1 

### U.S. DEPARTMENT OF EDUCATION Office of Postsecondary Education Washington, DC 20006
- 8513

**Fiscal Year 2015**
**APPLICATION FOR GRANTS UNDER THE STUDENT AID AND FISC**  **AL RESPONSIBILITY AC T (SAFRA) OF 2009**  **(FY 2015) AND**  **STRENGTHENING HISTORICALLY BLACK COLL**  **EGES AND UNIVERSITIES (HBCU) PROGRAM**  **(FY 2017) (CFDA NUMBER: 84.031B)**  **Form Approved: OMB No. 1840 -**  **0113, Expires:**  **2018**2 

### TABLE OF CONTENTS Paperwork Burden Statement
................................ ................................ ................................ .......... 3 Dear Applicant Letter
................................ ................................ ................................ ...................... 4 FY 2015 Application Highlights
................................ ................................ ................................ ...... 5 Authorizing Legislation
................................ ................................ ................................ ................... 7 Historically

Black Colleges and Universities Program
................................ ................................ ... 7 Student Aid and Fiscal Responsibility Act of 2009
................................ ................................ ......... 7 Supplemental Information
................................ ................................ ................................ ............... 9 Intergovernmental Review: Executive Order 12372
................................ ................................ .... 1 0 General Education Provisions Act (GEPA) Section 427
................................ ............................... 1 1 Government Per formance and Results Act (GPRA)
................................ ................................ ..... 1 2 Section I

– Phase I: Formula Data Form
...... ................................ ................................ ................ 1 4 Important Dates to Remember
................................ ................................ ................................ ....... 1 6 Section II

– Phase II: The Comprehensive Development Plan (CDP)
- SAFRA ONLY
.............. 17 Instructions and Forms for Submitting Phase II Comprehensive Devel opment Plan (CDP)
........ 1 7 G5 e
- Application Submission Procedures and Tips for Applicants
................................ .............. 1 9 Instructions for SF 4 24
................................ ................................ ................................ .................... 24 Instructions for Department of Education Supplemental Information for SF 424 B
...................... 28 Definitions for Department of Education Supplemental Informati on for SF 424 B
....................... 3 0 Instructions for ED 524
................................ ................................ ................................ .................. 34 Instructions for Completion of SF
- LLL, Disclosure of Lobb yi ng Activities
................................ 37FY 2 015 HBCU and SAFRA Application

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### PAPERWORK BURDEN STA **TEMENT** According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection o f information unless such collection display s a valid OMB control number. Public reporting burden for this collection of information is estimated to average 24 hours per r esponse , 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 (under 34 CFR §608.3 ) to obtain or retain benefit ( Section 322(2) of the Higher Education Act of 1965, as amended (HEA) )
. Send comments regarding the burden estimate or an y other aspect of this collection of information, including suggestions for reducing this burden, to regulations.gov during the public comment period for this collection of infor mation. If you have specific questions about the form, instrument, or survey , please contact Mr. Donald E. Watson, Director, Historically Black Colleges and Universities, Division, Office of Postsecondary Education, 1990 K Street, NW, Mail Stop K
- OPE
- 6
- 60 55, Washington, DC 20006
- 8513.FY 2 015 HBCU and SAFRA Application

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## UNITED STATES DEPARTMENT OF EDUCATION

OFFICE OF POSTSECONDARY EDUCATION Dear Applicant: Thank you for your interest in applying for a new grant in fiscal ye ar (FY) 2015. This application can be used to apply for new awards under the Historicall y Black Colleges and Universities (HBCU) Program or the Student Aid and Fiscal Responsibility Act (SAFRA) of 2009, which are authorized under the Higher Education Act of 1965, as amended , Title III, Part B and Part F respectivel y . These grant programs provide financial assistance to establish or strengthen the ph ys ical plants, financial management, academic resources, and endowments of the historically

Black colleges and universiti e s that enhance these institutions and facilitate a decrease in the reliance on governmental financial support and to encourage reliance on e nd owments and privat e sources . The i nstitutions of higher education must be legall y designated as a Title III eligible Historically Black College and University to appl y for funding. **Please n**  **ote: Endowment funding is not an allowable activity under the SAFRA mandatory fund**  **s program.**  Institutions of higher education legally designated as a historicall y Bl ack college or universit y are eligible to apply

. Addition al information and the regulations governing the HBCU P rogram and the SAFRA can be accessed from the following W eb site:

 http://www2.ed.gov/programs/iduestitle3b/index.html Specifics r egarding this year’s application procedures are contained in this application package. Applicants are encouraged to review the FY 2015 Application Highlights found in the application package for an overview of important items. Please note there are two d eadlines for submitting information:  Phase I Formula Data must be submitted by

____ , 2015, and  Phase II, the **HBCU SAFRA**  applicants will develop a Comprehensive Development Plan (CDP) , which must be submitted by

_____ 2015. If you have an y questions or require additional information, please co ntact Wendy L awrence b y email ( Wendy .L awrence@ed.gov ) or telephone (202
- 219
- 7097 )
. I appreciate your interest in the Historically Black Colleges and Universities and SAFRA Program s and look forward to receiving your application. Sincerel y, Donald E. Watson Director, Historically

Black Colleges and Universities Division
1990 K Street NW, Washington, DC 20006

www.ed.gov The Department of Education’s mission is to promote student achievement and preparation for global competitiveness by fostering educational exc ellence and ensuring equal access.FY 2 015 HBCU and SAFRA Application

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### FY 2015 **APPLICATION HIGHLIGHTS** Institutions of higher education legally designated as a his toricall y Bl ack college or universit y are eligible to apply

. Additional information and the regulations governing the HBCU program can be accessed from the following W eb site: http://www2.ed.gov/programs/iduestitle3b/index.html F unds are awarded to eligible institutions as discretionary grants , with award amount s determined b y formula , based on three figures provided to the Department annually by each eligible institution: 1. The numbe r of Pell Grant recipients in the most recent academic y ear, as a proportion of the total number of such recipients at all eligible institutions (50 percent weight); 2. The number of graduates in the most recent academic y ear, as a proportion of the total number of graduates at all eligible institutions (25 percent weight); and 3. The proportion of graduates for the past five ye ars that have gone on to graduate or professional schools, in degree programs in disciplines in which Blacks are underrepresented, divi ded by the aggregate proportion across all eligible institutions (25 percent weight). In addition, two minima are established. If the amount determined by the formula is greater than $250,000 but less than $500,000, the institution is awarded $500,000; and if the amount determined b y the formula is less than $250,000, the institution is awarded $250,000. InF Y 2009, a dditional funds were appropriated by C ongress (referred to as mandatory f unds or SAFRA ) under two separate legislative acts
. These funds provide d an additional fixed amount of $ 78,795,000 to HBCUs through FY 2019. The Title III, Part F mandatory f unds are added to any amount appropriated in a regular or su pplemental appropriation act under the Title III, Part B Strengthening HBCU Program
. **The proposed**  **SAFRA grant**  **period is**  **four years**  **end ing**  **in FY 2019**  **.** Please note that the Application Package is divided into two parts, Phase I and Phase II
. Phase I is the individual institution data submitted in response to the Phase I Formula Data and will be used to calculate awards for both the HBCU (regular) and SAFRA (mandatory) funding. **For FY 2015, SAFRA applicants are requir**  **ed to submit a new application for Phase II,**  **which is the Comprehensive Development Plan**  **(CDP) to address the**  **funding**
. Ad ditionally , a pplicants are required to include a separate pro ject a bstract
. **The project abstract is limited to one page, single**  **- spaced.**  The project abstract must include information about the institution’s proposed f

our - year project for the SAFRA funds i n a brief summary of the proposed activities and how they

will address the goals and objectives of Title III, Part B , with priority given to the following legislative ly allowable activities for Part F :  Purchase, rental, or lease of scientific or laboratory equipment for educational purposes, including instructional and research purposes;FY 2 015 HBCU and SAFRA Application

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 Construction, maintenance, renovation, and improvement in classroom, library , laboratory , and other instructional facilities, including purchase or rental of telecommunications technology

equipment or services;  Academic instruction in disciplines in which Black Americans are underrepresented;  Purchase of library

books, periodicals, microfilm, and other educational materials, including telecommunications program materials;  E stablishing or enhancing a program of teacher education designed to qualify students to teach in a public elementary or secondary

school in the State that shall include, as part of such program, preparation for teacher certification; and  Other activities, consistent with the institution’s comprehensive plan and designed to increase the institution ’ s capacity to prepare students for careers in the ph ys ical or natural sciences, mathematics, computer science or information technology or sciences, engineering, language instruction in the less
- commonly taught languages or international affairs, or nursing or allied health professions.
**PLEASE N OTE:**  **ENDOWMENT FUNDING IS NOT AN ALLOWABLE ACTIVITY UNDER THE**  **FOUR -**  **YEAR SAFRA MANDATORY FUNDS PROGRAM.** FY 2 015 HBCU and SAFRA Application

– 7 **AUTHORIZIN G LEGISLATION**  Institutio ns submitting applications for the SAFRA four
- ye ar grant are required to submit a Comprehensive Development Plan (CDP) in accordance with § 608.21 of the HBCU regulations. The CDP i s addressed in the Phase II process . Below are th e HBCU and SAFRA legislati ve citations
. The SAFRA legislation has an end date for mandatory funds availability in **2019 and**  **a four**  **- year g**  **rant period** . The end date is reflected in the legislation below (in bold). The regulations governing the HBCU and SAF RA program s can be accessed from the following Web sites: **HBCU Legislation, Regulations, and Guidance**  Legislation
 Higher Education Act of 1965, as amended; Strengthening Historically Black Colleges and Universities; Title III, Part B, Sections 321
- 327 of the Higher Education Act, as amended ( 20 U.S.C. 1060
- 1063c ) Regulations
 34 CFR Part § 608
 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 Guidance
 Office of Management and Budget (OMB) Grants Management Circulars **SAFRA Legislation, Regulations, and Guidance**  L egislation
 Higher Education Act of 1965, as amended; Strengthening Historically Black Colleges and Universities; Title III, Part F, Section 371 of the Higher Education Act, as amended ( 20 U.S.C. 1067q) Section 371(b)(1)(A) (20 U.S.C. 1067q(b)(1)(A)) is amended b y striking ‘ and 2009. ’ and all that follows and inserting ‘ through 2 019 **.** ’ **The authority to award grants under this section shall expire a**  **t the end of fiscal year 2019.** ‘‘(a) ELIGIBLE INSTITUTION.

— An institution of higher education is eligible to receive funds from the amounts made available under this section if such ins titution is

— ‘‘(1) a part B institution (as defined in section 322 (20 U.S.C. 1061)); ‘‘(2) a Hispanic
- serving institution (as defined in section 502 (20 U.S.C. 1101a)); ‘‘(3) a Tribal College or University (as defined in section 316 (20 U.S.C. 1059c)); ‘‘ (4) an Alaska Native
- serving institution or a Native Hawaiian
- serving institution (as defined in section 317(b) (20 U.S.C. 1059d(b))); ‘‘(5) a Predominantly

Black Institution (as defined in subsection (c)); ‘‘(6) an Asian American and Native American Pacif ic Islander
- serving institution (as defined in subsection (c)); or ‘‘(7) a Native American
- serving nontribal institution (as defined in subsection (c)). ‘‘(b) NEW I

NVESTMENT OF FUNDS.

—FY 2 015 HBCU and SAFRA Application

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‘‘(1) IN GENERAL.

—There shall be available to the Secretary to carry out this section, from funds not otherwise appropriated, $255,000,000 for each of the fiscal y ears 2008 and 2009. The authority to award grants under this section shall expire at the end of fiscal year **2019.** ‘‘(2) ALLOCATION AND ALLOTMENT.

— ‘‘(A) IN GENERAL
. — Of the amounts made available under paragraph (1) for each fiscal ye ar
— ‘‘(i) $100,000,000 shall be available for allocation under subparagraph (B); ‘‘(ii) $100,000,000 shall be available for allocation under subparagraph (C); and ‘‘(iii) $55,000,000 sha ll be available for allocation under subparagraph (D). ‘‘(C) ALLOCATION AND ALLOTMENT HBCUS AND PBIS.

— From the amount made available for allocation under this subparagraph b y subparagraph (A)(ii) for an y fiscal year

— ‘‘(i) 85 percent shall be available t o eligible institutions described in subsection (a)(1) and shall be made available as grants under section 323 and allotted among such institutions under section 324, treating such amount, plus the amount appropriated for such fiscal ye ar in a regular or s upplemental appropriation Act to carry out part B of title III, as the amount appropriated to carry out part B of title III for purposes of allotments under section 324, for use by such institutions with a priority for

— ‘‘(I) activities described in paragr aphs (1), (2), (4), (5), and (10) of section 323(a); and ‘‘(II) other activities, consistent with the institution’s comprehensive plan and designed to increase the institution’s capacity to prepare students for careers in the physical or natural sciences, mathematics, computer science or information technology or sciences, engineering, language instruction in the less
- commonly taught languages or international affairs, or nursing or allied health professions; and ‘‘(ii) 15 percent shall be available to eli gible institutions described in subsection (a)(5) and shall be available for a competitive grant program to award 25 grants of $600,000 annually for programs in an y of the following areas: ‘‘(I) science, technology , engineering, or mathematics (STEM); ‘‘(I I) health education; ‘‘(III) internationalization or globalization; ‘‘(IV) teacher preparation; or ‘‘(V) improving educational outcomes of African American males. Regulations
 34 CFR Part §608 for HBCUs
 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 (formerl y Parts 74 and 80) Guidance
 Office of Management and Budget (OMB) Grants Management CircularsFY 2 015 HBCU and SAFRA Application

– 9 **SUPPLEMENTAL INFORMATION 1.**  **Appendices to Applications** Please limit the appendices to the following:

a. Curricula vitae of key personnel (project director and activities dire ctors). b. P osition descriptions for proposed key personnel positions. **2. Interim and Annual Performance Report Requirements**  When you receive an initial grant award under Title III, Part B or Part F , you are required to submit an interim (first six months of your project) performance report. You are also required to submit annual performance reports for each ye ar during the funding cycle (including an y time extensions) using the Institutional Service Annual Performance Report Website for Title III and Title V Grantees. This online sy stem collects narratives and data about funded projects, to enable Department program officers to determine if a grantee is making substantial progress toward meeting approved project objectives. The annual performance report used for this program can be found at https://opeweb.ed.gov/isapr/
. Contact Information: Donald E. Watson Or Director for the HBCU Division Institutional Service Office o f Postsecondary

Education U.S. Department of Education 1990 K Street, NW, Room 6040 Washington, D.C. 20006
- 8513 Telephone: (202) 219
- 7037 E
- mail Address: Donald.Watson@ed.gov Wendy B. Lawrence Program L iais on for the HBCU and SAFRA Institutional Service Office of Postsecondary

Education U.S. Department of Education 1990 K Street, NW, Room 6045 Washington, D.C. 20006
- 8513 Telephone: (202) 219
- 7097 E
- mail Address: Wendy .L awrence@ed.govFY 2 015 HBCU and SAFRA Application

– 10 **INTERGOVERNMENTAL REVIEW OF FEDERAL PROGRAMS**

**EXECUTIVE ORDER 12372** 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 o r 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 a pplicants should follow procedures specific to each state. Further information about the State Single Point of Contact process and a list of names b y State can be found at: http://www.whitehouse. gov/omb/grants_spoc For 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: T he Secretary , EO 12372
-- CFDA# [84.120A], U.S. Department of Education, Room 7E200. 400 Maryland Avenue, SW, Washington, DC 20202. Proof of mailing will be determined on the same basis as applications (see 34 CFR §75.102). Recommendations or comments may b e 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 applicat**  **ions to the above address.** FY 2 015 HBCU and SAFRA Application

– 11 **GENERAL EDUCATION PROVISIONS ACT (GEPA)**

**SECTION 427** Section 427 of GEPA requires all applicants for new awards to include in their applications a description of the steps the applicant proposes to take to ensure equitable acc ess to, and participation in, its federally
- assisted programs for students, teachers, and other program beneficiaries with special needs. The provision allows applicants discretion in developing the required description. The statute highlights six ty pes 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 i dentify potential barriers and explain steps they will take to overcome these barriers. **NOTE: Applicants for new awards must include information in their applications to**  **address this provision in order to receive funding under this program.**FY 2 015 HBCU and SAFRA Application

– 12 **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 clearl y state what it intends to accomplish, identify the resources required, and periodically report their progress to the Congress. In so doing, it is expected that the GPRA will contribute to improvements in accountability for the expenditures of public funds, improve Congressional decision
- making through more objective information on the effectiveness of federal programs, and promote a new government focus on results, service delivery , and customer satisfaction. **How has the Departme nt of Education Responded to the GPRA Requirements?**  As required b y 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.**  In crease coll ege 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 sy stem’s abilit y 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
- read y.

 **Goal 3: Ea rly 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
- read y.

 **Goa l 4: Equity.**  In crease 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 abi lity 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.FY 2 015 HBCU and SAFRA Application

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 **What are**  **the performance**  **indicators for**  **the Title**  **III, Part**  **B HBCU**  **and Part**  **F SAFRA**  **program s**  **?** The performance indicators for the Title III, Part B and Part F program s are part of the Department’s plan for meeting Goal 1 : Increase college access, affordability , qualit y, and completion by

improving postsecondary education and lifelong learning opportunities for yo uths and adults. **Program Goal: To improve the capacity of minority**  **- serving institutions, which** 

**traditionally h ave 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.**  **HBCU Program Objective**  **1 of**  **3** : In crease enrollments at historically B lack colleges and universities
. Measure 1.1 : The percentage change, over the grant cycle , for the number of full
- time degree
seeking undergraduates enrolled at Historicall y Bl ack Colleges and Universities. **Objective 2 of 3** : Increase the persistence rat e for students enrolled at HBCUs. Measure 2.1 : The percentage of full
- time undergraduate students in their first y ear of postsecondary

enrollment within the previous y ear and are enrolled in the current year at the same HBCU institution. **Objective 3 of 3**  : In crease the graduation rate for students enrolled at HBCUs. Measure 3.1 : Federal cost per undergraduate and graduate degree at HBCUs. Measure 3.2 : The percentage of first
- time, full
- time degree
- seeking undergraduate students enrolled at four
- ye ar Hi storically Black Colleges and Universities who graduate within six years of enrollment. **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 pro gress reports and a final report as a condition of the award. The reports will document the extent to which project goals and objectives are met. The most recent version of this program’s annual performance report can be viewed at the Institutional Ser

vice Annual Performance Report Web Site: https://opeweb.ed.gov/isaprFY 2 015 HBCU and SAFRA Application

– 14 OMB No. 1840
- 0113 Expiration Date: __________2018 **SECTION I PHASE I FORMULA GRANT DATA WORKSHEET (FY 2015)**  **HISTORICALLY BLACK COLLEGE S AND UNIVERSITIES (HBCU) PROGRAM**  **AND STUDENT AID AND FISCAL RESPONSIBILITY ACT (SAFRA) OF 2009**  In order for the Department to determine the level of funding for an institution, the information below is required. Please refer to the program regulations 3 4 CFR

– Section §608.31 for additional information. **NOTE: This form must be submitted as part of your initial application as well as annually during your approved grant cycle.**  Be sure to use this form and this form only when submitting your Phase I data
. **The Department will not accept any other versions of this form.**  The data will be used to formulate your fiscal y ear (FY) 2015 Title III, Part B (HBCU), and Part F (SAFRA) award allocations. NAME OF INSTITUT ION **: ________________________________________**

**________** CI TY: _________________________________________________ STATE: _________

1. Enter the total for column B in item 3 below. 2. Enter the total for column C in item 4 below. 3. Please review the HBCU regulations Part 34 CFR §608.31 for information required in columns B and C
. FY 2015 HBCU Phase I Data Worksheet 1 of 2 **YEAR OF GRADUATION FROM UNDERGRADUATE** 

**SCHOOL TOTAL NUMBER OF**  **GRADUATES IN THE UNDERGRADUATE**  **CLASS STUDENTS ADMITTED TO** 

**AND IN ATTENDANCE AT A GRADUATE OR**  **PROFESSIONAL SCHOOL IN**  **A DEGREE PROGRAM IN DISCIPLINES IN WHICH**  **BLACKS ARE UNDERREPRESENTED**  **(A) (B)**  **(C)**
**Year 1**

**– 2010**  **Year 2**

**– 2011**  **Year 3**

**– 2012**  **Year 4**

**– 2013**  **Year 5**

**– 2014**  **TOTALS**FY 2 015 HBCU and SAFRA Application

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## PHASE I FORMULA GRANT DATA WORKSHEET (FY 2015) 1. Number of Pell Grant reci pients attending the applicant institution during the school year immediately

preceding the beginning of the fiscal y ear in which the applicant applies for a grant. (July

1, 2013

– Ju

ne 30, 2014) __________ (1) 2. Number of graduates of the applicant insti tution during the school year immediately preceding the beginning of the fiscal ye ar in which the applicant applies for a grant. Enter the total from Year 5, Column B (July 1, 2013

– June 30, 2014). Part 34 CFR §608.4 defines “graduates” as a student who has attended an institution for at least three semesters and fulfilled academic requirements for undergraduate studies in not more than five consecutive school y ears. __________ (2) 3. Enter the total from Column B, Years 1
- 5 (July 1, 2010

– June 30, 201 4). __________ (3) 4. Enter the total from Column C (Total for July 1, 2010

– June 30, 2014). Do not count a student attending graduate school for more than one reporting ye ar. __________ (4) **PLEASE USE THE FORMULA ABOVE TO CALCULATE THE TOTALS FOR ITEM S 3 AND 4** 

**. AS A**  **CHECKPOINT, THE TOTAL IN ITEM 3 SHOULD BE LARGER THAN THE TOTAL IN ITEM 4. SEE SECTION 608.31(B)(1).**  **I attest to the accuracy of the data provided. President’s Name (typed): ____________________________________________________**  **President’ s Signature: _______________________________________________________**  **Date:**

__________________________________

FY 2015 HBCU Phase I Data Worksheet 2 of 2 **WARNING: Any person who knowingly m ak** **es a false statem ent or misrepresentation on this form** **is subject to penalties, which m**  **ay include fines, im prisonment, or both, under the United States Criminal Code and 20**  **U.S.C. 1097**FY 2 015 HBCU and SAFRA Application

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### Important Dates to Remember **HISTORICALLY BLACK COLLEGES AND UNIVERSITIES (HBCU) PROGRAM AND**  **STUDENT AID AND FISCAL RESPONSIBIL ITY ACT (SAFRA) OF 2009** 

**FY 2015 Calendar for Phase I and Phase II Data**


### Date **s Activit** **ies TBD**  **Phase I Data Due TBD**  Department will review and a pprove awards
. **TBD** Award letters sent to institutions via e mail
. **TBD HBCU Phase II** 

**– E**  **mail r**  **evised b**  **udgets di**  **rectly to hbcu.phaseii@ed.gov** 

**SAFRA Phase II**

**– CDP uploads in**  **G5 e -**  **Application and**  **Email Signature Pages to**  **hbcu.safra@ed.gov TBD**  Program Officers review submitted applic ations and budgets. **October 1, 2015**  FY 2015
- 2016 funds available in G5.FY 2 015 HBCU and SAFRA Application

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### SECTION II **PHASE II**

**– COMPREHENSIVE DEVELOPMENT PLAN (CDP) INSTRUCTIONS**  **Formatting** A “page” is “8.5 x 11,” on one side only , with 1” margins at the top, bottom, and both side s. 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 any thing smaller than a 12
- point font. The Se cretary

evaluates an application on the basis of the applicant’s response to the elements of the Comprehensive Development Plan (CDP) as defined in 34 CFR 608.21. To facilitate the review and approval of the application, applicants must address the follo wing: The CDP must describe an institution’s strategy for achieving growth and self
- sufficiency

by strengthening its financial management and academic programs. **Elements of the CDP are as follows** : 1. A detailed assessment of the strengths and weaknesses of the institution's financial management and academic programs; 2. A delineation of the institution's goals for its financial management and academic programs, based on the outcomes of the assessments of these areas for which HBCU Mandatory funds will be used ; 3. A comprehensive listing of measurable objectives, with accompan yi ng timeframes, designed to assist the institution in achieving the objectives developed in the plan ; 4. A detailed description of methods, procedures and processes that will be used by the college or university

to institutionalize financial management and academic program practices and improvements developed under the proposed funded activities. **Suggested Outline for Developing the CDP Introduction/Institutional Overview** 

– the introduction should clearl y describe the institution’s challenges and opportunities, and the institutional overview should address the history and mission, academic programs offered and areas of strength, enrollment data and student profile, graduation rates, and grad uate school/professional school placement success. **Summary of the Institution’s Planning Process**

– specificall y identify major institutional priorities. **Overview of Current Long -**  **Range Plan**

– describe in detail the major emphases and goals for the current planning period.FY 2 015 HBCU and SAFRA Application

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**CDP Focus**

– fully

describe areas targeted for improvement; list goals related to improv ing academic quality , fiscal stability , institutional management, and student services; summarize activities to address CDP goals; and describe CDP as sessment strategies. **Conclusion**

– provide information addressing institutionalization as required by element 4 and relevant supporting documentation. **Suggested Outline for Developing the Comprehensive Development Plan (CDP):** The CDP should be used as a guide to developing the program activities
. **For each**  **proposed activity you must:**  **PROVIDE AN ABSTRACT OF THE ACTIVITY**

**–** Provide a brief (one paragraph) description of the proposed activity
. Each activity must be titled using the most relevant title from the list of legislatively allowable activities listed on page s 5
- 6 of this package. In detail, describe the purpose of each activity . NOTE: A C omprehensive Development Plan (CDP) should include project administration as one of its proposed activities. **DE SCRIBE AND DEFINE OBJECTIVES AND PERFORMANCE INDICATORS FOR**  **EACH PROPOSED ACTIVITY**

**–** For each proposed activity , applicants must state their annual objectives, which, when combined with their performance indicators, are measurable and realistic (not too hi gh, not too low). Connect each activity to the problem or weakness it should address. List only

the objectives that an activity is designed to accomplish. Describe the objectives in outcome
- oriented, measurable terms. Objectives should be updated for e ach ye ar in which funds are requested. **DESCRIBE THE IMPLEMENTATION STRATEGY AND TIMETABLE FOR EACH PROPOSED ACTIVITY** 

**–** For each proposed activity , describe, in a comprehensive manner, who will do what, how, and when it will be done to meet the objective s of each activity
. **PROVIDE AN INDIVIDUAL ACTIVITY BUDGET & NARRATIVE**

**–** For each proposed activity , applicants must prepare a separate, detailed itemized budget (in dollars) and a budget narrative for each ye ar you are requesting grant funds. Demonstrate and justify that all costs are reasonable in today ’s market and necessary to accomplish your activit y objectives. **Note:** You must provide details so that we can determine if the costs are allowable, necessary and reasonable. **COMPLETE A BUDGET SUMMARY (ED 524) FORM** 

**–** P rovide an itemized budget for each of the four ye ars of the project. Applicants need onl y to provide a detailed budget narrative and justification for the SAFRA’s first (initial) y ear of their proposed f our year project.FY 2 015 HBCU and SAFRA Application

– 19



### G5 **e -**  **Applic ation**  **Submission Procedures and Tips for Applicants**

**IMPORTANT**

**– PLEASE READ**  **FIRST U.S. Department of**  **Education http://www.G5.gov**  1. G5 e
- Application Submission Procedures and Tips for Applicants 2. Instructions for the S F
- 424 3. Instructions for Department of Education Supplemental Information for SF
- 424 4. Definitions for Department of Education Supplemental Information for SF
- 424 5. Instructions for Phase II

– The Comprehensive Development Plan (CDP) 6. Instructions for ED 524 7. Ins tructions for Completion of SF
- LLL, Disclosure of Lobb yi ng Activities **Register as an Applicant** T o facilitate your use of G5 e
- Application, this document includes important application preparation and 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. Please read and follow these step
- by
- step directions to create and submit your application. **ATTENTION** Applicants using the Department of Education's G5 e
- Applicat ion s ys tem will need to register first to access an application package. Forms in an application package are completed on line and narratives are uploaded while logged into the s ys tem. Therefore, allow sufficient time to complete your application before th e closing date. If you encounter difficulties, you may also contact the G5 helpdesk on 1
- 888
- 336
- 8930. The following are steps you should follow to successfull y complete an application using G5 e - Application. Please note that there is a training module available on the G5 home page ( www.G5.gov) that details the registration and G5 application processes in detail for users new to G5. You can access this module under the Main Menu of the homepage and link to Online Training. Look for the training topic G5 for Applicants. **Step 1**

– **Register in G5** to access the electronic application package. If yo u are a new user, yo u will need to register to use G5 e - Application.

 From the G5 Portal Page http://www.G5.gov/ , click on the Sign Up button for non - ED employees. The User Registration Screen displays.  Click the button to the right of the ED Employ ee/ED Contractor field to display the employee/contractor options. Select the “no” list option. Enter all required information as not ed by red asterisks ( * ).  Click the continue button to proceed to the user registration agreement. Select the agree button to accept the terms of the user agreement, and then the Submit button. **Note:** If you do not agree, then you may not complete the registration process. The s ys tem display s a message indicating that the sy stem will send a notification to your email address.  The sy stem sends a message with a link to activate your account. Clicking the link takes yo u to the Account Activation screen. Click the **Agree** option to accept the activation terms.  Click on the Submit button to initiate your activation. Read the EDCAPS Securit y memorandum with the subject “G5 User ID and Password” and click the **Continue >**FY 2 015 HBCU and SAFRA Application

– 20

button. The next Account Activation screen will require you to complete the password, securit y question and security answer. Fill out the required fields and press the Continue button to move to the summary information. Click the **Activate** button to activate your account and save your password and security information. The sy stem display s a message indicating that the account has been activated. You will now need to log into G5 where yo u will be taken to the My Profile page where you should select your role for access. In the Availability

Ty pes field, se lect “Applicant” from the list and Continue. Proceed through the next screen and Submit. You will then receive an email with the G5 link. Your applicant role may

take a few minutes to activate. If you alread y have a username and password for G5 use them t o login. If you have access to more than one G5 module, you will be directed to select which module you wish to enter. Keep in mind that this username and password will be used for all G5 modules. In order to update your registration for additional G5 modu les, click the appropriate tab on the top of the screen and provide the requested information. The site is viewed best using Internet Explorer 5.5 or higher. **Step 2**

– **Add Application Package to your Start Page** . From your Home Page, go to Grant Setup and click on “Package Submission.” Select the package for which you wish to apply and click on the "Initiate New Application” button. In the future, the package will now appear when you click on “Package Submission” or after using the “Click Here to view my Ap plications” link under “Quick View” on your Home Page. **Step 3**

– **Begin the Application** . After going to the Application Package, click on the “Modify Application” button. This brings you to a page where you will see all of the application's forms and narrat ives listed. **Step 4**

– **Fill out Forms** . Select the form you would like to complete and click on the “Edit Form” button to enter data. Remember to click the "Save" button at the bottom of the form and check the "Form Completed" box for each form as you comp lete it. **Step 5**

– **Upload File(s) for Narrative Responses** . When prompted to attach narrative documents to application forms, enter the title of the document, and then Select the “Upload” button. Next, click on the "Browse" button to locate your file. Remember to click the "Save" button after you upload the document and check the "Form Completed" box when you finish uploading your file(s) and/or completing the form. Please note for file uploads, **we accept .pdf files**  **only. Step 6** 

– **Verify Information/Submit your Application**  . Verify your information is correct and complete before submitting. Onl y authorized individuals for your organization can submit an application. Please check with your certifying official or sponsored research office before submission. Af

ter all forms are completed, click on the "Continue" button at the bottom of yo ur application. Enter and verify the Authorizing Representative information, and click the "Submit" button. At the top of the page you will see a confirmation message stating that your application was successfully submitted and providing you with your application number. You will also receive an e
- mail to confirm that your application was received, and it will include your application number. Please print and keep this e
- mail fo r your records. [Reminder: applications must be submitted before 4:30:00 pm, Washington, D.C. time, on the deadline date for applications. G5 e
- Application will not accept your application if you try to submit it after 4:30:00 on the deadline date.]FY 2 015 HBCU and SAFRA Application

– 21

**Step 7** 

– **Printing Your Completed Application.** You have the option to print each form at an y time b y clicking on the “View Form” button after selecting the appropriate form to print. After submission of your application, you have the option to print a complete e Application package in PDF. From the Application Packages tab you will notice that your application status has changed from Draft to Submitted. To locate the PDF of your application, select the package radio button and click the “Modify Application” button. Then select the “Click Here to view the PDF Package” in the upper right hand corner of the page under the Package In formation section. **Step 8**

– **Fax the signed SF 424 Cover Page (or Program Specific Cover Page)**
. Write yo ur unique application number ( received in step 8) on the upper right corner of your printed SF 424 Cover Page (or Program Specific Cover Page), and fax it to the Application Control Center (202) 245
- 6272 within 3 business day s of submitting your e - Application. This may be optional for some programs. NOTE: For more detailed information on submitting an e
- Application, please see the **User Guide** 
. The Online Training can be found under the main menu at http://www.G5.gov
. **Attaching Files**

**– Additional**  **Tips** Please note the following tips related to attaching files to your application: 1. Ensure that you only attach the Education approved file type detailed in the Federal Register application notice (read
- onl y, non - modifiable .PDF files onl y). Also, do n ot upload an y password protected files to your application. 2. When attaching files, applicants should limit the size of their file names. Lengthy file names could result in difficulties with opening and processing your application. We recommend you keep yo ur file names to less than 50 characters. 3. **PLEASE DO NOT USE SPECIAL/NON ENGLISH CHARACTERS IN ANY FORM**  **OR DOCUMENT FOR BOTH FELLOWSHIP APPLICANTS AND REFEREES**  **(for example, %, *, /, etc.) Foreign characters or symbols includes** **words spelled with a non**  **- En**  **glish alphabet, such as “Boğaziçi” or “Niz ām al**  **- Dīn**  **Gīlānī” or any word with an accent mark.**  Both of these conditions (lengthy file names and/or special characters including in the file names) could result in difficulties opening and processing a submitted application. 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. Please n ote that each file attachment in e - Application has a file size limitation which is any where from 2 to 8 MB and the limitation will be indicated on the individual screen when you upload a file. For reference, however, the average discretionary grant applic ation package totals 1 to 2 MB. Therefore, you may want to check the size of your attachments before uploading them into e - Application. **Other Submission Tips**  **SUBMIT EARLY**

– **We strongly recommend that you do not wait until the last day to submit**  **your appl**  **ication .**  The time it takes to upload the narratives for yo ur application willFY 2 015 HBCU and SAFRA Application

– 22

vary depending on a number of factors including the size of the files and the speed of your Internet connection. If yo u try to submit your application after 4:30:00 PM Washingto n, DC time on the deadline date, the G5 e - Application s ys tem will not accept it. 1. 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 tra nsmittal instructions for hard copy applications in this notice and get a hard cop y application postmarked b y midnight on the deadline date. If electronic submission is required , you must submit an electronic application before 4:30 PM unless you follow the procedures in this notice and qualify for one of the exceptions to the electronic submission requirement and submit, no later than two weeks before the application deadline date, a written statement to the Department that you qualify for one of these ex ceptions. 2. Dial
- Up Internet Connections
- When using a dial up connection to upload and submit yo ur application, it can take significantly longer than when you are connected to the Internet with a high
- speed connection. While times will vary depending upon the size of yo ur 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, yo u may want to consider follo wing the instructions in this notice to obtain an exception to the electronic submission requirement no later than two weeks before the application deadline date. 3. Exception to Electronic Submission Requirement : You qualify for an exception to the electron ic submission requirement, and may submit your application in paper format, if yo u are unable to submit an application through G5 because

––
 You do not have access to the Internet; or
 You do not have the capacity to upload large documents to G5; and

 No l ater than two weeks before the application deadline date (14 calendar day s or, if the fourteenth calendar day before the application deadline date falls on a Federal holiday , the next business day following the Federal holiday), you mail or email 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 yo ur written statement to the Department, it must be postmarked no later than two weeks before the application deadline date. If you email your written statement to the Department, we must receive the email statement no later than two weeks before the application deadline date. Address and mail or e mail your statement to: Wendy B. Lawrence, M.Ed. , U.S. Department of Education , 1990 K Street, N.W ., Mail Stop: K

OPE

- 6

- 6055, Attention: SAFRA FY 2015 Application , Wa shington, D.C. 20006

- 8513 or Email: Wendy .L awrence@ed.gov
. Your paper application must be submitted in accordance with the email , U.S. M ail , or H and D elivery instructions described above.
a. Submission of Paper Applications by Mail If you qualify for an exception to the electronic submission requirement, you may mail (through the U.S. Postal Service or a commercial carrier) your application to the Department. You must mail the original and two copies of your application, on or before the application deadline date, to the Department at the following address:FY 2 015 HBCU and SAFRA Application

– 23 **U.S. Department of Education**  **Applica tion Control**  **Center Attention: (CFDA Number**  **84.031B) LBJ Basement Level**  **1 400 Maryland Avenue,**  **SW. Washington, DC**  **20202 -**  **4260** You must show proof of mailing consisting of one of the following: (1) A legibl y dated U.S. Postal Service postmark (2) A legible mail receipt with the date of mailing stamped by the U.S. Postal Service (3) A dated shipping label, invoice, or receipt from a commercial carrier. (4) Any other proof of mailing acceptable to the Secretary of the U.S. Department of Education If you mail your applicati on 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 b y 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. b. Submission of Paper Applications by Hand Delivery If you qual ify

for an exception to the electronic submission requirement, you (or a courier service) may

deliver your paper application to the Department b y hand. You must deliver the original and two copies of your application, by hand, on or before the application deadline date, to the Department at the following address: **U.S. Department of Education**  **Application Control Center**  **Attention: (CFDA Number 84.031B)**  **LBJ Basement Level 1**  **400 Maryland Avenue, SW.**  **Washington, DC 20202**  **- 4260**  The Application Control Center accepts hand deliveries dail y between 8:00 a.m. and 4:30 p.m., Washington, D.C. time, except Saturday s, Sundays, and Federal holiday s. Note for Mail or Hand Delivery of Paper Applications : I f you mail or hand deliver your application to the Department

— (1) Y ou 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 yo ur grant application. If you do not receive this grant notification within 15 business day s from the application deadline date, you should call the U.S. Department of Education Application Control Center at (202) 245
- 6288.FY 2 015 HBCU and SAFRA Application

– 24 

### INSTRUCTIONS FOR THE SF **- 424**  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 optiona l 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 t ype of submission in accordance with agency

instructions. • Pre
- application • Application • Changed/Corrected Applicatio n
– 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 t ype of application in accordance with agency

instructions. • New

– An application that is being submitted to an agency

for the first time. • Continuatio n - 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 D. Decrease Duration B. Decrease Award E. Other (speci fy) C. Increase Duration 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) affec ted are likel y to be different than the place(s) of performance reported on the SF
- 424 Project/Performance Site L ocation(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 showingFY 2 015 HBCU and SAFRA Application

– 25 project location (e.g., construction or real propert y projects). For pre
- applications, attach a summary

description of the project. 4. **Applicant Identifier:** Enter the entity identifier assigned bu y 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 b y the program or project. Enter in the format: 2 characters state abbreviation

– 3 c haracters district number, e.g., CA
- 005 for California 5th district, CA
- 012 for California 12 district, NC
- 103 for North Carolina’s 103 district. I f 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 onl y b y programs for which the area(s) affected are likel y to be different than place(s) of performance reported on the SF
- 424 Project/Performance Site L ocation(s) Form. Attach an additional list of program/project congressional districts, if needed. 5b. **Federal Award Identifier** : F or 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:** Le ave 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 b y the state, if applicable. 8. **Applicant Informatio n**  : 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 Central Contractor Registry ( CCR). Information on registering with CCR 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.

**b. Employer/Taxpayer Number (EIN/TIN):**  (Required) Enter the employ er or taxpay er identification number (EIN or TIN) as assigned b y 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 b y 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 decrease s, enclose theFY 2 015 HBCU and SAFRA Application

– 26 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 Applicat ion 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 intergovernment al review process. Select the appropriate box. I f “a.” is selected, enter the date the application was submitted to the State. **d. Address** : Enter address: Street 1 (Required); cit y (Required); County /Parish, State (Required if country is US), Province, C ountry (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 authorize d representative. Categories of federal debt include; but, may not be limited to: delinquent audit disallowances, loans and taxes. I f yes, include an explanation in an attachment. **e. Organizational Unit:** Enter the name of the primary

organizational uni t, department or division that will undertake the assistance activity
. 21. **Authorized Representative** : To be signed and dated b y the authorized representative of the applicant organization. Enter the first and last name (Required); prefix, middle name, suf fix. 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 re quire 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. Ty pe of Applicant: (Required) Select up to three applicant t ype(s) in accordance with agency

instructions. A. State Government B. County Government C. City or Township Government D. Special District Government M. Nonprofit

N. Private Institution of Higher Education O. Individual P. For
- Profit Organization (Other than Small Business) Q. SmallFY 2 015 HBCU and SAFRA Application

– 27

E. Regional Organization F. U.S. Territory or Possession G. Independent School District H. Public/State Controlled Insti tution of Higher Education I. Indian/Native American Tribal Government (Federall y Recognized) J. In dian/Native American Tribal Government (Other than Federall y Recognized) K. Indian/Native American Tribally Designated Organization L. Publi c/Indian Housing Authority Business

R. Hispanic
serving Institution S. Historically Black College s 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 .]FY 2 015 HBCU and SAFRA Application

– 28 

### Instructions for U.S. De **partment of Education Supplemental Information for the SF**  **- 424**  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 ty pe 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 b y 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 an y time during the proposed projec t 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 an y time during the proposed project period, either at the applicant organizatio n or at an y 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 Ed ucation 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 numb er(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 Supplem ental In formation 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. “Non exempt Research Narrative” in the attached page entitled “Definitions for U.S. Department of Education Supplemental Information for the SF
- 424.”FY 2 015 HBCU and SAFRA Application

– 29

3b. Human Subjects Assurance Number. If the applicant has an approved Federal Wide Assurance (FWA) on file w ith 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/search.aspx?sty p=bsc ) 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 co mply 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 with in 30 day s after the specific formal request. 3c. If applicable, please attach your “Exempt Research” or “Nonexempt Research” narrative to yo ur submission of the U.S Department of Education Supplemental Information for the SF
- 424 form as instructed in it em 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 do es 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 app licant obtain and send the certification to ED within 30 day s 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
. Public Burden Statement: According t o the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless such collection display s a valid OMB control number. Public reporting burden for this collection of information is estimated to average 20 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. The obligation to respond to this collection is required t o obtain or retain benefit (20 USC 3474 General Education Provisions Act). Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the U.S. Department of Educatio n, 400 Maryland Ave., SW, Washington, DC 20210
- 4537 or email ICDocketMgr@ed.gov and reference the OMB Control Number 1894
- 0007. Note: Please do not return the completed ED SF 424 Supplemental Form to this address.

### 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 rece ived 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 ha d 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, incl uding an y 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.
PRO TECTI ON OF HUMAN SUBJECTS I N 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 sy stematic 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, som e 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 i ntervention 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 instructi onal 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 obs ervation or recording is taking place, and information which has been provided for specific purposes by an individual and which the individual can reasonabl y 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 b y 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 educat ional practice is being introduced to the site and is not widely used for similar populations, it is not covered by this exemption. (2) Research involving the use of educational tests (cognitive, diagnostic, aptitude, achievement), survey procedures, int erview 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) an y disclosure of the human subjects’ responses outside the research could reasonabl y place the subjects at risk of criminal or civil liability or be damaging to the subjects’ financial standing, employ ability , 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 p ublic 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 jurisdi ction 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 publicl y available or if the information is recorded b y the investigat or 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 b y 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 tho se programs; (c) possible changes in or alternatives to those programs or procedures; or (d) possible changes in methods or levels of pay ment for benefits or services under those programs. [The standards of this exemption are rarely met because it was desi gned to apply only to specific research conducted by the Social Security Administration and some Federal welfare benefits 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 appr oved b y the Environmental Protection Agency or the Food Safet y 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 In formation 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 “exem pt 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 d esignated 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 p roposed involvement of human subjects. Describe the characteristics of the subject population, including their anticipated number, age range, and health status. I dentify 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 likel y to be vulnerab le(2) Sources of Materials : Id entify 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 specificall y 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 ele ments of consent or the requirement for documentation of consent. (4) Potential Risks : Describe potential risks (ph ys ical, psychological, social, legal, or other) and assess their likelihood and seriousness. Where appropriate, describe alternative treatm ents 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 ap propriate, 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 subje cts. (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 a nd in relation to the importance of the knowledge that may

reasonabl y 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 briefl y 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/li st/ocfo/humansub.html NOTE: The State Applicant I dentifier on the SF
- 424 is for State Use onl y. Please complete it on the SF
- 424 in the upper right corner of the form (if applicable).

### Instructions for ED 524 **General Instructions** This form is used to apply to individual U.S. Department of Education (ED) discretionary grant programs. Unless directed otherwise, provide the same budget information for each ye ar of the multi
- year funding request. Pay attention to applicable program specific instructio ns, if attached. Please consult with your Business Office prior to submitting this form.
**Section A -**  **Budget Summary U.S. Department of Education Funds**  All applicants must complete Section A and provide a breakdown b y the applicable budget categories sh own in lines 1
- 11. Lines 1
- 11, columns (a)
- (e): For each project ye ar 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 f unding is requested for onl y 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 y ears. If funding is requested for onl y one ye ar, leave this space blank. Indirect Cost Information: If you are requesting reimbursement for indirect costs on line 10, this information is to be completed b y 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 “y es” in (1), indicate in (2) the beginning and ending dates covered by the Indirect Cost Rate Agreement. In addition, indicate whe ther 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 onl y one response. Leave blank, if this item is not applicable.

### Section B **- Budget Summary**  **Non -**  **Federal Funds** If you are required t o provide or volunteer to provide matching funds or other non
- Federal resources to the project, these should be shown for each applicable budget category on lines 1
- 11 of Section B. Lines 1
- 11, columns (a)
- (e): For each project ye ar, 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 y ear, leave this column blank. Line 12, columns (a)
- (e): Show the total matching or other contribution for each project ye ar. Line 12, column (f): Show the total amount to be contributed for all ye ars of the multi
- ye ar project. If non
- Federal contributions are provid ed for only one y ear, 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 y ear, for each budget category listed in Sections A and B. For grant projects that will be divided into two or more separatel y budgeted major activities or sub
- projects, show for each budget category of a project year the breakdown of the specific expenses attributable to each sub
- project or activity
. 2. If applicable to this program, provide the rate and base on which fringe benefits are calculated. 3. If you are requesting reimbursement for indirect costs on line 10, this information is to b e completed b y 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 yo ur approved Indirect Cost Rate Agre ement, 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 Web site at: http://www.ed.gov/fund/grant/apply /appforms/a

ppforms.html
. You may also contact (202) 377
- 3838 for additional information regarding calculating indirect cost rates or general indirect cost rate information.4. Provide other explanations or comments yo u deem necessary
.**INSTRUCTIONS FOR C OMPLETION OF SF**  **- LLL**  **DISCLOSURE OF LOBBYING ACTIVITIES** This disclosure form shall be completed b y the reporting entit y, whether sub
- awardee or prime Federal recipient, at the initiation or receipt of a covered Federal action, or a material change to a prev ious filing, pursuant to title 31 U.S.C. section 1352. The filing of a form is required for each pay ment or agreement to make pay ment to an y lobbying entit y for influencing or attempting to influence an officer or employ ee of an y agency, a Member of Congr ess, an officer or emplo ye e 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 publishe d by the Office of Management and Budget for additional information. 1. Id entify

the t ype of covered Federal action for which lobbying activity is and/or has been secured to influence the outcome of a covered Federal action. 2. Id entify

the status of the covered Federal action. 3. Id entify

the appropriate classification of this report. I f this is a follow
- up report caused by a material change to the information previously reported, enter the year and quarter in which the change occurred. Enter the date of the last previously submitted report by

this reporting entity

for this covered Federal action. 4. Enter the full name, address, city , s tate , and zip code of the reporting entity . Include Congressional District, if known. Check the appropriate classi fication of the reporting entity that designates if it is, or expects to be, a prime or sub
- award recipient. I dentify the tier of the sub
- awardee , e.g., the first sub
- awardee of the prime is the 1st tier. Sub
awards include but are not limited to subcontracts, sub
- grants and contract awards under grants. 5. If the organization filing the report in item 4 checks “Sub
- awardee,” then enter the full name, address, city , s tate and zip code of the prime Federal recipient. Include Congressional District, if kn own. 6. Enter the name of the federal agency making the award or loan commitment. Include at least one organizational level below agency name, if known. For example, Department of Transportation, United States Coast Guard. 7. Enter the Federal program name or description for the covered Federal action (item 1). If known, enter the full Catalog of Federal Domestic Assistance (CFDA) number for grants, cooperative agreements, loans, and loan commitments. 8. Enter the most appropriate Federal identifying number available for the Federal action identified in item 1 (e.g., Request for Proposal (RFP) number; Invitations for Bid (IFB) number; grant announcement number; the contract, grant, or loan award number; the application/proposal control number assigned by the Federal agency). Included prefixes, e.g., “RFP
- DE
- 90
- 001.”9. For a covered Federal action where there has been an award or loan commitment by the Federal agency , enter the Federal amount of the award/loan commitment for the prime entity identi fied in item 4 or 5. 10. (a) Enter the full name, address, cit y, State and zip code of the lobb yi ng registrant under the L obbying Disclosure Act of 1995 engaged by the reporting entit y identified in item 4 to influence the covered Federal action. (b) Ent er 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 t elephone number. According to the Paperwork Reduction Act, as amended, no persons are required to respond to a collection of information unless it display s a valid OMB control Number. The valid OMB control number for this information collection is OMB No. 1840
- 0113. 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 completin g 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