HBCU Application

Application Package for
Historically Black Colleges and Universities
(HBCU) and
Historically Black Graduate Institutions
(HBGI) Programs

Estimated Public Reporting Burden
According to the Paperwork Reduction Act of 1995, no persons are required to respond to a
collection of information unless such collection displays a valid OMB control number. The
valid control number for this information collection is 1840-0113. Public reporting burden
for this collection of information is estimated to average 16 hours per response, including
time for reviewing instructions, searching existing data sources, gathering and maintaining
the data needed, and completing and reviewing the collection of information. The obligation
to respond to this collection is required to obtain or retain benefit per the following
sections of the Higher Education Act of 1965, as amended: Section 321 for Historically
Black colleges and Universities (HBCU) and Section 326 for Historically Black
Graduate Institutions (HBGI). 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 [email protected] and reference the OMB Control Number 1840-0113. Note:
Please do not return the completed HBCU or HBGI Phase I and/or grant application to this
address.

If you have comments or concerns regarding the status of your individual submission of
this form, write directly to: Karen W. Johnson, Team Leader A, Institutional Service,
Office of Postsecondary Education, 1990 K St., NW, 6th Floor, Washington, DC 200068515.

Dear Colleague:
This package contains the necessary forms and information to apply for a new grant
under the Historically Black Colleges and Universities (HBCU) program, and the
Historically Black Graduate Institutions (HBGI) program. The Title III, Part B programs
provide financial assistance to establish or strengthen the academic resources,
endowment building capacity, management capabilities and physical plants of historically
Black colleges and universities and historically Black graduate institutions.
Institutions of higher education legally designated as a HBCU or HBGI are eligible to
apply. Additional information and the regulations governing these programs can be
accessed from the following Web site:
http://www2.ed.gov/about/offices/list/ope/idues/index.html
The specifics regarding this year’s application procedures are contained in this
application package. We encourage applicants to review the Key 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 INSERT DATE and Phase II, the Project Plan, must be submitted
by INSERT DATE.
If you have any questions or require additional information, please contact Nalini LambaNieves via email at: [email protected] or by phone at (202) 502-7562.
We appreciate your continued interest in and support of Title III, Part B Historically
Black Colleges and Universities program and Historically Black Graduate Institutions
program and look forward to receiving your application.

Sincerely,

Leonard Haynes, Ph.D.
Director
Institutional Service

INTRODUCTION
HISTORICALLY BLACK COLLEGES AND
UNIVERSITIES PROGRAM AND HISTORICALLY BLACK
GRADUATE INSTITUTIONS PROGRAM
PURPOSE
The HBCU program and the HBGI program authorized under Title III, Parts B and F of
the Higher Education Act of 1965, as amended (HEA) provide financial assistance to
establish or strengthen the academic resources, endowment building capacity,
management capabilities and physical plants of historically Black colleges and
universities.
ELIGIBLE APPLICANTS
Institutions of higher education legally designated as a Title III eligible historically Black
college or university, or graduate institution or qualified graduate program are the only
entities eligible to apply.
ACTIVITIES FUNDED UNDER THIS PROGRAM
HBCU grantees may use Title III, Part B funds to carry out the following activities:
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Purchase, rental, or lease of scientific or laboratory equipment for educational
purposes, including instructional and research purposes.
Construction, maintenance, renovation, and improvement in classrooms, libraries,
laboratories, and other instructional facilities, including purchase or rental of
telecommunications and technology equipment or services.
Support of faculty exchanges, faculty development, and faculty fellowships to
assist in attaining advanced degrees in the field of instruction of the faculty.
Academic instruction in disciplines in which Black Americans are
underrepresented.
Purchase of library books, periodicals, and other educational materials, including
telecommunications program material.
Tutoring, counseling, and student service programs designed to improve academic
success.
Funds management, administrative management, and acquisition of equipment for
use in strengthening funds management.
Joint use of facilities, such as laboratories and libraries.
Establishing or improving a development office to strengthen or improve
contributions from alumni and the private sector.

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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.
Establishing community outreach programs which will encourage elementary and
secondary students to develop the academic skills and the interest to pursue
postsecondary education.
Establishing or improving an endowment fund.
Acquisition of real property in connection with the construction, renovation, or
addition to or improvement of campus facilities.
Education or financial information designed to improve the financial literacy and
economic literacy of students or the students' families, especially with regard to
student indebtedness and student assistance programs Title IV of the HEA.
Services necessary for the implementation of projects or activities that are
described in the grant application and that are approved, in advance, by the
Secretary, except that not more than two percent of the grant amount may be used
for this purpose.
Other activities proposed in the application that contribute to carrying out the
purposes of the HBCU program and are approved by the Secretary.

HBCU grantees may use Title III, Part F funds (Student Aid and Fiscal
Responsibility Act (SAFRA)) to carry out the following activities:
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Purchase, rental, or lease of scientific or laboratory equipment for educational
purposes, including instructional and research purposes;
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.

HBGI grantees may use Title III, Part B funds to carry out the following activities:
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Purchase, rental or lease of scientific or laboratory equipment for educational
purposes, including instructional or research purposes;
Construction, maintenance, renovation, and improvement in classroom, library,
laboratory, and other instructional facilities, including purchase or rental of
telecommunications technology equipment or services;
Purchase of library books, periodicals, technical and other scientific journals,
microfilm, microfiche, and other educational materials, including
telecommunications program materials;
Scholarships, fellowships, and other financial assistance for needy graduate and
professional students to permit the enrollment of the students in and completion of
the doctoral degree in medicine, dentistry, pharmacy, veterinary medicine, law,
and the doctorate degree in the physical or natural sciences, engineering,
mathematics, or other scientific disciplines in which African Americans are
underrepresented;
Establishing or improving a development office to strengthen and increase
contributions from alumni and the private sector;
Assisting in the establishment or maintenance of an institutional endowment to
facilitate financial independence pursuant to section 331 of the HEA, as amended;
Funds and administrative management, and the acquisition of equipment,
including software, for use in strengthening funds management and management
information systems;
Acquisition of real property that is adjacent to the campus in connection with the
construction, renovation, or addition to or improvement of campus facilities;
Education or financial information designed to improve the financial literacy and
economic literacy of students or the students’ families, especially with regard to
student indebtedness and student assistance programs under Title IV of the HEA;
Services necessary for the implementation of projects or activities that are
approved, in advance, by the Secretary, except that not more than two percent of
the grant amount may be used for this purpose;
Tutoring, counseling, and student service programs designed to improve academic
success; and
Other activities proposed in the application that contribute to carrying out the
purposes of the HBGI program and are approved by the Secretary.

FY 20XX KEY APPLICATION HIGHLIGHTS
The Department of Education is conducting all competitions electronically. HBCUs and
HBGIs should submit the institution’s Phase I data via e-mail. Institutions may use digital
signatures or, if not available, scan the Phase I data documents and send them as a PDF.
It is Department policy that all applications must be submitted using the Grants.gov
system. The Grants.gov system is a government-wide application system. Therefore,
you may see references to items that are not applicable to the HBCU and HBGI
programs, such as: the Closing Date Notice (CDN); submitting applications by 4:30:00
pm; and submitting applications by mail. The HBCU program and the HBGI program do
not publish a CDN. All application instructions are contained in this booklet. Your
application must be submitted by the deadline date; however, HBCU and HBGI
applications are not required to be in by 4:30:00 pm on the closing date. Lastly, all
HBCU and HBGI applicants must submit their applications electronically. No paper
application submissions will be accepted.
To read the Grants.gov registration and transmittal instructions, as well as submission
tips, please refer to the instructions located after the Authorizing Legislation section of
this booklet.

HBCUs:
 This application booklet should be used for new Title III, Part B HBCU and new
Title III, Part F HBCU (SAFRA) applications.

HBGIs:
 The information that follows provides an explanation of the changes to the HEA
made as a result of the Higher Education Opportunity Act of 2008 (HEOA) and
the effect the changes will have on your fiscal year (FY) 20XX HBGI award.


Section 311(c) of the HEOA of 2008 amends section 326 of the HEA to add six
(6) institutions or qualified graduate programs (QGP) that are now eligible to
receive funding under the HBGI program. The Funding Rule in section 326(f) of
HEA was amended by section 311(d) of the HEOA, and reflects that the 18
HBGIs listed prior to the reauthorization of the HEA will continue to receive
grants; however, the 6 new institutions will only receive funding if Congress
appropriates funds above $56,900,000. Furthermore, any amount appropriated, in
excess of $62,900,000, will be made available to the eligible institutions pursuant
to a formula developed by the Secretary using the elements outlined in Section
326(3)(A) through (E) of the HEA. Lastly, section 311(e) of the HEOA amends
the date of the Hold Harmless Rule in section 326(g) of the HEA and no
institution or QGP that received a grant in FY 2008 and is eligible to receive a

grant in subsequent fiscal years, shall receive a grant that is less than the amount
of their FY 2008 grant award.

AUTHORIZING LEGISLATION
Institutions submitting applications for a five year grant are required to submit a
Comprehensive Development Plan (CDP) in accordance with Section 608.21 of the
regulations for HBCUs and Section 609.21 for HBGIs. The CDP is a part of the Phase II
Project Plan. The legislation and regulations governing the HBCU and HBGI programs
can be accessed from the following Web sites:
Legislation
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HBCU: Higher Education Act of 1965, as amended; Strengthening Historically
Black Colleges and Universities; Title III, Part B, Sections 321 341; CFDA
84.031B.
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HBCU/HEA; Title III, Part F, Section 371 (Student Aid and Fiscal Responsibility
Act (SAFRA) (P.L. 111-152)

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HBGI: Higher Education Act of 1965, as amended; Strengthening Historically
Black Colleges and Universities; Title III, Part B, Section 326; CFDA 84.031B



Higher Education Opportunity Act of 2008 (P.L. 110-315)

Regulations:
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HBCU--34 CFR Part 608

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HBGI—34 CFR Part 609

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HBCU and HBGI: Education Department General Administrative Regulations
(EDGAR), Parts 74, 75, 77, 79, 81, 82, 84, 85, 86, 97, 98, and 99

IMPORTANT – PLEASE READ FIRST
U.S. Department of Education

Grants.gov Submission Procedures and Tips for Applicants
To facilitate your use of Grants.gov, this document includes important submission
procedures you need to be aware of to ensure your application is received in a timely
manner and accepted by the Department of Education.
ATTENTION – Adobe Forms and PDF Files Required
Applications submitted to Grants.gov for the Department of Education will be posted using Adobe forms.
Therefore, applicants will need to download the latest version of Adobe reader (at least Adobe Reader
8.1.2). Information on computer and operating system compatibility with Adobe and links to download the
latest version is available on Grants.gov. We strongly recommend that you review these details on
www.Grants.gov before completing and submitting your application. In addition, applicants should submit
their application a day or two in advance of the closing date as detailed below. Also, applicants are
required to upload their attachments in .pdf format only. (See details below under ―Attaching Files –
Additional Tips.‖) If you have any questions regarding this matter please email the Grants.gov Contact
Center at [email protected] or call 1-800-518-4726.
Also, applicants should be aware that on October 11, 2010, Grants.gov implemented a new security build
which requires each organization’s e-Biz POC (Point of Contact) update their Grants.gov registration. To
complete this step, the e-Biz POC must have their DUNS number and CCR MPIN. We recommend this
step be completed several days before application submission unless the e-Biz POC has already responded
to this requirement. For more information on this topic, please visit this Grants.gov information link:
http://www.grants.gov/securitycommebiz/.
1)

REGISTER EARLY – Grants.gov registration may take five or more business days to complete. You
may begin working on your application while completing the registration process, but you cannot submit an
application until all of the Registration steps are complete. For detailed information on the Registration
Steps, please go to: http://www.grants.gov/applicants/get_registered.jsp. [Note: Your organization will need
to update its Central Contractor Registry (CCR) registration annually.]

2)

SUBMIT EARLY – We strongly recommend that you do not wait until the last day to submit your
application. Grants.gov will put a date/time stamp on your application and then process it after it is
fully uploaded. The time it takes to upload an application will vary depending on a number of factors
including the size of the application and the speed of your Internet connection, and the time it takes
Grants.gov to process the application will vary as well. If Grants.gov rejects your application (see step three
below), you will need to resubmit successfully on the deadline date. While there is no 4:30:00 pm time
deadline for HBCU and HBGI applicants, you must submit your applications by midnight on the deadline
date.
Note: To submit successfully, you must provide the DUNS number on your application that was used
when you registered as an Authorized Organization Representative (AOR) on Grants.gov. This DUNS
number is typically the same number used when your organization registered with the CCR (Central
Contractor Registry). If you do not enter the same DUNS number on your application as the DUNS
you registered with, Grants.gov will reject your application.

3)

VERIFY SUBMISSION IS OK – You will want to verify that Grants.gov and the Department of
Education receive your Grants.gov submission timely and that it was validated successfully. To see the
date/time your application was received, login to Grants.gov and click on the Track My Application link. For
a successful submission, the date received should be the deadline date, AND the application status should be:
Validated, Received by Agency, or Agency Tracking Number Assigned.
If your application has a status of ―Received‖ it is still awaiting validation by Grants.gov. Once validation is
complete, the status will either change to ―Validated‖ or ―Rejected with Errors.‖ If the status is ―Rejected
with Errors,‖ your application has not been received successfully. Some of the reasons Grants.gov may reject

an application can be found on the Grants.gov site: http://www.grants.gov/applicants/applicant_faqs.jsp#54.
For more detailed information on troubleshooting Adobe errors, you can review the Adobe Reader Error
Messages document at http://www.grants.gov/assets/AdobeReaderErrorMessages.pdf. If you discover your
application is late or has been rejected, please see the instructions below. Note: You will receive a series of
confirmations both online and via e-mail about the status of your application. Please do not rely solely on email to confirm whether your application has been received timely and validated successfully.

Submission Problems – What should you do?
If you have problems submitting to Grants.gov before the closing date, please contact Grants.gov Customer
Support at 1-800-518-4726 or http://www.grants.gov/contactus/contactus.jsp, or use the customer support
available on the Web site: http://www.grants.gov/applicants/applicant_help.jsp.
Helpful Hints When Working with Grants.gov
Please note, once you download an application from Grants.gov, you will be working offline and saving
data on your computer. Please be sure to note where you are saving the Grants.gov file on your computer.
You will need to logon to Grants.gov to upload and submit the application. You must provide the DUNS
number on your application that was used when you registered as an Authorized Organization
Representative (AOR) on Grants.gov.
Please go to http://www.grants.gov/applicants/applicant_help.jsp for help with Grants.gov. For additional
tips related to submitting grant applications, please refer to the Grants.gov Submit Application FAQs found
on the Grants.gov http://www.grants.gov/help/submit_application_faqs.jsp.
Dial-Up Internet Connections
When using a dial up connection to upload and submit your application, it can take significantly longer than when you
are connected to the Internet with a high-speed connection, e.g. cable modem/DSL/T1. While times will vary
depending upon the size of your application, it can take a few minutes to a few hours to complete your grant
submission using a dial up connection. If you do not have access to a high-speed connection and electronic submission
is required, you may want to consider submitting your application early, to ensure it goes through the system.

MAC Users
For MAC compatibility information, review the Operating System Platform Compatibility Table at the following
Grants.gov link: http://www.grants.gov/help/download_software.jsp. If electronic submission is required and you are
concerned about your ability to submit electronically as a non-windows user, please contact Nalini Lamba-Nieves via
email at: [email protected] or by phone at (202) 502-7562. You may also contact Karen W. Johnson, Team
Leader, via email at: [email protected] or by phone at (202) 502-7642.

Attaching Files – Additional Tips
Please note the following tips related to attaching files to your application, especially the requirement that
applicants only include .pdf files in their application:
1.

Ensure that you attach .PDF files only for any attachments to your application. PDF files are
the only Education approved file type. Applicants must submit individual .PDF files only
when attaching files to their application. Specifically, the Department will not accept any
attachments that contain files within a file, such as PDF Portfolio files. Any attachments
uploaded that are not .PDF files or are password protected files will not be read. If you need
assistance converting your files to a .pdf format, please refer to this Grants.gov webpage with
links to conversion programs:
http://www.grants.gov/help/download_software.jsp#pdf_conversion_programs

2.

Grants.gov cannot process an application that includes two or more files that have the same
name within a grant submission. Therefore, each file uploaded to your application package
should have a unique file name.

3.

When attaching files, applicants should follow the guidelines established by Grants.gov on the
size and content of file names. Uploaded files must be less than 50 characters, contain no
spaces, no special characters (example: -, &, *, %, /, #, \) including periods (.), blank spaces
and accent marks. Applications submitted that do not comply with the Grants.gov guidelines
will be rejected at Grants.gov and not forwarded to the Department.

4.

Applicants should limit the size of their file attachments. Documents submitted that contain
graphics and/or scanned material often greatly increase the size of the file attachments and
can result in difficulties opening the files. For reference, the average discretionary grant
application package totals 1 to 2 MB. Therefore, you may want to check the total size of your
package before submission.

Grants.gov ORGANIZATION REGISTRATION
INSTRUCTIONS
The following instructions provide registration guidance for a company, academic or
research institution, state, local or tribal government, not-for-profit, or other type of
organization. Registration is a one-time process that is required before representatives of
an organization can submit grant application packages electronically through Grants.gov.
The registration process can take up to four weeks depending on your organization
and whether all steps are taken in a timely manner. For more information, visit
http://www07.grants.gov/applicants/get_registered.jsp.
Note: If you are an individual applying for a grant on your own behalf and not on behalf of a
company, academic or research institution, state, local or tribal government, not-for-profit, or
other type of organization, visit http://www.grants.gov/applicants/individual_registration.jsp.
If you apply as an individual to a grant designated for organizations, your application will be
rejected.
STEP 1: OBTAIN DATA UNIVERSAL NUMBER SYSTEM (DUNS) NUMBER
WHY?
 The federal government has adopted the use of DUNS numbers to track how
federal grant money is allocated. DUNS numbers identify your organization.
HOW?
 Ask the grant administrator, chief financial officer, or authorizing official of your
organization to identify your DUNS number.
 If your organization does not know its DUNS number or needs to register for one,
visit Dun & Bradstreet at http://fedgov.dnb.com/webform/displayHomePage.do.
TIME REQUIRED?
 Same day. You will receive DUNS number information online.
STEP 2: REGISTER WITH CENTRAL CONTRACTOR REGISTRATION (CCR)
WHY?
 Registering with the CCR is required for organizations to use Grants.gov.
HOW?
 Ask the grant administrator, chief financial officer, or authorizing official of your
organization if your organization has registered with the CCR.
 If your organization is not registered, apply online at http://www.ccr.gov.

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When your organization registers with CCR, you must designate an E-Business
Point of Contact (E-Biz POC). This person will identify a special password called
an MPIN.
This MPIN gives the E-Biz POC authority to designate which staff members from
your organization are allowed to submit applications electronically through
Grants.gov. These designated staff members are called Authorized Organization
Representatives (AORs).

TIME REQUIRED?
 If your organization already has an Employment Identification Number (EIN) or
Taxpayer Identification Number (TIN), allow one to three business days to
complete the entire CCR registration.
 If your organization does not have an EIN or TIN, allow two weeks for obtaining the
EIN or TIN from the Internal Revenue Service (IRS) if requested via phone or
Internet.
 Your organization needs to renew its CCR registration once a year, which may take
up to five business days. You will not be able to move on to Step 3 until this step is
completed.
STEP 3: CREATE GRANTS.GOV USERNAME & PASSWORD
WHY?
 An AOR username and password serves as an "electronic signature" when
submitting a Grants.gov application.
HOW?
 To create a username and password, AORs must complete a profile on Grants.gov
(using their organization’s DUNS number) at
https://apply07.grants.gov/apply/OrcRegister.
 AORs must wait one business day after their organization registers with the CCR
before creating a profile.
TIME REQUIRED?
 Same day. After the AOR has completed their profile they will be prompted to create
a username and password that will allow the user to log in and check their approval
status immediately.
STEP 4: AOR AUTHORIZATION
WHY?
 Only the E-Biz POC can approve AORs, who then have the ability to submit
applications on behalf of the organization.

HOW?
 When an AOR registers with Grants.gov, that organization's E-Biz POC is
notified by email.
 The E-Biz POC must then log in to Grants.gov (using the organization’s DUNS
number for the username and the MPIN password obtained in Step 2) and approve
the AOR, thereby giving him or her permission to submit applications.
 When an E-Biz POC approves an AOR, Grants.gov will send the AOR a
confirmation email.
TIME REQUIRED?
 This depends on how long it takes the E-Biz POC to log in and approve the AOR.
Once the approval is completed, the AOR can immediately submit an application.
STEP 5: TRACK AOR STATUS
WHY?
 To verify that the organization’s E-Biz POC has approved the AOR.
HOW?
 AORs can log in using their username and password (obtained in Step 3) to check
if they have been approved by the E-Biz POC.
TIME REQUIRED?
 Logging in as an applicant is instantaneous. The approval process depends on
how long it takes the E-Biz POC to log in and approve the AOR

APPLICATION SUBMISSION INSTRUCTIONS
ATTENTION ELECTRONIC APPLICANTS: Please note that you must follow the
Application Procedures as described in the application booklet.
This program requires the electronic submission of applications; specific
requirements can be found in the application booklet.
If you want to apply for a grant and be considered for funding, you must meet the
following deadline requirements:
Applications Submitted Electronically
You must submit your grant application through Grants.gov portal site
(http://www.grants.gov) on or before the deadline date. Applications received by
Grants.gov are date and time stamped.
Submission of Paper Applications by Mail:
If you qualify for an exception to the electronic submission requirement, you may submit
your application in paper format by mail (through the U.S. Postal Service or a
commercial carrier), you must mail the original and two copies of your application, on or
before the application deadline date, to the Department at the following address:
U.S. Department of Education
Application Control Center
Attention: (CFDA Number 84.031B)
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.
Submission of Paper Applications by Hand Delivery:
If you qualify for an exception to the electronic submission requirement, you (or a courier
service) may deliver your paper application to the Department by hand. You must
deliver the original and two copies of your application by hand, on or before the
application deadline date, to the Department at the following address:
U.S. Department of Education
Application Control Center
Attention: (CFDA Number 84.031B)
550 12th Street, SW.
Room 7041, Potomac Center Plaza
Washington, DC 20202-4260
The Application Control Center accepts hand deliveries daily between 8:00 a.m. and
4:30:00 p.m., Washington, DC time, except Saturdays, Sundays, and Federal holidays.
Note for Mail or Hand Delivery of Paper Applications: If you mail or hand deliver
your application to the Department-(1) You must indicate on the envelope and--if not provided by the Department--in Item
11 of the SF 424 the CFDA number, including suffix letter, if any, of the competition
under which you are submitting your application; and
(2) The Application Control Center will mail to you a notification of receipt of your
grant application. If you do not receive this notification within 15 business days from
the application deadline date, you should call the U.S. Department of Education
Application Control Center at (202) 245-6288.

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. Curricula position descriptions for positions proposed for the funding cycle.

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) and annual performance reports for
each year during the funding cycle (including any time extensions) using the IDUES
Reporting System Annual Performance Reports 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://apr.ed.gov.
Contact Information:
Karen W. Johnson, Team Leader, HBCU, HBGI & MSEIP Programs
U.S. Department of Education
1990 K Street, NW, Room 6032
Washington, D.C. 20006-8515
Telephone: (202) 502-7642 Fax: (202) 502-7861
E-mail Address: [email protected]
Or
Nalini Lamba-Nieves, Program Officer, HBCU & HBGI Programs
U.S. Department of Education
1990 K Street, NW, Room 6062
Washington, D.C. 20006-8515
Telephone: (202) 502-7562 Fax: (202) 502-7861
E-mail Address: [email protected]

GOVERNMENT PERFORMANCE AND RESULTS ACT (GPRA)
What is GPRA?
The Government Performance and Results Act of 1993 (GPRA) is a straightforward
statute that requires all federal agencies to manage their activities with attention to the
consequences of those activities. Each agency is to clearly state what it intends to
accomplish, identify the resources required, and periodically report their progress to the
Congress. In so doing, it is expected that the GPRA will contribute to improvements in
accountability for the expenditures of public funds, improve congressional decisionmaking through more objective information on the effectiveness of federal programs, and
promote a new government focus on results, service delivery, and customer satisfaction.
How has the Department of Education responded to the GPRA requirements?
As required by GPRA, the Department of Education has prepared a strategic plan for
2007-2012. This plan reflects the Department’s priorities and integrates them with its
mission and program authorities and describes how the Department will work to improve
education for all children and adults in the U.S. The Department’s goals, as listed in the
plan, are:
Goal 1: Improve student achievement, with a focus on bringing all students to
grade level in reading and mathematics by 2014.
Goal 2: Increase the academic achievement of all high school students.
Goal 3: Ensure the accessibility, affordability, and accountability of higher
education and better prepare students and adults for employment and future
learning.
What are the performance indicators for the Title III, Part B HBCU and HBGI
programs?
The performance indicators for the Title III, Part B programs are part of the Department’s
plan for meeting Goal 3: Ensure the accessibility, affordability, and accountability of
higher education, and better prepare students and adults for employment and future
learning.
Program Goal: To improve the capacity of minority-serving institutions, which
traditionally have limited resources and serve large numbers of
low-income and minority students, to improve student success and
to provide high-quality educational opportunities for their
students.

GPRA—Program Goals

HBCU Program
Objective 1 of 3: Increase enrollments at historically Black colleges and universities (HBCU).
Measure 1.1 of 1: The percentage change, over the five-year grant period, of the number of full-time degreeseeking undergraduates enrolled at HBCUs.
Objective 2 of 3: Increase the persistence rate for students enrolled at HBCUs.
Measure 2.1 of 3: The percentage of first-time, full-time degree-seeking undergraduate students who were in
their first year of postsecondary enrollment in the previous year and are enrolled in the current year at the same
HBCU.
Measure 2.2 of 3: The percentage of first-time, full time degree-seeking undergraduate students at four-year
HBCUs who were in their first year of postsecondary enrollment in the previous year and are enrolled in the
current year at the same HBCU.
Measure 2.3 of 3: The persistence rate of first-time, full time degree-seeking undergraduate students at two-year
HBCUs who were in their first year of postsecondary enrollment in the previous year and are enrolled in the
current year at the same HBCU.
Objective 3 of 3: Increase the graduation rate for students enrolled at HBCUs.
Measure 3.1 of 3: Federal cost per undergraduate and graduate degree at HBCUs.
Measure 3.2 of 3: The percentage of first-time, full-time degree-seeking undergraduate students enrolled at
four-year HBCUs who graduate within six years of enrollment.
Measure 3.3 of 3: The percentage of first-time, full-time degree-seeking undergraduate students enrolled at twoyear HBCUs who graduate within three years of enrollment.
HBGI Program
Objective 1 of 2: Increase enrollments at Historically Black Graduate Institutions (HBGI).
Measure 1.1 of 1: The percentage change, over the five-year grant period, of the number of full-time graduate
students enrolled at HBGIs.
Objective 2 of 2: Increase the number of graduate degrees awarded at HBGIs.
Measure 2.1 of 2: Federal cost per graduate degree at HBGIs.
Measure 2.2 of 2: The number of Ph.D., first professional, and Master's degrees awarded at HGBIs.
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 plan can be viewed at
U.S. Department of Education FY 2010 Annual Performance Report:
http://www2.ed.gov/about/reports/annual/2010report/fy2010-apr.pdf

HBCU:
http://www2.ed.gov/about/reports/annual/2010plan/g3aidhbcu.doc
HBGI:
http://www2.ed.gov/about/reports/annual/2010plan/g3aidblkgrad.doc

HBCU and HBGI
PHASE I Formula Data

HBCU PHASE I FORMULA GRANT DATA
HISTORICALLY BLACK COLLEGES AND UNIVERSITIES PROGRAM
FY 20XX FORMULA GRANT DATA WORKSHEET
In order for the Department to determine the level of funding for an institution, the information below is
required. Refer to Section 608.31 of the program regulations for additional information.
NOTE: This form must be submitted as part of your initial application as well as annually during your
approved project period. 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. These data will be used to formulate your FY 20XX
Title III, Part B HBCU and Title III, Part F HBCU (SAFRA) award allocations.
NAME OF INSTITUTION:
________________________________________________________________________
CITY: _________________________________________________ STATE: _________
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 – 2006
Year 2 – 2007
Year 3 – 2008
Year 4 – 2009
Year 5 – 2010
TOTALS
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 Section 608.31 of the HBCU regulations for information required in columns B and C.

HBCU PHASE I FORMULA GRANT DATA
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, 2009 – June 30,
2010)
__________ (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,
2009 – June 30, 2010). 34 CFR Section 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, 2006 – June 30, 2010).
__________ (3)
4. Enter the total from Column C (Total for July 1, 2006– June 30, 2010). 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: _________________________________________
Dated:

HBGI PHASE I FORMULA DATA
HISTORICALLY BLACK GRADUATE INSTITUTIONS PROGRAM
FY 20XX FORMULA GRANT WORKSHEET
Section 326 (f) of the Higher Education Act of 1965, as amended, requires that HBGI annual appropriations in
excess of $62,900,000 be allocated according to a formula comprised of five elements. The five elements of the
formula, as stated in the law, with instructions for completing the data form are identified below.
Formula Element A. ―The ability of the institution to match Federal funds with non-Federal funds.‖
Formula Element B. ―The number of students enrolled in the programs for which the eligible institution
received funding under this section in the previous year.‖
Provide the number of students enrolled (fall full-time equivalent enrollment) in the qualified graduate program
(QGP) at your eligible HBGI which received funding under Section 326 in the previous year. Also provide the
name of the QGP in which the students were enrolled for the previous year.
Formula Element C. ―The average cost of education per student, for all full-time graduate or professional
students (or the equivalent) enrolled in the eligible professional or graduate school, or for doctoral students
enrolled in the qualified graduate programs.‖
Provide the average cost of education per student, for all full-time graduate or professional students (or
equivalent) enrolled in the eligible professional or graduate school, or for doctoral students enrolled in the
qualified graduate programs.
NOTE: The average cost of education for each qualified graduate program should include the following
elements: instruction, research, public service, academic support (including library expenditures), student
services, institutional support, scholarships and fellowships, operation and maintenance of physical plant, and
any mandatory transfers that the institution is required to pay by law that are related to the institution’s qualified
graduate programs. Please explain the methodology used for arriving at the average cost of education for your
institution’s qualified graduate programs.
Formula Element D. ―The number of students in the previous year who received their first professional or
doctoral degree from the programs for which the eligible institution received funding under this section in the
previous year.‖
Provide the number of students in the previous academic year (20XX-XX) that received their first professional
or doctoral degree from the programs for which the eligible institution received funding under Section 326 in
the previous year.
Formula Element E. ―The contribution, on a percent basis, of the programs for which the institution is eligible
to receive funds under this section to the total number of African Americans receiving graduate or professional
degrees in the professions or disciplines related to the programs for the previous year.‖

List each QGP for which your institution awarded graduate or professional degrees in the previous year. For
each of these QGPs, provide the total number of African American graduates of these programs by degree level
(masters, first professional, or doctorate).

DATA COLLECTION FOR FORMULA TO ALLOCATE EXCESS HBGI GRANT AWARD FUNDS
UNDER SECTION 326 (f) ―FUNDING RULE‖
NOTE: This data must be submitted as part of your initial application as well as annually during your
approved project period. The deadline date for submitting the data for FY 20XX is INSERT DATE.

Name of Institution: ______________________________________
State: _____________
1. Formula Element A – Ability to Match
Has your institution matched HBGI funds prior to the past five years?
Circle one: YES
NO
If NO, has your institution matched Federal grant funds under some other Federal program in the past five
years?
Circle one: YES
NO
If YES, please provide the name of the Federal program and the amount of the institution’s matching
contribution under that program and the year of the match.
Name of Program: ______________________________________
Amount: $ ______ Year: ______
2. Formula Element B - Student Enrollment
Name of QGP
_______________________
_______________________
_______________________
_______________________

Number of Students
____________
____________
____________
____________

3. Formula Element C - Average Cost of Education
Average Cost of Education Per Student: $ ________________
4. Formula Element D – Graduates - Professional Programs
No. of Students
____________
____________
____________

Professional\Doctoral Degree Program
_________________________________
_________________________________
_________________________________

5. Formula Element E – Graduates – African Americans

QGP

Type
of
Degree

Total
# of
Graduates

Total
# of
African Amer.
Graduates

1. _____________________ _______

_________

____________

2. _____________________ _______

_________

____________

3. _____________________ _______

_________

____________

4. _____________________ _______

_________

____________

----------------------------------------------------------------

I attest to the accuracy of the data provided.
President’s Name (typed): ______________________________________
President’s Signature: _________________________________________

Dated:

HBCU and HBGI Phase II
The Project Plan

Phase II: The Project Plan
Phase II, the Project Plan is a compilation of the Comprehensive Development Plan (CDP), activity abstracts,
activity budgets and budget narratives, summary budget, and all applicable forms and certifications. Below is a
checklist to help you in the submission process.
Applicant Checklist
Use This Checklist While Preparing Your Application Package.
All items listed on this checklist are required, except as noted.
___

Application for Federal Assistance (SF424)

___

Department of Education Supplemental Information for SF424

___

Department of Education Budget Information Non-Construction Programs Form –
Sections A & B (ED524)

___

Abstract (Use ED Abstract Form)

___

Budget Narrative (Use Budget Narrative Attachment Form)

___

Project Narrative (Use Project Narrative Attachment Form)
Note: Have you addressed all application requirements for the Comprehensive
Development Plan?

___
Other Attachments (Curricula vitae of key personnel (project director and activities directors) and
curricula position descriptions for positions proposed for the funding cycle.) (Use Other Attachments Form)
___

Narrative addressing GEPA Section 427

___

Assurances and Certifications
___

Assurances for Non-Construction Programs (SF424B)

___

Lobbying Disclosure Form (SF LLL) (if applicable; refer to instructions)

___

Certification Regarding Lobbying (ED 80-0013)

___

Survey on Ensuring Equal Opportunity for Applicants

NOTE: Please do not attach any narratives, supporting files, or application components to the Standard
Form (SF 424). Although this form accepts attachments, the Department of Education will only review
materials/files attached to the attachment forms listed above.
Attachments must be submitted in .pdf format.

GUIDANCE FOR PHASE II - THE PROJECT PLAN
Developing the Comprehensive Development Plan
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 and 609.21.
To facilitate the review 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. An assessment of the strengths and weaknesses of the institution's financial management and academic
programs. Here is where you want to describe the institution’s current state, identifying more than the strengths
and weaknesses to be addressed by Title III B, but also present a comprehensive picture that describes the
mission goals and objectives (short and long-term) that can be used to highlight the institution.
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 Title III funds will be used;
3. A listing of measurable objectives, with accompanying timeframes, designed to assist the institution to reach
each goal for which Title III funds will be used for achieving the objectives; and,
4. A 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 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 – identify major institutional priorities.
Overview of Current Long-range Plan – describe major emphases and goals for the current planning period.
CDP Focus – describe areas targeted for improvement; list goals related to improve academic quality, fiscal
stability, institutional management, and student services; summary of activities to address CDP goals; and CDP
assessment strategies.
Conclusion – provide information addressing institutionalization as required by element 4 and relevant
supporting documentation.

Suggested Outline for Developing the Project Plan:
The CDP should be used to guide the formation of the Project Plan. Separately, and 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 allowable activities
authorized in the program regulations (34 CFR Section 608.10 for the HBCU program and 34 CFR Section
609.10 for the HBGI program). In brief detail, describe the purpose of each activity. A comprehensive Project
Plan 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 and to the legislatively allowable activities
(LAAs). List only the objectives that an activity is designed to accomplish. Describe the objectives in
outcome-oriented, measurable terms (i.e. provide/establish baseline data, goal for that fiscal year—in number or
percentage—, date by which you expect it to be completed, etc.). 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.
Do not include a budget narrative (as a separate activity) for endowment investing. Requests for endowments
investing should go under the ―Other‖ category.
COMPLETE A BUDGET SUMMARY (ED 524) FORM – For each proposed project year, provide an
itemized budget for each of the five years of the project. Applicants need only to provide a detailed budget
narrative and justification for the first (initial) year of their proposed five-year project.

INTEGOVERNMENTAL 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.pdf

Absent specific State review programs, applicants may submit comments directly to the Department. All
recommendations and comments must be mailed or hand-delivered by the date indicated in the actual
application notice to the following address: The Secretary, EO 12372--CFDA# [commenter must insert number-including suffix letter, if any], U.S. Department of Education, room 7E200. 400 Maryland Avenue, SW.,
Washington, DC 20202.
Proof of mailing will be determined on the same basis as applications (see 34 CFR §75.102). Recommendations
or comments may be hand-delivered until 4:30 p.m. (eastern time) on the closing date indicated in this notice.
Important note: The above address is not the same address as the one to which the applicant submits its
completed applications. Do not send applications to the above address.

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.