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Student Support Services Program

Request for Approval under the Paperwork Reduction Act 

Supporting Statement for the Extension of the Annual Performance Report

A. Justification 

1. Explain the circumstances that make the collection of information necessary. Identify 

any legal or administrative requirements that necessitate the collection. Attach a hard 

copy of the appropriate section of each statute and regulation mandating or authorizing 

the collection of information, or you may provide a valid URL link or paste the 

applicable section1. Specify the review type of the collection (new, revision, extension, 

reinstatement with change, reinstatement without change). If revised, briefly specify 

the changes. If a rulemaking is involved, make note of the sections or changed sections, 

if applicable.

The Department of Education (Department) is requesting approval of an extension of a

collection that is currently active. The Student Support Services (SSS) Program Annual 

Performance Report (APR) will expire on August 31, 2014 (OMB No.: 1840-0525). The 

SSS Program provides Federal financial assistance in the form of discretionary grants to 

institutions of higher education for the purpose of providing academic and other support 

services to low-income, first-generation college students or college students with 

disabilities. These support services are intended to increase students’ retention and 

graduation rates, facilitate their transfer from two-year to four-year institutions, and foster 

an institutional climate supportive of the success of low-income individuals; firstgeneration college students; or an individuals with disabilities.

The information submitted in the annual performance report is used to assign prior 

experience points. The SSS Program authorizing statute, Title IV, Part A, Subpart 2, 

Chapter 1, Section 402A(c)(2)(A) of the Higher Education Act of 1965, as amended, 

states that “in making grants under this chapter, the Secretary shall consider each 

applicant’s prior experience of high quality service delivery...under the particular 

program for which funds are sought.” The current SSS regulations 34 CFR 646.22

provide for the awarding of up to 15 points for prior experience. The data provided in the 

annual performance report are compared with the grantee’s approved project objectives 

to determine the grantee’s accomplishments and to award prior experience points. 

During a competition for new awards, the prior experience points are added to the 

average of the field readers’ scores to derive a total score for an application. A slate of 

all applicants is developed on the basis of the total scores of the applications. Funding 

recommendations and decisions are based on the rank order of applicants on the slate. 

Therefore, the assessment of prior experience points is a crucial part of the overall 

application process.

 

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In addition, during non-competitive years, the reports are used to verify that grantees are 

making substantial progress toward the achievement of approved objectives prior to 

issuing non-competing continuation awards.

Further, this APR form collects aggregate and quantifiable data needed to respond to the 

requirements of the Government Performance and Results Act (GPRA). In the 

Department’s Fiscal Year 2013 Annual Performance Plan, the overall objective for the 

SSS Program is to: “Increase the percentage of low-income, first-generation college 

students who successfully pursue postsecondary education opportunities.” 

Information is collected under the authority of Title IV, Part A, Subpart 2, Chapter 1, 

Section 402D of the Higher Education Act of 1965, as amended; the program regulations 

in 34 CFR Part 646; and the Education Department General Administrative Regulations 

(EDGAR) in 34 CFR 74.51, 75.720 and 75.732. (A copy of the current SSS Program 

regulations is attached.)

2. Indicate how, by whom, and for what purpose the information is to be used. Except for 

a new collection, indicate the actual use the agency has made of the information 

received from the current collection. 

The Department uses the data collected to: (a) evaluate a grantee’s accomplishments; (b) 

determine, in part, the number of prior experience points to be awarded a grantee; and (c) 

aid in compliance monitoring.

In addition, the annual performance reports are used to collect programmatic data for 

purposes of annual reporting; budget submissions to OMB; Congressional hearings and

testimonials; Congressional inquiries; and responding to inquiries from higher education 

interest groups and the general public. 

3. Describe whether, and to what extent, the collection of information involves the use of 

automated, electronic, mechanical, or other technological collection techniques or forms 

of information technology, e.g. permitting electronic submission of responses, and the 

basis for the decision of adopting this means of collection. Also describe any 

consideration of using information technology to reduce burden.

The data being requested allows the grantees to use computerized data systems to collect, 

retrieve, and report the requested information. A web-based software application has 

been developed for grantees to use to enter the data online and submit the entire report 

via the Internet. SSS Program grantees have been submitting the APR via the Internet 

since the 2000-2001 project year, and all grantees are currently required to submit the 

APR data via the Internet.

The data collected is summary information on project participants and services and 

represents a low-level security risk. Nonetheless, the web site is secured to ensure the 

data can only accessed by authorized individuals and are protected from network hackers.
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4. Describe efforts to identify duplication. Show specifically why any similar information 

already available cannot be used or modified for use of the purposes described in Item 2 

above.

The information submitted in this report is unique to each respondent: therefore no 

duplication exists as far as can be determined. There is no other collection instrument 

available to collect the information the Department is required to assess to determine 

grantees’ prior experience points and program outcomes, as described in item 2, above.

5. If the collection of information impacts small businesses or other small entities, describe 

any methods used to minimize burden. A small entity may be (1) a small business which 

is deemed to be one that is independently owned and operated and that is not dominant 

in its field of operation; (2) a small organization that is any not-for-profit enterprise 

that is independently owned and operated and is not dominant in its field; or (3) a small 

government jurisdiction, which is a government of a city, county, town, township, 

school district, or special district with a population of less than 50,000

This information collection does not involve small businesses or other small entities.

6. Describe the consequences to Federal program or policy activities if the collection is not 

conducted or is conducted less frequently, as well as any technical or legal obstacles to 

reducing burden.

Performance information is collected annually. Collection of information on a less 

frequent basis is not feasible. These reports are used to determine whether the grantee is 

making satisfactory progress in meeting the goals and objectives, as proposed in its initial 

application, prior to awarding continuation funding. In addition, the information is 

needed to award prior experience points to grantees. Without this data collection, the 

Student Service Office would be unable to make continuation awards, comply with the 

prior experience provision of the authorizing statute, respond to the GPRA requirements, 

and develop improved policies for program administration. 

7. Explain any special circumstances that would cause an information collection to be 

conducted in a manner:

 requiring respondents to report information to the agency more often than 

quarterly;

 requiring respondents to prepare a written response to a collection of information in 

fewer than 30 days after receipt of it;

 requiring respondents to submit more than an original and two copies of any 

document;

 requiring respondents to retain records, other than health, medical, government 

contract, grant-in-aid, or tax records for more than three years;
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 in connection with a statistical survey, that is not designed to produce valid and 

reliable results than can be generalized to the universe or student;

 requiring the use of a statistical data classification that has not been reviewed and 

approved by OMB;

 that includes a pledge of confidentiality that is not supported by authority 

established in statute or regulation, that is not supported by disclosure and data 

security policies that are consistent with the pledge, or which unnecessarily impedes 

sharing of data with other agencies for compatible confidential use; or

 requiring respondents to submit proprietary trade secrets, or other confidential 

information unless the agency can demonstrate that it has instituted procedures to 

protect the information’s confidentiality to the extent permitted by law.

With one exception, no information will be collected in the manner covered under any of 

the special circumstances outlined. The exception is that respondents are required to 

retain participant records for more than three years as required under CFR 74.53(b). In 

order to assess the impact of the program services on participating students’ academic 

progress, grantees are required to track the academic progress of all prior-year 

participants as long as they remain enrolled at the grantee institution. 

8. As applicable, state that the Department has published the 60 and 30 Federal Register 

notices as required by 5 CFR 1320.8(d), soliciting comments on the information 

collection prior to submission to OMB. Summarize public comments received in 

response to that notice and describe actions taken by the agency in response to these 

comments. Specifically address comments received on cost and hour burden.

Describe efforts to consult with persons outside the agency to obtain their views on the 

availability of data, frequency of collection, the clarity of instruction and record 

keeping, disclosure, or reporting format (if any), and on the data elements to be 

recorded, disclosed, or reported.

Consultation with representatives of those from whom information is to be obtained or 

those who must compile records should occur at least once every 3 years – even if the 

collection of information activity is the same as in prior periods. There may be 

circumstances that may preclude consultation in a specific situation. These 

circumstances should be explained.

Department staff interacts with the SSS grantees as well as with members of the 

constituent organization for these forums at a number of state, regional, and national 

meetings to solicit informal views and comments on the SSS reporting requirements. In 

addition, SSS Program grantees frequently send Department staff suggestions and 

recommendations regarding the APR form. 
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Grantees are also encouraged to comment during the announced public comment periods. 

The Department will publish 60 and 30 day notices for public comment in the Federal 

Register.

9. Explain any decision to provide any payment or gift to respondents, other than 

remuneration of contractors or grantees.

The Department will not provide payment or gifts to respondents.

10. Describe any assurance of confidentiality provided to respondents and the basis for the 

assurance in statute, regulation, or agency policy. If personally identifiable information 

(PII) is being collected, a Privacy Act statement should be included on the instrument. 

Please provide a citation for the Systems of Record Notice and the date a Privacy 

Impact Assessment was completed as indicated on the IC Data Form. A confidentiality 

statement with a legal citation that authorizes the pledge of confidentiality should be 

provided.2If the collection is subject to the Privacy Act, the Privacy Act statement is 

deemed sufficient with respect to confidentiality. If there is no expectation of 

confidentiality, simply state that the Department makes no pledge about the 

confidentially of the data.

The Department’s disclosure policies adhere to the provisions of the Privacy Act of 1974 

(P.L. 93-579, 5 U.S.C. 552a) and Title IV of the Higher Education Act of 1965, as 

amended (P.L. 102-325, Sec. 402D). The Department receives and maintains personal 

information on participants in the SSS Program. The principal purpose for collecting this 

information is to administer the program, including tracking and evaluating participant 

progress. Participants are informed that provision of information for use by the grantee 

or the Department on the APR form, including a social security number (SSN), is 

voluntary and that the failure to disclose a SSN will not result in the denial of any right, 

benefit or privilege to which the participant is entitled.

11. Provide additional justification for any questions of a sensitive nature, such as sexual 

behavior and attitudes, religious beliefs, and other matters that are commonly 

considered private. The justification should include the reasons why the agency 

considers the questions necessary, the specific uses to be made of the information, the 

explanation to be given to persons from whom the information is requested, and any 

steps to be taken to obtain their consent.

The APR form does not include questions about sexual behavior and attitudes, religious 

beliefs, or other items that are commonly considered sensitive and private.

 

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Requests for this information are in accordance with the following ED and OMB policies: Privacy Act of 1974, 

OMB Circular A-108 – Privacy Act Implementation – Guidelines and Responsibilities, OMB Circular A-130 

Appendix I – Federal Agency Responsibilities for Maintaining Records About Individuals, OMB M-03-22 – OMB 

Guidance for Implementing the Privacy Provisions of the E-Government Act of 2002, OMB M-06-15 –

Safeguarding Personally Identifiable Information, OM:6-104 – Privacy Act of 1974 (Collection, Use and Protection 

of Personally Identifiable Information)
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12. Provide estimates of the hour burden of the collection of information. The statement 

should:

 Indicate the number of respondents by affected public type (federal government, 

individuals or households, private sector – businesses or other for-profit, private 

sector – not-for-profit institutions, farms, state, local or tribal governments), 

frequency of response, annual hour burden, and an explanation of how the 

burden was estimated, including identification of burden type: recordkeeping, 

reporting or third party disclosure. All narrative should be included in item 12. 

Unless directed to do so, agencies should not conduct special surveys to obtain 

information on which to base hour burden estimates. Consultation with a 

sample (fewer than 10) of potential respondents is desirable. If the hour burden 

on respondents is expected to vary widely because of differences in activity, size, 

or complexity, show the range of estimated hour burden, and explain the reasons 

for the variance. Generally, estimates should not include burden hours for 

customary and usual business practices.

 If this request for approval covers more than one form, provide separate hour 

burden estimates for each form and aggregate the hour burdens in the ROCIS 

IC Burden Analysis Table. (The table should at minimum include Respondent 

types, IC activity, Respondent and Responses, Hours/Response, and Total 

Hours)

 Provide estimates of annualized cost to respondents of the hour burdens for 

collections of information, identifying and using appropriate wage rate 

categories. The cost of contracting out or paying outside parties for information 

collection activities should not be included here. Instead, this cost should be 

included in Item 14.

Estimated burden hours for this collection of information are 15,405 hours. We estimate 

approximately 1027 respondents x 1 (one) APR each @ 15 hours per respondent. The APR

will be submitted once a year (annually). 

Estimated number of respondents 1027

Estimated preparation time 15 hours

Total estimated burden hours 15,405

(Estimated Burden: 15,405 hrs. Total number of hours [preparation time] multiplied by the 

total number of respondents equals estimated burden hours).

Most of the costs of this data collection are those of the Federal Government, since the 

respondents are project staff paid for the most part with Federal grant funds. Nonetheless, 

the annual cost to the grantees to respond to this data collection is estimated as follows:

Estimated annual costs to respondents:
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Professionals

(1027 personnel X 12 hours @ $35 per hour) $431,340

Clerical

(1027 clerical X 3 hours @ $18 per hour) $ 55,458

_________

Total estimated cost to respondents $486,798

13. Provide an estimate of the total annual cost burden to respondents or record keepers 

resulting from the collection of information. (Do not include the cost of any hour 

burden shown in Items 12 and 14.)

 The costs estimate should be split into two components: (a) a total capital and startup cost component (annualized over its expected useful life); and (b) a total 

operation and maintenance and purchase of services component. The estimates 

should take into account costs associated with generating, maintaining, and 

disclosing or providing the information. Include descriptions of methods used to 

estimate major cost factors including system and technology acquisition, expected 

useful life of capital equipment, the discount rate(s), and the time period over which 

costs will be incurred. Capital and start-up costs include, among other items, 

preparations for collecting information such as purchasing computers and software; 

monitoring, sampling, drilling and testing equipment; and record storage facilities.

 If cost estimates are expected to vary widely, agencies should present ranges of cost 

burdens and explain the reasons for the variance. The cost of contracting out 

information collection services should be a part of this cost burden estimate. In 

developing cost burden estimates, agencies may consult with a sample of 

respondents (fewer than 10), utilize the 60-day pre-OMB submission public 

comment process and use exiting economic or regulatory impact analysis associated 

with the rulemaking containing the information collection, as appropriate.

 Generally, estimates should not include purchases of equipment or services, or 

portions thereof, made: (1) prior to October 1, 1995, (2) to achieve regulatory 

compliance with requirements not associated with the information collection, (3) for 

reasons other than to provide information or keep record for the government or (4) 

as part of customary and usual business or private practices. Also, these estimates 

should not include the hourly costs (i.e., the monetization of the hours) captured 

above in Item 12.

Total Annualized Capital/Startup Cost : 

Total Annual Costs (O&M) : 

____________________

 Total Annualized Costs Requested : 
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There are no other costs to the respondents associated with this information collection. 

Grantees are required by program regulations to collect and maintain this information. 

The costs to transmit the data electronically via the Web reflect customary and usual 

business practices.

14. Provide estimates of annualized cost to the Federal government. Also, provide a 

description of the method used to estimate cost, which should include quantification of 

hours, operational expenses (such as equipment, overhead, printing and support staff), 

and any other expense that would not have been incurred without this collection of 

information. Agencies also may aggregate cost estimates from Items 12, 13, and 14 in a 

single table.

Estimated annual costs to the Federal Government:

The largest portion of the Government’s cost is borne directly by the Department in 

designing the report form, securing clearance of the form, and in collecting, aggregating 

and disseminating the information.

14 Estimated annual costs to the Federal Government:

Professional staff to update report form and prepare clearance package

(GS 13 employee) $55 per hour X 80 hours $4,400.00

Overhead costs related to facilities, administration and other indirect 

costs, plus accrual of leave and fringe benefits, estimated at 50% of 

salary

$4,400 X 50 percent $2,200.00

Clerical staff to type, route, and copy report form

$18 per hour X 10 hours

Overhead costs: $180 X 50 percent

$180.00

$90.00

Other Department staff to review and approve the request

(GS 15 employee) $65 per hour X 5 hours

Overhead costs: $325 X 50 percent

$325.00

$162.50

OMB review (estimated)

$55 per hour X 8 hours

Overhead Costs: $440 X 50 percent

$440.00

$220.00

Other Administrative Costs

Posting annual performance report to World Wide Web

(2 hours X 1 staff @ $55 per hour) $110.00

Annual updates to web application, web-site hosting, help desk 

and data processing (contractor costs) $102,192.00

Analyses of data and preparation of national summary and individual

project reports (contractor costs) $155,000.00

Professional staff to review and edit reports for dissemination

$55 per hour X 40 hours $2,200.00

Overhead Costs: $2,200 X 50 percent $1,100.00

Total Annual Government Cost $268,619.50
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15. Explain the reasons for any program changes or adjustments. Generally, adjustments 

in burden result from re-estimating burden and/or from economic phenomenon outside 

of an agency’s control (e.g., correcting a burden estimate or an organic increase in the 

size of the reporting universe). Program changes result from a deliberate action that 

materially changes a collection of information and generally are result of new statute or 

an agency action (e.g., changing a form, revising regulations, redefining the respondent 

universe, etc.). Burden changes should be disaggregated by type of change (i.e., 

adjustment, program change due to new statute, and/or program change due to agency 

discretion), type of collection (new, revision, extension, reinstatement with change, 

reinstatement without change) and include totals for changes in burden hours, 

responses and costs (if applicable).

There is an hour burden difference of 105 burden hours. This is due to a decrease in the 

number of respondents since the last APR clearance. As a result of funding issues, the 

number of respondents (grantees) decreased from 1034 to 1027.

In addition, two new data fields have been added to the SSS APR: Field 37 –

Participant’s Name Change and Field 38 – Participant’s Case Number. Both of these 

fields have been added to provide greater accuracy and consistency in matching 

participant records across reporting periods. However, neither field will increase the hour 

burden for grantees. That is, Field 37 – Participant’s Name Change is not being required 

by the Department and its use is optional to the grantees; and Field 38 – Participant’s 

Case Number is a TRIO generated number to be used as a “match key” to ensure 

accuracy and consistency in reporting and data for that field is downloadable from the 

SSS APR Web site; therefore, there is no additional hour burden associated with 

collecting information for either of these new fields.

16. For collections of information whose results will be published, outline plans for 

tabulation and publication. Address any complex analytical techniques that will be 

used. Provide the time schedule for the entire project, including beginning and ending 

dates of the collection of information, completion of report, publication dates, and other 

actions.

Collected information will be analyzed annually to determine if each grantee is meeting 

its approved goals and objectives and to award prior experience points. Performance 

measures and efficiency measures for SSS, based on data conveyed in grantees' APRs, 

are disseminated in the Department's Annual Program Performance Plan. In addition, the 

Department's Web site provides data on performance and efficiency measures, beginning 

with the 2007–08 performance period, at the grantee level. This more detailed reporting 

has been made possible due to improvements in accuracy resulting from incorporating the 

standard objectives into the report form.

17. If seeking approval to not display the expiration date for OMB approval of the 

information collection, explain the reasons that display would be inappropriate.
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This report form and the web site will display the expiration date for the OMB approval

of the information collection.

18. Explain each exception to the certification statement identified in the Certification of 

Paperwork Reduction Act.

There are no exceptions to the certification statement.

Attachment (1):

SSS Program Regulations

PART 646—STUDENT SUPPORT SERVICES PROGRAM

Contents

Subpart A—General

§646.1 What is the Student Support Services Program?

§646.2 Who is eligible to receive a grant?
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§646.3 Who is eligible to participate in a Student Support Services project?

§646.4 What activities and services does a project provide?

§646.5 How long is a project period?

§646.6 What regulations apply?

§646.7 What definitions apply?

Subpart B—How Does One Apply for an Award?

§646.10 How many applications may an eligible applicant submit and for what different 

populations may an eligible application be submitted?

§646.11 What assurances and other information must an applicant include in an 

application?

Subpart C—How Does the Secretary Make a Grant?

§646.20 How does the Secretary decide which new grants to make?

§646.21 What selection criteria does the Secretary use to evaluate an application?

§646.22 How does the Secretary evaluate prior experience?

§646.23 How does the Secretary set the amount of a grant?

§646.24 What is the review process for unsuccessful applicants?

Subpart D—What Conditions Must Be Met by a Grantee?

§646.30 What are allowable costs?

§646.31 What are unallowable costs?

§646.32 What other requirements must a grantee meet?

§646.33 What are the matching requirements for a grantee that uses Student Support 

Services program funds for student grant aid?

AUTHORITY: 20 U.S.C. 1070a-11 and 1070a-14, unless otherwise noted. 

SOURCE: 61 FR 38537, July 24, 1996, unless otherwise noted. 

Subpart A—General

§646.1 What is the Student Support Services Program?

The Student Support Services Program provides grants for projects designed to—

(a) Increase the college retention and graduation rates of eligible students;

(b) Increase the transfer rate of eligible students from two-year to four-year 

institutions; and

(c) Foster an institutional climate supportive of the success of students who are 

limited English proficient, students from groups that are traditionally underrepresented in 

postsecondary education, individuals with disabilities, homeless children and youth, 

foster care youth, or other disconnected students; and
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(d) Improve the financial and economic literacy of students in areas such as—

(1) Basic personal income, household money management, and financial planning 

skills; and

(2) Basic economic decision-making skills.

(Authority: 20 U.S.C. 1070a-11 and 1070a-14)

[61 FR 38537, July 24, 1996, as amended at 75 FR 65790, Oct. 26, 2010]

§646.2 Who is eligible to receive a grant?

An institution of higher education or a combination of institutions of higher 

education is eligible to receive a grant to carry out a Student Support Services project.

(Authority: 20 U.S.C. 1070a-14)

§646.3 Who is eligible to participate in a Student Support Services project?

A student is eligible to participate in a Student Support Services project if the 

student meets all of the following requirements:

(a) Is a citizen or national of the United States or meets the residency requirements 

for Federal student financial assistance.

(b) Is enrolled at the grantee institution or accepted for enrollment in the next 

academic term at that institution.

(c) Has a need for academic support, as determined by the grantee, in order to 

pursue successfully a postsecondary educational program.

(d) Is—

(1) A low-income individual;

(2) A first generation college student; or

(3) An individual with disabilities.

(Authority: 20 U.S.C. 1070a-14)

§646.4 What activities and services does a project provide?

(a) A Student Support Services project must provide the following services:
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(1) Academic tutoring, directly or through other services provided by the institution, 

to enable students to complete postsecondary courses, which may include instruction in 

reading, writing, study skills, mathematics, science, and other subjects.

(2) Advice and assistance in postsecondary course selection.

(3)(i) Information on both the full range of Federal student financial aid programs 

and benefits (including Federal Pell Grant awards and loan forgiveness) and resources 

for locating public and private scholarships; and

(ii) Assistance in completing financial aid applications, including the Free 

Application for Federal Student Aid.

(4) Education or counseling services designed to improve the financial and 

economic literacy of students, including financial planning for postsecondary education.

(5) Activities designed to assist participants enrolled in four-year institutions of 

higher education in applying for admission to, and obtaining financial assistance for 

enrollment in, graduate and professional programs.

(6) Activities designed to assist students enrolled in two-year institutions of higher 

education in applying for admission to, and obtaining financial assistance for enrollment 

in, a four-year program of postsecondary education.

(b) A Student Support Services project may provide the following services:

(1) Individualized counseling for personal, career, and academic matters provided 

by assigned counselors.

(2) Information, activities, and instruction designed to acquaint students 

participating in the project with the range of career options available to the students.

(3) Exposure to cultural events and academic programs not usually available to 

disadvantaged students.

(4) Mentoring programs involving faculty or upper class students, or a combination 

thereof.

(5) Securing temporary housing during breaks in the academic year for—

(i) Students who are homeless children and youths or were formerly homeless 

children and youths; and

(ii) Foster care youths.
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(6) Programs and activities as described in paragraph (a) of this section or 

paragraphs (b)(1) through (b)(4) of this section that are specially designed for students 

who are limited English proficient, students from groups that are traditionally 

underrepresented in postsecondary education, students who are individuals with 

disabilities, students who are homeless children and youths, students who are foster 

care youth, or other disconnected students.

(7) Other activities designed to meet the purposes of the Student Support Services 

Program in §646.1.

(Authority: 20 U.S.C. 1070a-14)

[75 FR 65790, Oct. 26, 2010]

§646.5 How long is a project period?

A project period under the Student Support Services program is five years.

(Authority: 20 U.S.C. 1070a-11)

[75 FR 65790, Oct. 26, 2010]

§646.6 What regulations apply?

The following regulations apply to the Student Support Services Program:

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

CFR parts 74, 75 (except for §§75.215 through 75.221), 77, 79, 80, 82, 84, 85, 86, 97, 

98, and 99.

(b) The regulations in this part 646.

(Authority: 20 U.S.C. 1070a-11 and 1070a-14)

[61 FR 38537, July 24, 1996, as amended at 75 FR 65790, Oct. 26, 2010]

§646.7 What definitions apply?

(a) Definitions in EDGAR. The following terms used in this part are defined in 34 

CFR 77.1:

Applicant

Application

Award
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Budget

Budget Period

Department

EDGAR 

Equipment

Facilities

Fiscal year

Grant

Grant Period

Grantee

Project

Project period

Public

Secretary

Supplies

(b) Other definitions. The following definitions also apply to this part:

Academic need with reference to a student means a student whom the grantee 

determines needs one or more of the services stated under §646.4 to succeed in a 

postsecondary educational program.

Combination of institutions of higher education means two or more institutions of 

higher education that have entered into a cooperative agreement for the purpose of 

carrying out a common objective, or an entity designated or created by a group of 

institutions of higher education for the purpose of carrying out a common objective on 

their behalf.

Different campus means a site of an institution of higher education that—

(1) Is geographically apart from the main campus of the institution;

(2) Is permanent in nature; and

(3) Offers courses in educational programs leading to a degree, certificate, or other 

recognized educational credential.
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Different population means a group of individuals that an eligible entity desires to 

serve through an application for a grant under the Student Support Services program 

and that—

(1) Is separate and distinct from any other population that the entity has applied for 

a grant to serve; or

(2) While sharing some of the same needs as another population that the eligible 

entity has applied for a grant to serve, has distinct needs for specialized services.

Financial and economic literacy means knowledge about personal financial 

decision-making, which may include but is not limited to knowledge about—

(1) Personal and family budget planning;

(2) Understanding credit building principles to meet long-term and short-term goals 

(e.g., loan to debt ratio, credit scoring, negative impacts on credit scores);

(3) Cost planning for postsecondary or postbaccalaureate education (e.g., 

spending, saving, personal budgeting);

(4) College cost of attendance (e.g., public vs. private, tuition vs. fees, personal 

costs);

(5) Financial assistance (e.g., searches, application processes, differences 

between private and government loans, assistanceships); and

(6) Assistance in completing the Free Application for Federal Student Aid (FAFSA).

First generation college student means—

(1) A student neither of whose natural or adoptive parents received a baccalaureate 

degree;

(2) A student who, prior to the age of 18, regularly resided with and received 

support from only one parent and whose supporting parent did not receive a 

baccalaureate degree; or

(3) An individual who, prior to the age of 18, did not regularly reside with or receive 

support from a natural or an adoptive parent.

Foster care youth means youth who are in foster care or are aging out of the foster 

care system.

Homeless children and youth means persons defined in section 725 of the 

McKinney-Vento Homeless Assistance Act (42 U.S.C. 1143a).
17

Individual with a disability means a person who has a disability, as that term is 

defined in section 12102 of the Americans with Disabilities Act (42 U.S.C. 12101 et 

seq.).

Institution of higher education means an educational institution as defined in 

sections 101 and 102 of the Act.

Limited English proficiency with reference to an individual, means a person whose 

native language is other than English and who has sufficient difficulty speaking, reading, 

writing, or understanding the English language to deny that individual the opportunity to 

learn successfully in classrooms in which English is the language of instruction.

Low-income individual means an individual whose family's taxable income did not 

exceed 150 percent of the poverty level amount in the calendar year preceding the year 

in which the individual initially participated in the project. The poverty level amount is 

determined by using criteria of poverty established by the Bureau of the Census of the 

U.S. Department of Commerce.

Participant means an individual who—

(1) Is determined to be eligible to participate in the project under §646.3; and

(2) Receives project services that the grantee has determined to be sufficient to 

increase the individual's chances for success in a postsecondary educational program.

Sufficient financial assistance means the amount of financial aid offered a Student 

Support Services student, inclusive of Federal, State, local, private, and institutional aid 

which, together with parent or student contributions, is equal to the cost of attendance 

as determined by a financial aid officer at the institution.

(Authority: 20 U.S.C. 1070a-11 and 1070a-14)

[61 FR 38537, July 24, 1996, as amended at 75 FR 65790, Oct. 26, 2010]

Subpart B—How Does One Apply for an Award?

SOURCE: 75 FR 65791, Oct. 26, 2010, unless otherwise noted. 

§646.10 How many applications may an eligible applicant submit and for what 

different populations may an eligible application be submitted?

(a) An eligible applicant may submit more than one application as long as each

application describes a project that serves a different campus or a designated different 

population.
18

(b) For each grant competition, the Secretary designates, in the FEDERAL REGISTER

notice inviting applications and other published application materials for the competition, 

the different populations for which an eligible entity may submit a separate application.

(Authority: 20 U.S.C. 1070a-11 and 1070a-14; 20 U.S.C. 1221e-3)

§646.11 What assurances and other information must an applicant include in an 

application?

(a) An applicant must assure the Secretary in the application that—

(1) Not less than two-thirds of the project participants will be—

(i) Low-income individuals who are first generation college students; or

(ii) Individuals with disabilities;

(2) The remaining project participants will be low-income individuals, first 

generation college students, or individuals with disabilities; and

(3) Not less than one-third of the individuals with disabilities served also will be lowincome individuals.

(b) The applicant must describe in the application its efforts, and where applicable, 

past history, in—

(1) Providing sufficient financial assistance to meet the full financial need of each 

student in the project; and

(2) Maintaining the loan burden of each student in the project at a manageable 

level.

(c) The applicant must assure the Secretary in the application that a student will not 

be served by more than one SSS project at any one time and that the SSS project will 

collaborate with other SSS and McNair projects and other State and institutional 

programs at the grantee-institution so that more students can be served.

(d) The applicant must assure the Secretary in the application that the institution's 

financial aid office will consult with the SSS project with respect to which SSS 

participants should receive grant aid and the amount of the grant aid awards.

(Approved by the Office of Management and Budget under control number 1840-NEW5)

(Authority: 20 U.S.C. 1070a-14)

Subpart C—How Does the Secretary Make a Grant?
19

§646.20 How does the Secretary decide which new grants to make?

(a) The Secretary evaluates an application for a new grant as follows:

(1)(i) The Secretary evaluates the application on the basis of the selection criteria in 

§646.21.

(ii) The maximum score for all the criteria in §646.21 is 100 points. The maximum 

score for each criterion is indicated in parentheses with the criterion.

(2)(i) If an application for a new grant proposes to continue to serve substantially 

the same population and campus that the applicant is serving under an expiring grant, 

the Secretary evaluates the applicant's prior experience of high quality service delivery 

under the expiring grant on the basis of the outcome criteria in §646.22.

(ii) The maximum total score for all the criteria in §646.22 is 15 points. The 

maximum score for each criterion is indicated in parentheses with the criterion.

(iii) The Secretary evaluates the PE of an applicant for each of the three project 

years that the Secretary designates in the FEDERAL REGISTER notice inviting applications 

and the other published application materials for the competition.

(iv) An applicant may earn up to 15 PE points for each of the designated project 

years for which annual performance report data are available.

(v) The final PE score is the average of the scores for the three project years 

assessed.

(b) The Secretary makes new grants in rank order on the basis of the applications' 

total scores under paragraphs (a)(1) and (a)(2) of this section.

(c) If the total scores of two or more applications are the same and there is 

insufficient money available to fully fund them both after funding the higher-ranked 

applications, the Secretary chooses among the tied applications so as to serve 

geographic areas that have been underserved by the Student Support Services 

Program.

(d) The Secretary does not make a new grant to an applicant if the applicant's prior 

project involved the fraudulent use of program funds.

(Authority: 20 U.S.C. 1070a-11 and 1070a-14)

[61 FR 38537, July 24, 1996, as amended at 75 FR 65791, Oct. 26, 2010]

§646.21 What selection criteria does the Secretary use to evaluate an 

application?
20

The Secretary uses the following criteria to evaluate an application for a new grant:

(a) Need for the project (24 points). The Secretary evaluates the need for a Student 

Support Services project proposed at the applicant institution on the basis of the extent 

to which the application contains clear evidence of—

(1) (8 points) A high number or percentage, or both, of students enrolled or 

accepted for enrollment at the applicant institution who meet the eligibility requirements 

of §646.3;

(2) (8 points) The academic and other problems that eligible students encounter at 

the applicant institution; and

(3) (8 points) The differences between eligible Student Support Services students 

compared to an appropriate group, based on the following indicators:

(i) Retention and graduation rates.

(ii) Grade point averages.

(iii) Graduate and professional school enrollment rates (four-year colleges only).

(iv) Transfer rates from two-year to four-year institutions (two-year colleges only).

(b) Objectives (8 points). The Secretary evaluates the quality of the applicant's 

proposed objectives in the following areas on the basis of the extent to which they are 

both ambitious, as related to the need data provided under paragraph (a) of this section, 

and attainable, given the project's plan of operation, budget, and other resources.

(1) (3 points) Retention in postsecondary education.

(2) (2 points) In good academic standing at grantee institution.

(3) Two-year institutions only. (i) (1 point) Certificate or degree completion; and

(ii) (2 points) Certificate or degree completion and transfer to a four-year institution.

(4) Four-year institutions only. (3 points) Completion of a baccalaureate degree.

(c) Plan of operation (30 points). The Secretary evaluates the quality of the 

applicant's plan of operation on the basis of the following:

(1) (3 points) The plan to inform the institutional community (students, faculty, and 

staff) of the goals, objectives, and services of the project and the eligibility requirements 

for participation in the project.
21

(2) (3 points) The plan to identify, select, and retain project participants with 

academic need.

(3) (4 points) The plan for assessing each individual participant's need for specific 

services and monitoring his or her academic progress at the institution to ensure 

satisfactory academic progress.

(4) (10 points) The plan to provide services that address the goals and objectives of 

the project.

(5) (10 points) The applicant's plan to ensure proper and efficient administration of 

the project, including the organizational placement of the project; the time commitment 

of key project staff; the specific plans for financial management, student records 

management, and personnel management; and, where appropriate, its plan for 

coordination with other programs for disadvantaged students.

(d) Institutional commitment (16 points). The Secretary evaluates the institutional 

commitment to the proposed project on the basis of the extent to which the applicant 

has—

(1) (6 points) Committed facilities, equipment, supplies, personnel, and other 

resources to supplement the grant and enhance project services;

(2) (6 points) Established administrative and academic policies that enhance 

participants' retention at the institution and improve their chances of graduating from the 

institution;

(3) (2 points) Demonstrated a commitment to minimize the dependence on student 

loans in developing financial aid packages for project participants by committing 

institutional resources to the extent possible; and

(4) (2 points) Assured the full cooperation and support of the Admissions, Student 

Aid, Registrar and data collection and analysis components of the institution.

(e) Quality of personnel (9 points). To determine the quality of personnel the 

applicant plans to use, the Secretary looks for information that shows—

(1) (3 points) The qualifications required of the project director, including formal 

education and training in fields related to the objectives of the project, and experience in 

designing, managing, or implementing Student Support Services or similar projects;

(2) (3 points) The qualifications required of other personnel to be used in the 

project, including formal education, training, and work experience in fields related to the 

objectives of the project; and
22

(3) (3 points) The quality of the applicant's plan for employing personnel who have 

succeeded in overcoming barriers similar to those confronting the project's target 

population.

(f) Budget (5 points). The Secretary evaluates the extent to which the project 

budget is reasonable, cost-effective, and adequate to support the project.

(g) Evaluation plan (8 points). The Secretary evaluates the quality of the evaluation 

plan for the project on the basis of the extent to which—

(1) The applicant's methods for evaluation—

(i) (2 points) Are appropriate to the project and include both quantitative and 

qualitative evaluation measures; and

(ii) (2 points) Examine in specific and measurable ways, using appropriate baseline 

data, the success of the project in improving academic achievement, retention and 

graduation of project participants; and

(2) (4 points) The applicant intends to use the results of an evaluation to make 

programmatic changes based upon the results of project evaluation.

(Approved by the Office of Management and Budget under control number 1840-NEW5)

(Authority: 20 U.S.C. 1070a-14)

[61 FR 38537, July 24, 1996, as amended at 75 FR 65791, Oct. 26, 2010]

§646.22 How does the Secretary evaluate prior experience?

(a) In the case of an application described in §646.20(a)(2)(i), the Secretary—

(1) Evaluates the applicant's performance under its expiring Student Support 

Services project;

(2) Uses the approved project objectives for the applicant's expiring Student 

Support Services grant and the information the applicant submitted in its annual 

performance reports (APRs) to determine the number of prior PE points; and

(3) May adjust a calculated PE score or decide not to award PE points if other 

information such as audit reports, site visit reports, and project evaluation reports 

indicates the APR data used to calculate PE points are incorrect.

(b) The Secretary does not award PE points for a given year to an applicant that 

does not serve at least 90 percent of the approved number of participants. For purposes 
23

of this section, the approved number of participants is the total number of participants 

the project would serve as agreed upon by the grantee and the Secretary.

(c) The Secretary does not award PE points for the criterion specified in paragraph 

(e)(1) of this section (Number of participants) if the applicant did not serve at least the 

approved number of participants.

(d) The Secretary uses the approved number of participants, or the actual number 

of participants served in a given year if greater than the approved number of 

participants, as the denominator for calculating whether the applicant has met its 

approved objectives related to paragraph (e)(2) of this section (Postsecondary 

retention) and paragraph (e)(3) of this section (Good academic standing).

(e) For purposes of the PE evaluation of grants awarded after January 1, 2009, the 

Secretary evaluates the applicant's PE on the basis of the following outcome criteria:

(1) (3 points) Number of participants. Whether the applicant provided services to no 

less than the approved number of participants.

(2) (4 points) Postsecondary retention. Whether the applicant met or exceeded its 

objective regarding the participants served during the project year who continue to be 

enrolled in a program of postsecondary education from one academic year to the 

beginning of the next academic year or who complete a program of postsecondary 

education at the grantee institution during the academic year or transfer from a two-year 

institution to a four-year institution during the academic year.

(3) (4 points) Good academic standing. Whether the applicant met or exceeded its 

objective regarding the participants served during the project year who are in good 

academic standing at the grantee institution.

(4) (4 points) Degree completion (for an applicant institution of higher education 

offering primarily a baccalaureate or higher degree). Whether the applicant met or 

exceeded its objective regarding the current and prior participants receiving a 

baccalaureate degree at the grantee institution within the specified number of years.

(5) Degree completion and transfer (for an applicant institution of higher education 

offering primarily an associate degree). Whether the applicant met or exceeded its 

objectives regarding the current and prior participants at the grantee institution who—

(i) (2 points) Complete a degree or certificate within the number of years specified 

in the approved objective; and

(ii) (2 points) Transfer within the number of years specified in the approved 

objective to institutions of higher education that offer baccalaureate degrees.
24

(Approved by the Office of Management and Budget under control number 1840-

NEW10)

(Authority: 20 U.S.C. 1070a-11; 1070a-14)

[75 FR 65792, Oct. 26, 2010]

§646.23 How does the Secretary set the amount of a grant?

(a) The Secretary sets the amount of a grant on the basis of—

(1) 34 CFR 75.232 and 75.233, for new grants; and

(2) 34 CFR 75.253, for the second and subsequent years of a project period.

(b) If the circumstances described in section 402A(b)(3) of the HEA exist, the 

Secretary uses the available funds to set the amount of the grant at the lesser of—

(1) $200,000; or

(2) The amount requested by the applicant.

(Authority: 20 U.S.C. 1070a-11)

[61 FR 38537, July 24, 1996, as amended at 75 FR 65792, Oct. 26, 2010]

§646.24 What is the review process for unsuccessful applicants?

(a) Technical or administrative error for applications not reviewed. (1) An applicant 

whose grant application was not evaluated during the competition may request that the 

Secretary review the application if—

(i) The applicant has met all of the application submission requirements included in 

the FEDERAL REGISTER notice inviting applications and the other published application 

materials for the competition; and

(ii) The applicant provides evidence demonstrating that the Department or an agent 

of the Department made a technical or administrative error in the processing of the 

submitted application.

(2) A technical or administrative error in the processing of an application includes—

(i) A problem with the system for the electronic submission of applications that was 

not addressed in accordance with the procedures included in the FEDERAL REGISTER

notice inviting applications for the competition;
25

(ii) An error in determining an applicant's eligibility for funding consideration, which 

may include, but is not limited to—

(A) An incorrect conclusion that the application was submitted by an ineligible 

applicant;

(B) An incorrect conclusion that the application exceeded the published page limit;

(C) An incorrect conclusion that the applicant requested funding greater than the 

published maximum award; or

(D) An incorrect conclusion that the application was missing critical sections of the 

application; and

(iii) Any other mishandling of the application that resulted in an otherwise eligible 

application not being reviewed during the competition.

(3)(i) If the Secretary determines that the Department or the Department's agent 

made a technical or administrative error, the Secretary has the application evaluated 

and scored.

(ii) If the total score assigned the application would have resulted in funding of the 

application during the competition and the program has funds available, the Secretary 

funds the application prior to the re-ranking of applications based on the second peer 

review of applications described in paragraph (c) of this section.

(b) Administrative or scoring error for applications that were reviewed. (1) An 

applicant that was not selected for funding during a competition may request that the 

Secretary conduct a second review of the application if—

(i) The applicant provides evidence demonstrating that the Department, an agent of 

the Department, or a peer reviewer made an administrative or scoring error in the 

review of its application; and

(ii) The final score assigned to the application is within the funding band described 

in paragraph (d) of this section.

(2) An administrative error relates to either the PE points or the scores assigned to 

the application by the peer reviewers.

(i) For PE points, an administrative error includes mathematical errors made by the 

Department or the Department's agent in the calculation of the PE points or a failure to 

correctly add the earned PE points to the peer reviewer score.

(ii) For the peer review score, an administrative error is applying the wrong peer 

reviewer scores to an application.
26

(3)(i) A scoring error relates only to the peer review process and includes errors 

caused by a reviewer who, in assigning points—

(A) Uses criteria not required by the applicable law or program regulations, the 

FEDERAL REGISTER notice inviting applications, the other published application materials 

for the competition, or guidance provided to the peer reviewers by the Secretary; or

(B) Does not consider relevant information included in the appropriate section of 

the application.

(ii) The term “scoring error” does not include—

(A) A peer reviewer's appropriate use of his or her professional judgment in 

evaluating and scoring an application;

(B) Any situation in which the applicant did not include information needed to 

evaluate its response to a specific selection criterion in the appropriate section of the 

application as stipulated in the FEDERAL REGISTER notice inviting applications or the 

other published application materials for the competition; or

(C) Any error by the applicant.

(c) Procedures for the second review. (1) To ensure the timely awarding of grants 

under the competition, the Secretary sets aside a percentage of the funds allotted for 

the competition to be awarded after the second review is completed.

(2) After the competition, the Secretary makes new awards in rank order as 

described in §646.20 based on the available funds for the competition minus the funds 

set aside for the second review.

(3) After the Secretary issues a notification of grant award to successful applicants, 

the Secretary notifies each unsuccessful applicant in writing as to the status of its 

application and the funding band for the second review and provides copies of the peer 

reviewers' evaluations of the applicant's application and the applicant's PE score, if 

applicable.

(4) An applicant that was not selected for funding following the competition as 

described in paragraph (c)(2) of this section and whose application received a score 

within the funding band as described in paragraph (d) of this section, may request a 

second review if the applicant demonstrates that the Department, the Department's 

agent, or a peer reviewer made an administrative or scoring error as provided in 

paragraph (b) of this section.

(5) An applicant whose application was not funded after the first review as 

described in paragraph (c)(2) of this section and whose application received a score 

within the funding band as described in paragraph (d) of this section has at least 15 
27

calendar days after receiving notification that its application was not funded in which to 

submit a written request for a second review in accordance with the instructions and 

due date provided in the Secretary's written notification.

(6) An applicant's written request for a second review must be received by the 

Department or submitted electronically to the designated e-mail or Web address by the 

due date and time established by the Secretary.

(7) If the Secretary determines that the Department or the Department's agent 

made an administrative error that relates to the PE points awarded, as described in 

paragraph (b)(2)(i) of this section, the Secretary adjusts the applicant's PE score to 

reflect the correct number of PE points. If the adjusted score assigned to the application 

would have resulted in funding of the application during the competition and the 

program has funds available, the Secretary funds the application prior to the re-ranking 

of applications based on the second peer review of applications described in paragraph 

(c)(9) of this section.

(8) If the Secretary determines that the Department, the Department's agent or the 

peer reviewer made an administrative error that relates to the peer reviewers' score(s), 

as described in paragraph (b)(2)(ii) of this section, the Secretary adjusts the applicant's 

peer reviewers' score(s) to correct the error. If the adjusted score assigned to the 

application would have resulted in funding of the application during the competition and 

the program has funds available, the Secretary funds the application prior to the reranking of applications based on the second peer review of applications described in 

paragraph (c)(9) of this section.

(9) If the Secretary determines that a peer reviewer made a scoring error, as 

described in paragraph (b)(3) of this section, the Secretary convenes a second panel of 

peer reviewers in accordance with the requirements in section 402A(c)(8)(C)(iv)(III) of 

the HEA.

(10) The average of the peer reviewers' scores from the second peer review are 

used in the second ranking of applications. The average score obtained from the 

second peer review panel is the final peer reviewer score for the application and will be 

used even if the second review results in a lower score for the application than that 

obtained in the initial review.

(11) For applications in the funding band, the Secretary funds these applications in 

rank order based on adjusted scores and the available funds that have been set aside 

for the second review of applications.

(d) Process for establishing a funding band. (1) For each competition, the Secretary 

establishes a funding band for the second review of applications.

(2) The Secretary establishes the funding band for each competition based on the 

amount of funds the Secretary has set aside for the second review of applications.
28

(3) The funding band is composed of those applications—

(i) With a rank-order score before the second review that is below the lowest score 

of applications funded after the first review; and

(ii) That would be funded if the Secretary had 150 percent of the funds that were 

set aside for the second review of applications for the competition.

(e) Final decision. (1) The Secretary's determination of whether the applicant has 

met the requirements for a second review and the Secretary's decision on re-scoring of 

an application are final and not subject to further appeal or challenge.

(2) An application that scored below the established funding band for the 

competition is not eligible for a second review.

(Approved by the Office of Management and Budget under control number 1840-NEW5)

(Authority: 20 U.S.C. 1070a-11)

[75 FR 65792, Oct. 26, 2010]

Subpart D—What Conditions Must Be Met by a Grantee?

§646.30 What are allowable costs?

The cost principles that apply to the Student Support Services Program are in 34 

CFR 74.27, 75.530, and 80.22, as applicable. Allowable costs include the following if 

they are reasonably related to the objectives of the project:

(a) Cost of remedial and special classes if—

(1) These classes are not otherwise available at the grantee institution;

(2) Are limited to eligible project participants; and

(3) Project participants are not charged tuition for classes paid for by the project.

(b) Courses in English language instruction for students of limited English 

proficiency if these classes are limited to eligible project participants and not otherwise 

available at the grantee institution.

(c) In-service training of project staff.

(d) Activities of an academic or cultural nature, such as field trips, special lectures, 

and symposiums, that have as their purpose the improvement of the participants' 

academic progress and personal development.
29

(e) Transportation and, with the prior approval of the Secretary, meals and lodging 

for participants and staff during approved educational and cultural activities sponsored 

by the project.

(f) Purchase, lease, or rental of computer hardware, software, and other equipment, 

service agreements for such equipment, and supplies for participant development, 

project administration, or project recordkeeping.

(g) Professional development travel for staff if directly related to the project's overall 

purpose and activities, except that these costs may not exceed four percent of total 

project salaries. The Secretary may adjust this percentage if the applicant demonstrates 

to the Secretary's satisfaction that a higher percentage is necessary and reasonable.

(h) Project evaluation that is directly related to assessing the project's impact on 

student achievement and improving the delivery of services.

(i) Grant aid to eligible students who—

(1) Are in their first two years of postsecondary education and who are receiving 

Federal Pell Grants under subpart 1 of part A of title IV of the Act; or

(2) Have completed their first two years of postsecondary education and who are 

receiving Federal Pell Grants under subpart 1 of part A of title IV of the Act if the 

institution demonstrates to the satisfaction of the Secretary that—

(i) These students are at high risk of dropping out; and

(ii) It will first meet the needs of all its eligible first- and second-year students for 

services under this paragraph.

(j) Temporary housing during breaks in the academic year for—

(1) Students who are homeless children and youths or were formerly homeless 

children and youths; and

(2) Students who are foster care youth.

(Authority: 20 U.S.C. 1070a-14)

[61 FR 38537, July 24, 1996, 75 FR 65793, Oct. 26, 2010]

§646.31 What are unallowable costs?

Costs that may not be charged against a grant under the Student Support Services 

Program include, but are not limited to, the following:
30

(a) Costs involved in recruiting students for enrollment at the institution.

(b) Tuition, fees, stipends, and other forms of direct financial support, except for 

Grant aid under §646.30(i) for staff or participants. 

(c) Research not directly related to the evaluation or improvement of the project.

(d) Construction, renovation, or remodeling of any facilities.

(Authority: 20 U.S.C. 1070a-14)

[61 FR 38537, July 24, 1996, as amended at 75 FR 65794, Oct. 26, 2010]

§646.32 What other requirements must a grantee meet?

(a) Number of Participants. For each year of the project period, a grantee must 

serve at least the number of participants that the Secretary identifies in the FEDERAL 

REGISTER notice inviting applications for a competition. Through this notice, the 

Secretary also provides the minimum and maximum grant award amounts for the 

competition.

(b) Eligibility of participants. (1) A grantee shall determine the eligibility of each 

participant in the project when the individual is selected to participate. The grantee does 

not have to revalidate a participant's eligibility after the participant's initial selection.

(2) A grantee shall determine the low-income status of an individual on the basis of 

the documentation described in section 402A(e) of the Act.

(c) Recordkeeping. A grantee must maintain participant records that show—

(1) The basis for the grantee's determination that each participant is eligible to 

participate in the project under §646.3;

(2) The grantee's basis for determining the academic need for each participant;

(3) The services that are provided to each participant; 

(4) The performance and progress of each participant by cohort for the duration of 

the participant's attendance at the grantee institution; and

(5) To the extent practicable, any services the participant receives during the 

project year from another Federal TRIO program or another federally funded program 

that serves populations similar to those served under the SSS program.

(d) Project director. (1) A grantee must employ a full-time project director unless—
31

(i) The director is also administering one or two additional programs for 

disadvantaged students operated by the sponsoring institution or agency; or

(ii) The Secretary grants a waiver of this requirement.

(2) The grantee must give the project director sufficient authority to administer the 

project effectively.

(3) The Secretary waives the requirements in paragraph (d)(1) of this section if the 

applicant demonstrates that the project director will be able to effectively administer 

more than three programs and that this arrangement would promote effective 

coordination between the program and other Federal TRIO programs (sections 402B 

through 402F of the HEA) or similar programs funded through other sources.

(e) Project coordination. (1) The Secretary encourages grantees to coordinate 

project services with other programs for disadvantaged students operated by the 

grantee institution provided the Student Support Services grant funds are not used to 

support activities reasonably available to the general student population.

(2) To the extent practical, the grantee may share staff with programs serving 

similar populations provided the grantee maintains appropriate records of staff time and 

effort and does not commingle grant funds.

(3) Costs for special classes and events that would benefit Student Support 

Services students and participants in other programs for disadvantaged students must 

be proportionately divided among the benefiting projects.

(Approved by the Office of Management and Budget under control number 1840-NEW5) 

(Authority: 20 U.S.C. 1070a-11 and 1070a)

[61 FR 38537, July 24, 1996, as amended at 75 FR 65794, Oct. 26, 2010]

§646.33 What are the matching requirements for a grantee that uses Student 

Support Services program funds for student grant aid?

(a) Except for grantees described in paragraph (b) of this section, a grantee that 

uses Student Support Services program funds for grant aid to eligible students 

described in §646.30(i) must—

(1) Match the Federal funds used for grant aid, in cash, from non-Federal funds, in 

an amount that is not less than 33 percent of the total amount of Federal grant funds 

used for Grant aid; and

(2) Use no more than 20 percent of the Federal program funds awarded the 

grantee each year for grant aid.
32

(b) A grant recipient that is an institution of higher education eligible to receive 

funds under part A or B of title III or title V of the HEA, as amended, is not required to 

match the Federal funds used for grant aid.

(Approved by the Office of Management and Budget under control number 1840-

NEW10)

(Authority: 20 U.S.C. 1070a-11)

[75 FR 65794, Oct. 26, 2010]