 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 U.S. Department of Education Supplemental Information for the SF-424.” 

3b. 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 attached 

page entitled “Definitions for U.S. Department of Education Supplemental Information for the SF-424.”

3b. Human Subjects Assurance Number. If the applicant has an approved Federal Wide Assurance (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. (A list of current FWAs is available at: http://ohrp.cit.nih.gov/search/asearch.asp#ASUR) 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.

3c. If applicable, please attach your “Exempt Research” or “Nonexempt Research” narrative to your submission of the U.S Department of 

Education Supplemental Information for the SF-424 form as instructed in item II, “Instructions for Exempt and Nonexempt Human 

Subjects Research Narratives” in the attached page entitled “Definitions for U.S. Department of Education Supplemental Information for 

the SF-424.” 

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.

No covered human subjects research can be conducted until the study has ED clearance for protection of human 

subjects in research.

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 1894-0007. 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: 
79

U.S. Department of Education, Washington, D.C. 20202-0170. 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, SW, Washington, 

D.C. 20202.

Definitions for U.S. Department of Education 

Supplemental Information for the SF-424

Definitions:

Novice Applicant (See 34 CFR 75.225)

For discretionary grant programs, novice applicant means any applicant for a grant from ED that—

 Has never received a grant or subgrant 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. 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 directly or indirectly linked to that individual, 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. If an educational practice is being introduced to the site and is 

not widely used for similar populations, it is not covered by this exemption.
80

(2) Research involving the use of educational tests (cognitive, diagnostic, aptitude, achievement), survey procedures, interview 

procedures or observation of public behavior, unless: (a) information obtained is recorded in such a manner that human subjects can be 

identified, directly or through identifiers linked to the subjects; and (b) any disclosure of the human subjects’ responses outside the 

research could reasonably place the subjects at risk of criminal or civil liability or be damaging to the subjects’ financial standing, 

employability, or reputation. If the subjects are children, exemption 2 applies only to research involving educational tests and 

observations of public behavior when the investigator(s) do not participate in the activities being observed. 

Exemption 2 does not apply if children are surveyed or interviewed or if the research involves observation of public behavior and the 

investigator(s) participate in the activities being observed. [Children are defined as persons who have not attained the legal age for 

consent to treatments or procedures involved in the research, under the applicable law or jurisdiction in which the research will be 

conducted.]

(3) Research involving the use of educational tests (cognitive, diagnostic, aptitude, achievement), survey procedures, interview 

procedures or observation of public behavior that is not exempt under section (2) above, if the human subjects are elected or appointed 

public officials or candidates for public office; or federal statute(s) require(s) without exception that the confidentiality of the personally 

identifiable information will be maintained throughout the research and thereafter.

(4) Research involving the collection or study of existing data, documents, records, pathological specimens, or diagnostic specimens, if 

these sources are publicly available or if the information is recorded by the investigator in a manner that subjects cannot be identified, 

directly or through identifiers linked to the subjects. [This exemption applies only to retrospective studies using data collected before 

the initiation of the research.]

(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. [The standards of this exemption are rarely met because it 

was designed to apply only to specific research conducted by HHS at the time the regulations were established. We will strictly 

construe this exemption because it was not intended to apply to ED research.]

(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.b. of the U.S. Department of Education Supplemental Information for the SF 424, the applicant 

must attach a human subjects “exempt research” or “nonexempt research” narrative to the U.S. Department of Education Supplemental 

Information for the SF-424 form. 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.b. and designated exemption numbers(s), attach the “exempt research” narrative to the U.S. Department 

of Education Supplemental Information for the SF-424. 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.b. you must attach the “nonexempt research” narrative to the U.S. Department of Education 

Supplemental Information for the SF-424. 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
81

(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 Office of the Chief Financial Officer, U.S. 

Department of Education, Washington, D.C. 20202-4331, telephone: (202) 245-8090, 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 SF-424 in the upper right corner 

of the form (if applicable).
82

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 subgrant 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 research involving educational tests and 

observations of public behavior when the investigator(s) 

do not participate in the activities being observed. 

Exemption 2 does not apply if children are surveyed or 

interviewed or if the research involves observation of 

public behavior and the investigator(s) participate in the 

activities being observed. [Children are defined as persons 

who have not attained the legal age for consent to treatments 

or procedures involved in the research, under the applicable 

law or jurisdiction in which the research will be conducted.]

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

diagnostic, aptitude, achievement), survey procedures, 

interview procedures or observation of public behavior that is 

not exempt under section (2) above, if the human subjects are 

elected or appointed public officials or candidates for public 

office; or federal statute(s) require(s) without exception that the 

confidentiality of the personally identifiable information will be 

maintained throughout the research and thereafter. 

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

documents, records, pathological specimens, or diagnostic 

specimens, if these sources are publicly available or if the 
83

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).
84

Instructions for Budget Summary Form 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. You may access the Education Department 

General Administrative Regulations, 34 CFR 74 – 86 and 97-99, on ED’s website at:

http://www.ed.gov/policy/fund/reg/edgarReg/edgar.html

You must 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 break-down 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. 

If you checked “no,” ED generally will authorize grantees to use a temporary rate of 10 percent of budgeted salaries 

and wages subject to the following limitations: 

(a) The grantee must submit an indirect cost proposal to its cognizant agency within 90 days after ED 

issues a grant award notification; and 

(b) If after the 90-day period, the grantee has not submitted an indirect cost proposal to its cognizant 

agency, the grantee may not charge its grant for indirect costs until it has negotiated an indirect cost rate agreement 

with its cognizant agency.

(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, another federal agency (Other) or State agency issued the 

approved agreement. If you check “Other,” specify the name of the Federal or other 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 cost-sharing or 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.
85

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 this space blank.

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 sub-project or activity.

2. For non-Federal funds or resources listed in Section B that are used to meet a cost-sharing or matching 

requirement or provided as a voluntary cost-sharing or matching commitment, you must include: 

a. The specific costs or contributions by budget category; 

b. The source of the costs or contributions; and

c. In the case of third-party in-kind contributions, a description of how the value was determined for the 

donated or contributed goods or services.

[Please review ED’s general cost sharing and matching regulations, which include specific limitations, in 34 

CFR 74.23, applicable to non-governmental entities, and 80.24, applicable to governments, and the applicable 

Office of Management and Budget (OMB) cost principles for your entity type regarding donations, capital 

assets, depreciation and use allowances. OMB cost principle circulars are available on OMB’s website at:

http://www.whitehouse.gov/omb/circulars/index.html]

3. If applicable to this program, provide the rate and base on which fringe benefits are calculated.

4. 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.html. 

You may also contact (202) 377-3838 for additional information regarding calculating indirect cost rates or 

general indirect cost rate information.
86

5. 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 1894-0008. 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, D.C. 20202-4537. 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, SW, Washington, D.C. 20202. 
87

INSTRUCTIONS FOR BUDGET SUMMARY FORM AND BUDGET 

NARRATIVE 

NOTE: Applicants to the PBI program must submit (1) a budget information form to 

categorize requested funds (ED Form 524, Section A & B), and (2) a detailed line item 

budget with narrative justification.

The budget summary is to be included on the “Budget Information- Non-Construction 

Program” (ED Form 524). The applicant must complete both Sections A & B.

Both the detailed line item budget AND the accompanying budget narrative for 

each year funding is being requested should be included in “Budget Narrative,” which 

requests information on the applicant’s financial plan for carrying out the project. 

It is suggested that applicants organize their budgets using either two columns or 

categories to include funding streams as follows: 1) federal funds (PBI program) 

requested; 2) funding from other public or private United States sources. Applicants 

should describe how all costs support project activities.

For each line item, provide detailed costs and narrative justification to support your 

request. Please check all figures and combined totals and compare the line item 

budget figures to those on the ED Form 524 for both Sections A & B.

Among the costs that may be supported with grant funds are:

1. Personnel: Enter only the project personnel salaries and wages. [Fees and 

expenses for consultants should be included on line 8 – “Other”.] The budget 

should include the total commitment of time and the total salary to be charged 

to the project for each key staff person. A breakdown of project personnel 

should include: position titles, specific time commitments to project for each 

staff person in days/months or in percentage, and other relevant information.

2. Fringe Benefits: Enter the amount of fringe benefits. The institution’s normal 

fringe benefit contribution may be charged to the project. Leave this blank if 

fringe benefits applicable to direct salaries and wages are treated as part of 

the indirect costs. In the budget, include an explanation and appropriate 

justification if the Institution’s normal fringe benefit contribution exceeds 20 

percent of salaries.

3. Travel: Provide the costs for project personnel. [Consultants’ travel should 

be included on line 8 – “Other”] Indicate the number of people traveling, 

whether they are faculty or administrative personnel, their destination, and a 

breakdown of travel costs. Transportation costs should not exceed economy 

airfare. Foreign travel may be authorized under the grant for itineraries that 

are in compliance with the Fly America Act. Per diem costs are allowable for 

project-related travel, in accordance with OMB Circular A-21, J.48c. 
88

4. Equipment: Provide the cost for property charged to the grant having a useful 

life of more than one year and an acquisition cost of $5,000 or more per unit.

5. Supplies: Include materials necessary for conducting, developing, or 

implementing the project, such as library resources, conference materials, 

software, computers, general office supplies, and equipment that is less than 

$5000 per unit.

6. Contractual: Not applicable. Leave blank.

7. Construction: Include costs for construction and renovation projects.

8. Other: Other miscellaneous costs may be requested in this category. 

Examples of allowable costs include: professional services fees for 

consultants, evaluators, conference speakers, auditors, etc.; printing costs for 

newsletters and publications; travel expenses for non-project personnel; and 

per diem for non-project personnel. Provide a detailed breakdown of the 

costs, such as the number of days for the per diem being requested; number 

of days and costs for consultant or evaluator services; quantity and cost for 

printing; ground transportation costs, etc. Please note that professional 

services fees should not exceed amounts permitted under comparable 

institutional policies.

9. Total Direct Costs: Enter the total direct costs (items 1-8) being requested.

10.Indirect Cost: 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.

11. Training Stipends: Not applicable. Leave blank.

12.Total Costs: Enter the total that the Institution is requesting under the PBI 

program (items 9-11)
89

INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF 

LOBBYING ACTIVITIES

This disclosure form shall be completed by the reporting entity, whether subawardee 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 followup 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 subaward 

recipient. Identify the tier of the subawardee, e.g., the first subawardee of the 

prime is the 1st tier. Subawards 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 
90

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
91

PREDOMINANTLY BLACK INSTITUTIONS PROGRAM PROFILE

INSTRUCTIONS: ALL applicants must complete this page. DO NOT MODIFY OR AMEND 

THIS PAGE. UPON COMPLETION, ATTACH THIS DOCUMENT AS A .pdf TO THE “OTHER 

ATTACHMENTS FORM” IN GRANTS.GOV.

OPE ID #___________

1. INSTITUTION (Legal Name):

_____________________________________________________________________ 

2. Are you applying as a Branch Campus? _____YES _____NO

3. ADDRESS (Applicants must indicate the address where the project will be 

located):

Project Address: 

_____________________________________________________________________

City: _____________________________________State: ______Zip: _____________

4. PREDOMINANTLY BLACK INSTITUTIONS PROGRAM CERTIFICATION:

 By checking this box (or placing an “X” beside it), the applicant certifies pursuant 

to the statutory requirements governing the Predominantly Black Institutions Program, 

authorized under Title III, Part F, Section 371 of the Higher Education Act of 1965, as 

amended, that it has: an enrollment of financially needy undergraduate students; an 

enrollment of undergraduate students at least 40% of whom are Black; and an 

enrollment of at least 1,000 undergraduate students of whom not less than 50% are 

low-income or first generation and registered in a BA or AA program leading to a 

degree.

Total undergraduate unduplicated enrollment 2013 - 2014 _____________

Black American undergraduate unduplicated enrollment: #______ and _____%

Low-income or first generation: #______ and _____%

Registered in a BA or AA program: #______ and _____%

Authorized Representative

Name:

Date:

Telephone:
92

APPLICATION CHECKLIST

Before you submit the application package, please review the following list to ensure 

that you have attached all required materials/files in the prescribed format. 

Part I: Application for Federal Assistance – SF 424

Department of Education Supplemental Information Form for 

SF 424

Part II: Department of Education Budget Summary Form – ED 524 

Sections A & B

Part III: Project Abstract (attached to the ED Abstract Form)

Project Narrative (attached to the Project Narrative Attachment Form)

Budget Narrative (attached to the Budget Narrative Attachment Form)

 Other Attachments (attach each to the Other Attachments Form)

 Curricula vitae

 Position descriptions

 Program profile form

Part IV: Assurances, Certifications, and Survey Forms

 GEPA Section 427

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

 Certification Regarding Lobbying 

 Disclosure of Lobbying Activities
93

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 40 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 (Title III of the HEA 

of 1965, as amended). Send comments regarding the burden estimate or any other aspect of this 

collection of information, including suggestions for reducing this burden, to regulations.gov 

during the public comment period for this collection of information. If you have specific 

questions about the form, instrument or survey, please contact the U.S. Department of Education, 

Office of Postsecondary Education, Predominantly Black Institutions Competitive Grant 

Program, 1990 K Street, N.W., 6th Floor, Mail Stop K-OPE-6-6024, Washington, DC 20006.