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 FISCAL RESPONSIBILITY ACT (SAFRA) OF 2009 (FY 2015)

AND

STRENGTHENING HISTORICALLY BLACK COLLEGES 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 ....................................................................10

General Education Provisions Act (GEPA) Section 427...............................................................11

Government Performance and Results Act (GPRA) .....................................................................12

Section I – Phase I: Formula Data Form......................................................................................14

Important Dates to Remember.......................................................................................................16

Section II – Phase II: The Comprehensive Development Plan (CDP) - SAFRA ONLY..............17

Instructions and Forms for Submitting Phase II Comprehensive Development Plan (CDP)........17

G5 e-Application Submission Procedures and Tips for Applicants ..............................................19

Instructions for SF424....................................................................................................................24

Instructions for Department of Education Supplemental Information for SF 424B......................28

Definitions for Department of Education Supplemental Information for SF 424B.......................30

Instructions for ED 524..................................................................................................................34

Instructions for Completion of SF-LLL, Disclosure of Lobbying Activities................................37
FY 2015 HBCU and SAFRA Application – 3

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 24 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 (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 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 Mr. Donald E. Watson, Director, Historically Black 

Colleges and Universities, Division, Office of Postsecondary Education, 1990 K Street, NW, 

Mail Stop K-OPE-6-6055, Washington, DC 20006-8513.
FY 2015 HBCU and SAFRA Application – 4

UNITED STATES DEPARTMENT OF EDUCATION

OFFICE OF POSTSECONDARY EDUCATION

Dear Applicant:

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

application can be used to apply for new awards under the Historically 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 respectively. These grant programs provide financial assistance to establish or 

strengthen the physical plants, financial management, academic resources, and endowments of 

the historically Black colleges and universities that enhance these institutions and facilitate a 

decrease in the reliance on governmental financial support and to encourage reliance on 

endowments and private sources. The institutions of higher education must be legally designated 

as a Title III eligible Historically Black College and University to apply for funding. Please 

note: Endowment funding is not an allowable activity under the SAFRA mandatory funds

program. 

Institutions of higher education legally designated as a historically Black college or university 

are eligible to apply. Additional information and the regulations governing the HBCU Program

and the SAFRA can be accessed from the following Web site:

 http://www2.ed.gov/programs/iduestitle3b/index.html

Specifics regarding 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 deadlines 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 any questions or require additional information, please contact Wendy Lawrence by 

email (Wendy.Lawrence@ed.gov) or telephone (202-219-7097).

I appreciate your interest in the Historically Black Colleges and Universities and SAFRA 

Programs and look forward to receiving your application. 

Sincerely,

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 excellence and ensuring equal access.
FY 2015 HBCU and SAFRA Application – 5

FY 2015 APPLICATION HIGHLIGHTS 

Institutions of higher education legally designated as a historically Black college or university 

are eligible to apply. Additional information and the regulations governing the HBCU program 

can be accessed from the following Web site: 

http://www2.ed.gov/programs/iduestitle3b/index.html

Funds are awarded to eligible institutions as discretionary grants, with award amounts 

determined by formula, based on three figures provided to the Department annually by each 

eligible institution: 

1. The number of Pell Grant recipients in the most recent academic year, 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 year, 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 years that have gone on to graduate or 

professional schools, in degree programs in disciplines in which Blacks are 

underrepresented, divided 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 by the formula is less than $250,000, the institution is awarded $250,000. 

In FY 2009, additional funds were appropriated by Congress (referred to as mandatory funds or 

SAFRA) under two separate legislative acts. These funds provided an additional fixed amount of 

$78,795,000 to HBCUs through FY 2019. The Title III, Part F mandatory funds are added to 

any amount appropriated in a regular or supplemental appropriation act under the Title III, Part B 

Strengthening HBCU Program. The proposed SAFRA grant period is four years ending 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 required to submit a new application for Phase II, 

which is the Comprehensive Development Plan (CDP) to address the funding. Additionally, 

applicants are required to include a separate project abstract. The project abstract is limited to 

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

proposed four-year project for the SAFRA funds in 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 legislatively allowable activities for Part F:

 Purchase, rental, or lease of scientific or laboratory equipment for educational purposes, 

including instructional and research purposes;
FY 2015 HBCU and SAFRA Application – 6

 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;

 Establishing 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 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.

PLEASE NOTE: ENDOWMENT FUNDING IS NOT AN ALLOWABLE ACTIVITY 

UNDER THE FOUR-YEAR SAFRA MANDATORY FUNDS PROGRAM.
FY 2015 HBCU and SAFRA Application – 7

AUTHORIZING LEGISLATION

Institutions submitting applications for the SAFRA four-year grant are required to submit a 

Comprehensive Development Plan (CDP) in accordance with §608.21 of the HBCU regulations. 

The CDP is addressed in the Phase II process. Below are the HBCU and SAFRA legislative 

citations. The SAFRA legislation has an end date for mandatory funds availability in 2019 and 

a four-year grant period. The end date is reflected in the legislation below (in bold). The 

regulations governing the HBCU and SAFRA programs 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

Legislation

 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 by striking ‘and 2009.’ and all that 

follows and inserting ‘through 2019.’ The authority to award grants under this section shall 

expire at 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 institution 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 Pacific Islander-serving institution (as defined in 

subsection (c)); or

‘‘(7) a Native American-serving nontribal institution (as defined in subsection (c)).

‘‘(b) NEW INVESTMENT OF FUNDS.—
FY 2015 HBCU and SAFRA Application – 8

‘‘(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 years 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 

year—

‘‘(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 shall be available for allocation under subparagraph (D).

‘‘(C) ALLOCATION AND ALLOTMENT HBCUS AND PBIS.—

From the amount made available for allocation under this subparagraph by subparagraph (A)(ii) 

for any fiscal year—

‘‘(i) 85 percent shall be available to 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 year in a regular or 

supplemental 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 paragraphs (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 eligible 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 any of the following areas:

‘‘(I) science, technology, engineering, or mathematics (STEM);

‘‘(II) 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 (formerly Parts 74 and 

80)

Guidance

 Office of Management and Budget (OMB) Grants Management Circulars
FY 2015 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 directors).

b. Position 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 year during the funding cycle (including any time

extensions) using the Institutional Service Annual Performance Report Website for Title III and

Title V Grantees. This online system 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 of 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 Liaison 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.Lawrence@ed.gov
FY 2015 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 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

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: The 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 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.
FY 2015 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 access 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 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.

NOTE: Applicants for new awards must include information in their applications to 

address this provision in order to receive funding under this program.
FY 2015 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 clearly state what it intends to accomplish, identify the resources 

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

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

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

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

customer satisfaction.

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

As required by GPRA, the Department of Education has prepared a strategic plan for 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.
FY 2015 HBCU and SAFRA Application – 13

 What are the performance indicators for the Title III, Part B HBCU and Part F 

SAFRA programs?

The performance indicators for the Title III, Part B and Part F programs are part of the 

Department’s plan for meeting Goal 1: Increase college access, affordability, quality, and 

completion by improving postsecondary education and lifelong learning opportunities for 

youths and adults.

Program Goal: To improve the capacity of minority-serving institutions, which 

traditionally have limited resources and serve large numbers of lowincome and minority students, to improve student success and to provide 

high-quality educational opportunities for their students.

HBCU Program

Objective 1 of 3: Increase enrollments at historically Black colleges and universities.

Measure 1.1: The percentage change, over the grant cycle, for the number of full-time degreeseeking undergraduates enrolled at Historically Black Colleges and Universities. 

Objective 2 of 3: Increase the persistence rate for students enrolled at HBCUs.

Measure 2.1: The percentage of full-time undergraduate students in their first year of 

postsecondary enrollment within the previous year and are enrolled in the current year at the 

same HBCU institution. 

Objective 3 of 3: Increase 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-year Historically 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 progress reports and a 

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

goals and objectives are met. 

The most recent version of this program’s annual performance report can be viewed at the 

Institutional Service Annual Performance Report Web Site: 

https://opeweb.ed.gov/isapr
FY 2015 HBCU and SAFRA Application – 14

OMB No. 1840-0113

Expiration Date:__________2018

SECTION I

PHASE I FORMULA GRANT DATA WORKSHEET (FY 2015)

HISTORICALLY BLACK COLLEGES 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 34 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 year (FY) 2015 Title III, Part B (HBCU), 

and Part F (SAFRA) award allocations.

NAME OF INSTITUTION: ________________________________________________

CITY: _________________________________________________ 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 2015 HBCU and SAFRA Application – 15

PHASE I FORMULA GRANT DATA WORKSHEET (FY 2015)

1. Number of Pell Grant recipients attending the applicant institution during the school year 

immediately preceding the beginning of the fiscal year in which the applicant applies for a 

grant. (July 1, 2013 – June 30, 2014)

__________ (1)

2. Number of graduates of the applicant institution during the school year immediately

preceding the beginning of the fiscal year 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 years.

__________ (2)

3. Enter the total from Column B, Years 1-5 (July 1, 2010 – June 30, 2014). 

__________ (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 year.

__________ (4)

PLEASE USE THE FORMULA ABOVE TO CALCULATE THE TOTALS FOR ITEMS 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 makes a false statement or misrepresentation on this form is subject 

to penalties, which may include fines, imprisonment, or both, under the United States Criminal Code and 20 

U.S.C. 1097
FY 2015 HBCU and SAFRA Application – 16

Important Dates to Remember 

HISTORICALLY BLACK COLLEGES AND UNIVERSITIES (HBCU) PROGRAM

AND

STUDENT AID AND FISCAL RESPONSIBILITY ACT (SAFRA) OF 2009

FY 2015 Calendar for Phase I and Phase II Data

Dates Activities

TBD Phase I Data Due

TBD Department will review and approve awards.

TBD Award letters sent to institutions via email.

TBD

HBCU Phase II – Email revised budgets directly 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 applications and budgets.

October 1, 

2015 FY 2015-2016 funds available in G5.
FY 2015 HBCU and SAFRA Application – 17

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 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.

The Secretary 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 following:

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 accompanying 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 clearly 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 graduate school/professional school placement success.

Summary of the Institution’s Planning Process – specifically identify major institutional 

priorities.

Overview of Current Long-Range Plan – describe in detail the major emphases and goals for 

the current planning period.
FY 2015 HBCU and SAFRA Application – 18

CDP Focus – fully describe areas targeted for improvement; list goals related to improving

academic quality, fiscal stability, institutional management, and student services; summarize

activities to address CDP goals; and describe CDP assessment 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 pages 5-6 of this package. In detail, 

describe the purpose of each activity. NOTE: A Comprehensive Development Plan (CDP)

should include project administration as one of its proposed activities.

DESCRIBE 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 high, 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 each year 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 objectives 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 year you are requesting grant funds. Demonstrate and justify that all costs are 

reasonable in today’s market and necessary to accomplish your activity 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 – Provide an itemized budget for 

each of the four years of the project. Applicants need only to provide a detailed budget narrative 

and justification for the SAFRA’s first (initial) year of their proposed four year project.
FY 2015 HBCU and SAFRA Application – 19

G5 e-Application 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 SF-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. Instructions for Completion of SF-LLL, Disclosure of Lobbying Activities

Register as an Applicant

To 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 timelymanner and accepted by the Department of Education. Please read and 

follow these step-by-step directionsto create and submit your application.

ATTENTION

Applicants using the Department of Education's G5 e-Application system will need to register 

first to access an application package. Forms in an application package are completed on line and 

narrativesare uploaded while logged into the system. Therefore, allow sufficient time to 

complete your application before the 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 

successfully 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 accessthis 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 you are a new user, 

youwill 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 Employee/ED Contractor field to display the

employee/contractor options. Select the “no” list option. Enter all required information as

noted 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 system displays a 

message indicating that the system will send a notification to your email address.

 The system sends a message with a link to activate your account. Clicking the link takes 

you 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 Security

memorandum with the subject “G5 User ID and Password” and click the Continue > 
FY 2015 HBCU and SAFRA Application – 20

button. The next Account Activation screen will require you to complete the password, 

security 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 system displays a message 

indicating that the account has been activated. You will now need to log into G5 where 

you will be taken to the My Profile page where you should select your role for access. In 

the Availability Types field, select “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 already have a username and password for G5 use them to 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 modules, 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

Applications” 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 narratives 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 complete 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. Only authorized individuals for your organization can 

submit an application. Please check with your certifying official or sponsored research office 

before submission. After allforms are completed, click on the "Continue" button at the bottom of 

your 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 for yourrecords. [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 2015 HBCU and SAFRA Application – 21

Step 7 – Printing Your Completed Application. You have the option to print each 

form at any time by 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 eApplication package in PDF. From the Application Packages tab you will notice that your 

application status has changed from Draftto 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 

Information section.

Step 8 – Fax the signed SF 424 Cover Page (or Program Specific Cover Page). Write

your unique application number (received in step 8) on the upper right corner of your printed SF 

424Cover Page (or Program Specific Cover Page), and fax it to the Application Control Center 

(202) 245-6272 within 3 business days 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-only, non-modifiable .PDF files only). Also, do not 

upload any 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 your 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 anon- English alphabet, such as “Boğaziçi” or “Nizām 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 note that each file 

attachment in e- Application has a file size limitation which is anywhere 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 application package 

totals 1 to 2 MB. Therefore, youmay 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 

submityour application. The time it takes to upload the narratives for your application will 
FY 2015 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 you try to submit your application after 4:30:00 PM Washington, DC time 

on the deadline date, the G5 e-Application system 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 transmittal

instructions for hard copy applications in this notice and get a hard copy application 

postmarked bymidnight 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 exceptions.

2. 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. 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 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

electronic submission requirement, and may submit your application in paper format, if 

you 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 later than two weeks before the application deadline date (14 calendar days or, if

the fourteenth calendar day before the application deadline date falls on a Federal 

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

your written statement to the Department, itmust 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 twoweeks before the 

application deadline date. Address and mail or email your statement to: Wendy B. 

Lawrence, M.Ed., U.S. Department of Education, 1990 K Street, N.W., Mail Stop: KOPE-6-6055, Attention: SAFRA FY 2015 Application, Washington, D.C. 20006-

8513 or Email: Wendy.Lawrence@ed.gov.

Your paper application must be submitted in accordance with the email, U.S. Mail, or Hand

Delivery 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 2015 HBCU and SAFRA Application – 23

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

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 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 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 deliverthe 

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 daily between 8:00 a.m. and 4:30 p.m., 

Washington, D.C. 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 grant notification within 15 business days from 

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

Application Control Center at (202) 245-6288.
FY 2015 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 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 D. 

Decrease Duration

B. Decrease Award E. 

Other (specify)

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) 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 
FY 2015 HBCU and SAFRA Application – 25

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 buy 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 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 

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 
FY 2015 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 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

M. Nonprofit

N. Private 

Institution of 

Higher Education

O. Individual

P. For-Profit 

Organization 

(Other than Small 

Business)

Q. Small 
FY 2015 HBCU and SAFRA Application – 27

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

Business

R. Hispanicserving 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.]
FY 2015 HBCU and SAFRA Application – 28

Instructions for U.S. Department 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 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.”
FY 2015 HBCU and SAFRA Application – 29

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/search.aspx?styp=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 SF424, 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.

Public 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 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 to 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 Education, 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 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.

(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 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 

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 SF424. 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
(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).
Instructions for ED 524

General Instructions

This form is used to apply to individual U.S. Department of Education (ED) discretionary grant 

programs. Unless directed otherwise, provide the same budget information for each year of the 

multi-year funding request. Pay attention to applicable program specific instructions, if attached. 

Please consult with your Business Office prior to submitting this form.

Section A - Budget Summary

U.S. Department of Education Funds

All applicants must complete Section A and provide a breakdown by the applicable budget 

categories shown in lines 1-11.

Lines 1-11, columns (a)-(e): For each project year for which funding is requested, show the total 

amount requested for each applicable budget category.

Lines 1-11, column (f): Show the multi-year total for each budget category. If funding is 

requested for only one project year, leave this column blank.

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

is requested.

Line 12, column (f): Show the total amount requested for all project years. If funding is 

requested for only one year, leave this space blank.

Indirect Cost Information: 

If you are requesting reimbursement for indirect costs on line 10, this information is to be 

completed by your Business Office. (1): Indicate whether or not your organization has an 

Indirect Cost Rate Agreement that was approved by the Federal government. (2): If you checked 

“yes” in (1), indicate in (2) the beginning and ending dates covered by the Indirect Cost Rate 

Agreement. In addition, indicate whether ED or another Federal agency (Other) issued the 

approved agreement. If you check “Other,” specify the name of the Federal agency that issued 

the approved agreement. (3): If you are applying for a grant under a Restricted Rate Program (34 

CFR 75.563 or 76.563), indicate whether you are using a restricted indirect cost rate that is 

included on your approved Indirect Cost Rate Agreement or whether you are using a restricted 

indirect cost rate that complies with 34 CFR 76.564(c)(2). Note: State or Local government 

agencies may not use the provision for a restricted indirect cost rate specified in 34 CFR 

76.564(c)(2). Check only one response. Leave blank, if this item is not applicable.
Section B - Budget Summary

Non-Federal Funds

If you are required to provide or volunteer to provide matching funds or other non-Federal 

resources to the project, these should be shown for each applicable budget category on lines 1-11 

of Section B.

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

contributions are provided, show the total contribution for each applicable budget category.

Lines 1-11, column (f): Show the multi-year total for each budget category. If non-Federal 

contributions are provided for only one year, leave this column blank.

Line 12, columns (a)-(e): Show the total matching or other contribution for each project year.

Line 12, column (f): Show the total amount to be contributed for all years of the multi-year 

project. If non-Federal contributions are provided for only one year, leave 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. If applicable to this program, provide the rate and base on which fringe benefits are 

calculated.

3. If you are requesting reimbursement for indirect costs on line 10, this information is to be 

completed by your Business Office. Specify the estimated amount of the base to which the 

indirect cost rate is applied and the total indirect expense. Depending on the grant program 

to which you are applying and/or your approved Indirect Cost Rate Agreement, some direct 

cost budget categories in your grant application budget may not be included in the base and 

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

of “Training grants" (34 CFR 75.562) and grants under programs with “Supplement not 

Supplant” requirements ("Restricted Rate" programs) by a “modified total direct cost” 

(MTDC) base (34 CFR 75.563 or 76.563). Please indicate which costs are included and 

which costs are excluded from the base to which the indirect cost rate is applied.

When calculating indirect costs (line 10) for "Training grants" or grants under "Restricted 

Rate" programs, you must refer to the information and examples on ED’s Web site 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.
4. Provide other explanations or comments you deem necessary.
INSTRUCTIONS FOR COMPLETION OF SF-LLL

DISCLOSURE OF LOBBYING ACTIVITIES

This disclosure form shall be completed by the reporting entity, whether sub-awardee or prime 

Federal recipient, at the initiation or receipt of a covered Federal action, or a material change to a 

previous filing, pursuant to title 31 U.S.C. section 1352. The filing of a form is required for each 

payment or agreement to make payment to any lobbying entity for influencing or attempting to 

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

of Congress, or an employee of a Member of Congress in connection with a covered Federal 

action. Complete all items that apply for both the initial filing and material change report. Refer 

to the implementing guidance published by the Office of Management and Budget for additional 

information.

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

secured to influence the outcome of a covered Federal action.

2. Identify the status of the covered Federal action.

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

by a material change to the information previously reported, enter the year and quarter in 

which the change occurred. Enter the date of the last previously submitted report by this 

reporting entity for this covered Federal action.

4. Enter the full name, address, city, state, and zip code of the reporting entity. Include 

Congressional District, if known. Check the appropriate classification of the reporting 

entity that designates if it is, or expects to be, a prime or sub-award recipient. Identify

the tier of the sub-awardee, e.g., the first sub-awardee of the prime is the 1st tier. Subawards 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, state and zip code of the prime Federal recipient. Include 

Congressional District, if known.

6. Enter the name of the federal agency making the award or loan commitment. Include at 

least one organizational level below agency name, if known. For example, Department 

of Transportation, United States Coast Guard.

7. Enter the Federal program name or description for the covered Federal action (item 1). If 

known, enter the full Catalog of Federal Domestic Assistance (CFDA) number for 

grants, cooperative agreements, loans, and loan commitments.

8. Enter the most appropriate Federal identifying number available for the Federal action 

identified in item 1 (e.g., Request for Proposal (RFP) number; Invitations for Bid (IFB) 

number; grant announcement number; the contract, grant, or loan award number; the 

application/proposal control number assigned by the Federal agency). Included prefixes, 

e.g., “RFP-DE-90-001.”
 9. For a covered Federal action where there has been an award or loan commitment by the 

Federal agency, enter the Federal amount of the award/loan commitment for the prime 

entity identified in item 4 or 5.

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

the Lobbying Disclosure Act of 1995 engaged by the reporting entity identified in item 4 

to influence the covered Federal action.

(b) Enter the full names of the individual(s) performing services, and include full address 

if different from 10(a). Enter Last Name, First Name, and Middle Initial (MI).

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

telephone number.

According to the Paperwork Reduction Act, as amended, no persons are required to respond to a 

collection of information unless it displays a valid OMB control Number. The valid OMB 

control number for this information collection is OMB No. 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 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