[Federal Register Volume 88, Number 147 (Wednesday, August 2, 2023)]
[Notices]
[Pages 50851-50858]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-16402]


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DEPARTMENT OF EDUCATION


Applications for New Awards; Fund for the Improvement of 
Postsecondary Education--Historically Black Colleges or Universities 
(HBCUs), Tribally Controlled Colleges or Universities (TCCUs), and 
Minority-Serving Institutions (MSIs) Research and Development 
Infrastructure Grant Program (RDI)

AGENCY: Office of Postsecondary Education, Department of Education.

ACTION: Notice.

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SUMMARY: The Department of Education (Department) is issuing a notice 
inviting applications for new awards for fiscal year (FY) 2023 for the 
HBCU, TCCU, and MSI RDI grant program, Assistance Listing Number 
84.116H. This notice relates to the approved information collection 
under OMB control number 1894-0006.

DATES: 
    Applications Available: August 2, 2023.
    Deadline for Transmittal of Applications: October 2, 2023.
    Deadline for Intergovernmental Review: November 30, 2023.

ADDRESSES: For the addresses for obtaining and submitting an 
application, please refer to our Common Instructions for Applicants to 
Department of Education Discretionary Grant Programs, published in the 
Federal Register on December 7, 2022 (87 FR 75045) and available at 
www.federalregister.gov/d/2021-27979. Please note that these Common 
Instructions supersede the version published on December 27, 2021.

FOR FURTHER INFORMATION CONTACT: Jason Cottrell, Ph.D., U.S. Department 
of Education, 400 Maryland Avenue SW, Room 5C122, Washington, DC 20202-
4260. Telephone: (202) 453-7530. Email: [email protected].
    If you are deaf, hard of hearing, or have a speech disability and 
wish to access telecommunications relay services, please dial 7-1-1.

SUPPLEMENTARY INFORMATION: 

Full Text of Announcement

I. Funding Opportunity Description

    Purpose of Program: The RDI grant program is designed to provide 
four-year HBCUs, TCCUs, and MSIs including Asian American and Native 
American Pacific Islander Serving Institutions (AANAPISIs), Alaska 
Native and Native Hawaiian Serving Institutions (ANNH), Hispanic 
Serving Institutions (HSIs), Native American Serving Non-Tribal 
Institutions (NASNTIs), and/or Predominantly Black Institutions (PBIs), 
or consortia led by an eligible institution of higher education 
(institution), with funds to implement transformational investments in 
research infrastructure, including research productivity, faculty 
expertise, graduate programs, physical infrastructure, human capital 
development, and partnerships leading to increases in external funding.
    For HBCUs and MSIs, the RDI grant program will support institutions 
in increasing their level of research activity in alignment with the 
Carnegie Classification designations. Grant funds can be utilized by 
HBCU and MSI institutions with a Doctoral and Professional Universities 
(D/PU) classification to move toward the Doctoral Universities with 
High Research Activity (R2) classification, and by Doctoral 
Universities with High Research Activity (R2) to move toward a 
classification of Doctoral Universities with Very High Research 
Activity (R1). For TCCUs, which have their own Carnegie Classification 
designation and cannot be classified as R1, R2, or D/PU, this program 
seeks to support an

[[Page 50852]]

increase in research activities, undergraduate research opportunities, 
faculty development, research development, and infrastructure, 
including physical infrastructure and human capital development.
    Background: According to the American Council on Education's 
Carnegie Classification dashboard,\1\ of the 146 R1 universities, there 
are no HBCUs and only 33 MSIs. Of the 133 R2 universities, only 11 are 
HBCUs and 28 are MSIs. As noted above, TCCUs have their own Carnegie 
Classification and are not included in the R1 and R2 classifications.
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    \1\ https://carnegieclassifications.acenet.edu/.
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    The R1 and R2 Carnegie Classifications for Doctoral Universities 
describe institutions that award at least 20 research/scholarship 
doctoral degrees or awarded at least 30 professional practice 
doctorates across at least 2 programs during the Carnegie 
Classification's update year, and expend at least $5 million in 
research, with an indexed cutoff between the two categories.\2\ The 
Doctoral/Professional University classification describe institutions 
that award at least 20 research/scholarship doctoral degrees during the 
Carnegie Classification's update year or awarded at least 30 
professional practice doctoral degrees in at least 2 programs, and 
expend less than $5 million in research.
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    \2\ https://carnegieclassifications.acenet.edu/carnegie-classification/classification-methodology/basic-classification/.
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    The Nation's HBCUs, TCCUs, and MSIs provide access to an education 
for many of the Nation's students of color. HSIs represent 17 percent 
of the Nation's institutions and educate 68 percent of the Nation's 
Hispanic undergraduate students.\3\ The most recent research available 
provides that, in 2012, of the 34 TCCUs, 12 conferred 252 Bachelor's 
Degrees to American Indian and Alaska Native students, representing 82 
percent of those TCCU's Bachelor's Degree recipients.\4\ A report from 
the United Negro College Fund shows that the Nation's HBCUs enroll 10 
percent of all African American students and produce almost 20 percent 
of all African American graduates.\5\ Because of their central role in 
educating students of color, it is important for HBCUs, TCCUs, and MSIs 
to excel in research activity. Teaching and research go hand-in-hand in 
ensuring student \6\ and institutional success.\7\ Research activity 
can impact funding, faculty and student recruitment, student research 
opportunities, and promote diversity in graduate students and faculty 
at an institution.
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    \3\ https://www.edexcelencia.org/.
    \4\ https://cmsi.gse.rutgers.edu/sites/default/files/MSI_TBLCLLGreport_Final.pdf.
    \5\ https://uncf.org/the-latest/the-numbers-dont-lie-hbcus-are-changing-the-college-landscape.
    \6\ https://nsse.indiana.edu/research/annual-results/2022/story2.html.
    \7\ https://www.forbes.com/sites/davidrosowsky/2022/03/02/the-role-of-research-at-universities-why-it-matters/?sh=35c9dce96bd5.
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    The Nation's HBCUs, TCCUs, and many MSIs often lack the resources 
to plan, implement, and promote transformational investments in 
research infrastructure. According to a recent report from the Center 
for American Progress,\8\ Black researchers and inventors are less 
likely to receive Federal funds due to the barriers that exist in the 
research profession. At the institutional level, these barriers are 
compounded. Per the Congressional Research Service,\9\ HBCUs receive 
fewer research and development dollars than predominantly white 
institutions, although seven of the top eight institutions that 
graduate the highest number of Black undergraduates in science and 
engineering are HBCUs. According to the National Science 
Foundation,\10\ HBCUs enroll only 9 percent of Black undergraduates in 
the United States, but they account for a much higher percentage of 
Black students who graduate with degrees in engineering, mathematics, 
and biological sciences.
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    \8\ https://www.americanprogress.org/article/redesigning-federal-funding-research-development/.
    \9\ https://www.everycrsreport.com/files/20111110_RL34435_acbcccd5c0d382bec3cd87763ad8061e6945941c.pdf.
    \10\ https://new.nsf.gov/science-matters/science-behind-hbcu-success.
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    At TCCUs, the opportunity to integrate culturally relevant research 
into educational curricula \11\ can assist with improving student 
success.\12\ However, efforts to sustain and implement extensive 
research activities at TCCUs face obstacles. Administrations often have 
difficulty maintaining research activities due to the young nature of 
the institutions and their lack of research support offices.\13\ One 
study found that TCCUs' biggest obstacles in developing research 
activities are scheduling, infrastructure needs (lack of space, 
equipment, and literature), partnership problems (lack of Tribal 
community knowledge), faculty capacity, and mistrust,\14\ while recent 
events like COVID have renewed questions about technology 
infrastructure and funding constraints (long-term funding),\15\ and 
isolation (remote areas).\16\ However, the authors found that the 
benefits of research activities for faculty and student development--
such as conferences, collaborations, and presentations--far outweigh 
these obstacles.
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    \11\ https://repository.upenn.edu/cgi/viewcontent.cgi?article=1386&context=gse_pubs.
    \12\ Brayboy, B.M.J., Fann, A.J., Castagno, A.E., & Solyom, J.A. 
(2012). Postsecondary education for American Indian and Alaska 
Natives: Higher education for nation building and self-
determination. ASHE Higher Education Report, 37(5), 1-154. San 
Francisco: Jossey-Bass.
    \13\ https://tribalcollegejournal.org/the-evolution-of-research-at-tribal-colleges-and-universities/.
    \14\ https://tribalcollegejournal.org/survey-tribal-colleges-reveals-researchs-benefits-obstacles/.
    \15\ https://www.insidehighered.com/news/2021/03/16/tribal-colleges-report-pandemic-related-challenges-around-mental-health-persistence.
    \16\ https://repository.upenn.edu/cgi/viewcontent.cgi?article=1386&context=gse_pubs.
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    This notice includes three absolute priorities to ensure support 
for each type of institution (HBCUs, TCCUs, and MSIs), consistent with 
Congress' explanatory statement in Division H of the Consolidated 
Appropriations Act, 2023 (Pub. L. 117-328) for this program. In 
general, the Department plans to allocate funding across the absolute 
priorities under this program proportionally based on the relative 
share of funding appropriated to each category of eligible institutions 
in the American Rescue Plan Act (Pub. L. 117-2). However, the ultimate 
allocation of funding across the absolute priorities will depend, in 
part, on the quality of applications. In addition, within the MSI 
absolute priority, there is a competitive preference priority for 
applicants enrolling high proportions of undergraduate students in need 
of financial assistance. Specifically, competitive preference priority 
points will be awarded to institutions where at least half of the 
enrolled students receive Pell Grants.
    Priorities: This notice contains three absolute priorities and one 
competitive preference priority. Applicants may only apply for one of 
the three absolute priorities based on the institution's eligibility as 
described in this notice. We are establishing these priorities for the 
fiscal year (FY) 2023 grant competition and any subsequent year in 
which we make awards from the list of unfunded applications from this 
competition, in accordance with section 437(d)(1) of the General 
Education Provisions Act (GEPA), 20 U.S.C. 1232(d)(1).
    Absolute Priorities: For FY 2023 and any subsequent year in which 
we make awards from the list of unfunded applications from this 
competition, these priorities are absolute priorities. Under 34 CFR 
75.105(c)(3), we consider only applications that meet one of these

[[Page 50853]]

priorities and the requirements included in this notice. A lead 
applicant can only apply under one absolute priority.
    These priorities are:
    Absolute Priority 1--Funding for Historically Black Colleges and 
Universities' Research and Development Infrastructure.
    Applications will be accepted for this absolute priority from 
HBCUs, as defined in this notice, that propose to support high-quality 
implementation of transformative research capacity initiatives and that 
seek to attain higher research activity status, as measured by the 
Carnegie Classifications of Institutions of Higher Education, to either 
move from R2 to R1 status or from D/PU to R2 status. HBCUs that 
currently have an R1 Carnegie Classification are ineligible to apply as 
the lead applicant in this competition but are eligible to participate 
as part of a consortium.
    Absolute Priority 2--Funding for Tribally Controlled Colleges and 
Universities' Research and Development Infrastructure.
    Applications will be accepted for this absolute priority from 
TCCUs, as defined in this notice, that propose to improve their 
research and development activities, including infrastructure, faculty 
development, and academic programs.
    Absolute Priority 3--Funding for Minority-Serving Institutions' 
Research and Development Infrastructure.
    Applications will be accepted for this absolute priority from MSIs, 
as defined in this notice, that propose to support high-quality 
implementation of transformative research capacity initiatives at 
institutions designated as at least one type of MSI (AANAPISI, ANNH, 
HSI, NASNTI, and/or PBI) and that seek to attain higher research 
activity status according to the Carnegie Classifications, to either 
move from R2 to R1 status or from D/PU to R2 status. Institutions that 
currently have an R1 Carnegie Classification are ineligible to apply as 
the lead applicant but are eligible to participate as part of a 
consortium.
    Competitive Preference Priority: Within this absolute priority, we 
give competitive preference to applications that address the following 
priority. Under 34 CFR 75.105(c)(2)(i), we award an additional two 
points to an application that meets this priority.
    The priority is:
    MSI Pell Grant Percentage (0 or 2 points).
    Lead applicants whose Pell Grant recipients account for 50 percent 
or higher of their undergraduate student enrollment, as measured by the 
Department using the most recent data available in the Integrated 
Postsecondary Education Data System (IPEDS), will be awarded 2 
additional points.
    Use of Funds: For FY 2023 and any subsequent year in which we make 
awards from the list of unfunded applications from this competition, we 
are establishing the following allowable uses of funds in accordance 
with section 437(d)(1) of GEPA. Applicants must propose projects that 
would do one or more of the activities listed in this notice. 
Additionally, consistent with the FIPSE program statute in 20 U.S.C. 
1138 and the explanatory statement accompanying Division H of the 
Consolidated Appropriations Act, 2023 (Pub. L. 117-328), the Department 
uses its authority under section 437(d)(1) of GEPA to authorize the use 
of grant funds for construction and the acquisition of real property to 
the extent set forth in the allowable uses below.
    (1) Providing for the improvement of infrastructure existing on the 
date of the grant award, including deferred maintenance, or the 
establishment of new physical infrastructure, including instructional 
program spaces, laboratories, or research facilities relating to the 
fields of science, technology, engineering, the arts, mathematics, 
health, agriculture, education, medicine, law, and other disciplines.
    (2) Hiring and retaining faculty, students, research-related staff, 
or other personnel, including research personnel skilled in operating, 
using, or applying technology, equipment, or devices used to conduct or 
support research.
    (3) Supporting research internships and fellowships for students, 
including undergraduate (Absolute Priority 2 for TCCUs only), graduate, 
and post-doctoral positions, which may include providing direct student 
financial assistance to such students.
    Note: Per 20 U.S.C. 1138(d)(1), no funds made available under FIPSE 
can be used to provide direct financial assistance in the form of 
grants or scholarships to students who do not meet eligibility criteria 
under Title IV of the HEA.
    (4) Creating new, or expanding existing, academic positions, 
including internships, fellowships, and post-doctoral positions, in 
fields of research for which research and development infrastructure 
funds have been awarded under this program.
    (5) Creating and supporting inter- and intra-institutional research 
centers (including formal and informal communities of practice) in 
fields of research for which research and development infrastructure 
funds have been awarded under this program, including hiring staff, 
purchasing supplies and equipment, and funding travel to relevant 
conferences and seminars to support the work of such centers.
    (6) Building new institutional support structures and departments 
that help faculty learn about, and increase faculty and student access 
to, Federal research and development grant funds and non-Federal 
academic research grants.
    (7) Building data and collaboration infrastructure so that early 
findings and research can be securely shared to facilitate peer review 
and other appropriate collaboration.
    (8) Providing programs of study and courses in fields of research 
for which research and development infrastructure funds have been 
awarded under this program.
    (9) Paying operating and administrative expenses for, and 
coordinating project partnerships with members of, a consortium as 
described in this notice on behalf of which the eligible institution 
has received a grant under this program. A grantee under this 
competition may not pay for expenses to R1 institutions that are 
members of the consortia.
    (10) Installing or extending the life and usability of basic 
systems and components of campus facilities related to research, 
including high-speed broadband internet infrastructure sufficient to 
support digital and technology-based learning.
    (11) Expanding, remodeling, renovating, or altering biomedical and 
behavioral research facilities existing on the date of the grant award 
that received support under section 404I of the Public Health Service 
Act (42 U.S.C. 283k).
    (12) Acquiring and installing furniture, fixtures, and 
instructional research-related equipment and technology for academic 
instruction in campus facilities in fields of research for which 
research and development infrastructure funds have been awarded under 
this program.
    (13) Providing increased funding to programs that support research 
and development at the eligible institution that are funded by National 
Institutes of Health, including the Path to Excellence and Innovation 
program with the National Institutes of Health.
    (14) Faculty professional development.
    (15) Planning purposes, for TCCUs applying under Absolute Priority 
2 only.
    Definitions: In accordance with section 437(d)(1) of GEPA, we are 
establishing definitions for ``Doctoral/Professional University,'' 
``Minority-Serving Institution,'' ``four-year

[[Page 50854]]

institution of higher education,'' ``Historically Black College or 
University,'' ``R1,'' ``R2,'' ``Tribally Controlled College or 
University,'' and ``underrepresented students.'' The definitions of 
``demonstrates a rationale,'' ``logic model,'' ``project component,'' 
and ``relevant outcomes'' are from 34 CFR 77.1.
    Demonstrates a rationale means a key project component included in 
the project's logic model is informed by research or evaluation 
findings that suggest the project component is likely to improve 
relevant outcomes.
    Doctoral/Professional University means an institution that awarded 
at least 20 research/scholarship doctoral degrees during the Carnegie 
Classification's update year, as well as institutions that awarded 
fewer than 20 research/scholarship doctoral degrees during that year 
but that awarded at least 30 professional practice doctoral degrees in 
at least 2 programs, and that expended less than $5 million in 
research.\17\
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    \17\ https://carnegieclassifications.acenet.edu/carnegie-classification/classification-methodology/basic-classification/.
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    Four-year institution of higher education means a postsecondary 
institution that offers programs of at least four years duration or one 
that offers programs at or above the baccalaureate level. This includes 
schools that offer postbaccalaureate certificates only or those that 
offer graduate programs only. It also includes free-standing medical, 
law, or other first-professional schools.
    Historically Black College or University means an institution that 
meets the eligibility requirements under section 322(2) of the Higher 
Education Act of 1965, as amended (HEA).
    Logic model (also referred to as a theory of action) means a 
framework that identifies key project components of the proposed 
project (i.e., the active ``ingredients'' that are hypothesized to be 
critical to achieving the relevant outcomes) and describes the 
theoretical and operational relationships among the key project 
components and relevant outcomes.
    Note: In developing logic models, applicants may want to use 
resources such as the Regional Educational Laboratory Program's (REL 
Pacific) Education Logic Model Application, available at https://ies.ed.gov/ncee/rel/regions/pacific/pdf/ELMUserGuideJune2014.pdf. Other 
sources include: https://ies.ed.gov/ncee/edlabs/regions/pacific/pdf/REL_2014025.pdf, https://ies.ed.gov/ncee/edlabs/regions/pacific/pdf/REL_2014007.pdf, and https://ies.ed.gov/ncee/edlabs/regions/northeast/pdf/REL_2015057.pdf.
    Minority-Serving Institution means an institution that is eligible 
to receive assistance under sections 317 through 320 of part A of title 
III, or under title V of the HEA.
    Note: The list of institutions currently designated as eligible 
under titles III and V of the HEA is available at www2.ed.gov/about/offices/list/ope/idues/eligibility.html#el-inst.
    Project component means an activity, strategy, intervention, 
process, product, practice, or policy included in a project. Evidence 
may pertain to an individual project component or to a combination of 
project components (e.g., training teachers on instructional practices 
for English learners and follow-on coaching for these teachers).
    R1 is based on the Carnegie Classification category of the same 
name and means an institution that awarded at least 20 research/
scholarship doctoral degrees during the Carnegie Classification's 
update year, as well as institutions that awarded fewer than 20 
research/scholarship doctoral degrees but that awarded at least 30 
professional practice doctoral degrees in at least 2 programs, and had 
at least $5 million in total research expenditures as reported through 
the National Science Foundation Higher Education Research Development 
Survey (HERD). Additionally, the Carnegie Classifications developed two 
indices of research activity using (1) the aggregate level of research 
activity and (2) the per-capita research activity using the expenditure 
and staffing measures divided by the number of full-time faculty within 
the assistant, associate, and full professor ranks. These two indices 
were charted for each institution and assigned to one of two categories 
based on a common reference point (the minima of each scale). 
Institutions that are above the minima during the Carnegie 
Classification's update year are considered R1.
    R2 is based on the Carnegie Classification category of the same 
name and means an institution that awarded at least 20 research/
scholarship doctoral degrees during the Carnegie Classification's 
update year, as well as institutions that awarded fewer than 20 
research/scholarship doctoral degrees but that awarded at least 30 
professional practice doctoral degrees in at least 2 programs, and had 
at least $5 million in total research expenditures as reported through 
the National Science Foundation HERD. Additionally, the Carnegie 
Classifications developed two indices of research activity using (1) 
the aggregate level of research activity and (2) the per-capita 
research activity using the expenditure and staffing measures divided 
by the number of full-time faculty within the assistant, associate, and 
full professor ranks. These two indices were charted for each 
institution and assigned to one of two categories based on a common 
reference point (the minima of each scale). Institutions that are below 
the minima during the Carnegie Classification's update year are 
considered R2.
    Relevant outcome means the student outcome(s) or other outcome(s) 
the key project component is designed to improve, consistent with the 
specific goals of the program.
    Tribally Controlled College or University means an institution that 
meets the eligibility requirements of Section 316 of the HEA, namely 
one that qualifies for funding under the Tribally Controlled College or 
University Assistance Act of 1978 or the Navajo Community College 
Assistance Act of 1978; or is cited in section 532 of the Equity in 
Educational Land Grant Status Act of 1994.
    Underrepresented students means students enrolled in postsecondary, 
career, or technical education who are in one or more of the following 
subgroups:
    (i) A student who is living in poverty.
    (ii) A student who is American Indian, Alaska Native, Asian 
American, Black, Hispanic or Latino, Native Hawaiian, and/or Pacific 
Islander.
    Waiver of Proposed Rulemaking: Under the Administrative Procedure 
Act (5 U.S.C. 553), the Department generally offers interested parties 
the opportunity to comment on proposed priorities, selection criteria, 
definitions, and other requirements. Section 437(d)(1) of GEPA, 
however, allows the Secretary to exempt from rulemaking requirements 
regulations governing the first grant competition under a new or 
substantially revised program authority. This is the first grant 
competition for this program, and therefore qualifies for this 
exemption. In order to ensure timely grant awards, the Secretary has 
decided to forgo public comment on the priorities, requirements, and 
definitions under section 437(d)(1) of GEPA. These priorities, 
requirements, and definitions will apply to the FY 2023 grant 
competition and any subsequent year in which we make awards from the 
list of unfunded applications from this competition.
    Program Authority: 20 U.S.C. 1138-1138d; the Explanatory Statement 
accompanying Division H of the Consolidated Appropriation Act, 2023 
(Pub. L. 117-328).

[[Page 50855]]

    Note: Projects will be awarded and must be operated in a manner 
consistent with the nondiscrimination requirements contained in Federal 
civil rights laws.
    Applicable Regulations: (a) The Education Department General 
Administrative Regulations in 34 CFR parts 75, 77, 79, 82, 84, 86, 97, 
98, and 99. (b) The Office of Management and Budget Guidelines to 
Agencies on Governmentwide Debarment and Suspension (Nonprocurement) in 
2 CFR part 180, as adopted and amended as regulations of the Department 
in 2 CFR part 3485. (c) The Uniform Administrative Requirements, Cost 
Principles, and Audit Requirements for Federal Awards in 2 CFR part 
200, as adopted and amended as regulations of the Department in 2 CFR 
part 3474.

II. Award Information

    Type of Award: Discretionary grants.
    Estimated Available Funds: $49,500,000.
    Contingent upon the availability of funds and the quality of 
applications, we may make additional awards in subsequent years from 
the list of unfunded applications from this competition.
    Estimated Range of Awards: Contingent upon the number and quality 
of applications received under each absolute priority.
    Estimated Average Size of Awards: Contingent upon the number and 
quality of applications received under each absolute priority.
    Maximum Award Amount:
    Applicants under Absolute Priority 1 or Absolute Priority 3: 
$5,000,000 for a 48-month project period.
    Applicants under Absolute Priority 2: $2,000,000 for a 48-month 
project period.
    Project Period: Up to 48 months.

III. Eligibility Information

    1. Eligible Applicants: Eligible applicants are four-year 
institutions of higher education (as defined in this notice) that are 
HBCUs (as defined in this notice), TCCUs (as defined in this notice), 
and MSIs (as defined in this notice). Eligible applicants may apply 
individually or as lead applicants of a consortium with other eligible 
applicants and/or other partners such as an institution of higher 
education with an R1 Carnegie Classification, community colleges, or 
non-profit, industry and philanthropic partners. The lead applicant 
must be an eligible applicant under the absolute priority under which 
it is applying.
    2. a. Cost Sharing or Matching: This program requires cost sharing 
or matching for all applicants. Grantees will need to provide a 1:1 
match, which can include in-kind donations. The goal of the match is to 
promote sustainability and alignment to the institution's strategic 
plan. Full or partial waivers may be granted using the criteria below.
    The Secretary may waive the matching requirement on a case-by-case 
basis upon showing any of the following exceptional circumstances, 
which we establish in accordance with section 437(d)(1) of GEPA:
    (i) The difficulty of raising matching funds for a program to serve 
a high poverty area in the lead applicant's geographic location, 
defined as a Census tract, a set of contiguous Census tracts, an 
American Indian Reservation, Oklahoma Tribal Statistical Area (as 
defined by the U.S. Census Bureau), Alaska Native Village Statistical 
Area or Alaska Native Regional Corporation Area, Native Hawaiian 
Homeland Area, or other Tribal land or county that has a poverty rate 
of at least 25 percent as determined every 5 years using American 
Community Survey 5-Year data;
    (ii) Serving a significant population of low-income students at the 
lead applicant location, defined as at least 50 percent (or the 
eligibility threshold for the appropriate institutional sector 
available at https://www2.ed.gov/about/offices/list/ope/idues/eligibility.html#app) of degree-seeking enrolled students receiving 
need-based grant aid under Title IV of the HEA;
    (iii) Significant economic hardship as demonstrated by low average 
educational and general expenditures per full-time equivalent 
undergraduate student at the lead applicant institution, in comparison 
with the average educational and general expenditures per full-time 
equivalent undergraduate student of institutions that offer similar 
instruction; or
    (iv) Information that otherwise demonstrates a commitment to the 
long-term sustainability of the applicant's projects, such as evidence 
of a consortium relationship with an R1 institution, a State bond, 
State matching, planning documents such as a campus plan, multi-year 
faculty hiring plan, support of industry, Federal grants received, or a 
demonstration of institutional commitment that may include commitment 
from the institution's board.
    Note: Institutions seeking to waive the matching requirement must 
provide the waiver request information outlined above within their 
application.
    b. Indirect Cost Rate Information: This program limits a grantee's 
indirect cost reimbursement to 8 percent of a modified total direct 
cost base. We are establishing this indirect cost limit for the FY 2023 
grant competition and any subsequent year in which we make awards from 
the list of unfunded applications from this competition in accordance 
with section 437(d)(1) of GEPA. For more information regarding indirect 
costs, or to obtain a negotiated indirect cost rate, please see 
www2.ed.gov/about/offices/list/ocfo/intro.html.
    c. Administrative Cost Limitation: This program does not include 
any program-specific limitation on administrative expenses. All 
administrative expenses must be reasonable and necessary and conform to 
Cost Principles described in 2 CFR part 200 subpart E of the Uniform 
Guidance.
    3. Subgrantees: A grantee under this competition may not award 
subgrants to entities to directly carry out project activities 
described in its application.
    4. Build America Buy America Act: This program is subject to the 
Build America, Buy America Act (Pub. L. 117-58) domestic sourcing 
requirements. Accordingly, under this program, grantees and contractors 
may not use their grant funds for infrastructure projects or activities 
(e.g., construction, remodeling, and broadband infrastructure) unless--
    (a) All iron and steel used in the infrastructure project or 
activity are produced in the United States;
    (b) All manufactured products used in the infrastructure project or 
activity are produced in the United States; and
    (c) All construction materials are manufactured in the United 
States.
    Grantees may request waivers to these requirements by submitting a 
Build America, Buy America Act Waiver Request Form. For more 
information, including a link to the Waiver Request Form, see the 
Department's Build America Buy America Waiver website at: https://www2.ed.gov/policy/fund/guid/buy-america/index.html.

IV. Application and Submission Information

    1. Application Submission Instructions: Applicants are required to 
follow the Common Instructions for Applicants to Department of 
Education Discretionary Grant Programs, published in the Federal 
Register on December 7, 2022 (87 FR 75045), and available at 
www.federalregister.gov/d/2022-26554, which contain requirements and 
information on how to submit an application. Please note that these 
Common Instructions supersede the version published on December 27, 
2021.

[[Page 50856]]

    2. Submission of Proprietary Information: Given the types of 
projects that may be proposed in applications for the RDI grant 
program, your application may include business information that you 
consider proprietary. In 34 CFR 5.11 we define ``business information'' 
and describe the process we use in determining whether any of that 
information is proprietary and, thus, protected from disclosure under 
Exemption 4 of the Freedom of Information Act (5 U.S.C. 552, as 
amended).
    Because we plan to make successful applications available to the 
public, you may wish to request confidentiality of business 
information.
    Consistent with Executive Order 12600, please designate in your 
application any information that you believe is exempt from disclosure 
under Exemption 4. In the appropriate Appendix section of your 
application, under ``Other Attachments Form,'' please list the page 
number or numbers on which we can find this information. For additional 
information please see 34 CFR 5.11(c).
    3. Intergovernmental Review: This competition is subject to 
Executive Order 12372 and the regulations in 34 CFR part 79. 
Information about Intergovernmental Review of Federal Programs under 
Executive Order 12372 is in the application package for this program.
    4. Funding Restrictions: We reference regulations outlining funding 
restrictions in the Applicable Regulations section of this notice. 
Additionally, no funds received by an institution of higher education 
under this section shall be used to fund any activities or services 
provided by institutions that are not eligible as lead applicants in 
this competition.
    5. Recommended Page Limit: The application narrative is where you, 
the applicant, address the selection criteria that reviewers use to 
evaluate your application. We recommend that you (1) limit the 
application narrative to no more than 50 pages and (2) use the 
following standards:
     A ``page'' is 8.5'' x 11'', on one side only, with 1'' 
margins at the top, bottom, and both sides.
     Double-space (no more than three lines per vertical inch) 
all text in the application narrative, including titles, headings, 
footnotes, quotations, references, and captions, as well as all text in 
charts, tables, figures, and graphs.
     Use a font that is either 12 point or larger, and no 
smaller than 10-pitch (characters per inch).
     Use one of the following fonts: Times New Roman, Courier, 
Courier New, or Arial.
    The recommended page limit does not apply to the cover sheet; the 
budget section, including the narrative budget justification; the 
assurances and certifications; or the one-page abstract, the resumes, 
the bibliography, or the letters of support; or the waiver request for 
the matching requirement. However, the recommended 50-page limit does 
apply to all of the application narrative.

V. Application Review Information

    1. Selection Criteria: The selection criteria for this competition 
are from 34 CFR 75.210. The points assigned to each criterion are 
indicated in the parentheses next to the criterion. An application may 
earn up to a total of 110 points based on the selection criteria. 
Applications submitted under Absolute Priority 3 may receive 2 
additional points under the competitive preference priority, for a 
total score of up to 112 points. All applications will be evaluated 
based on the selection criteria as follows:
    (a) Significance. (Maximum 25 points)
    (1) The Secretary considers the significance of the proposed 
project.
    (2) In determining the significance of the proposed project, the 
Secretary considers the following factors:
    (i) The likelihood that the proposed project will result in system 
change or improvement. (Up to 10 points)
    (ii) The extent to which the proposed project involves the 
development or demonstration of promising new strategies that build on, 
or are alternatives to, existing strategies. (Up to 5 points)
    (iii) The importance or magnitude of the results or outcomes likely 
to be attained by the proposed project. (Up to 10 points)
    (b) Quality of the Project Design. (Maximum 30 points)
    (1) The Secretary considers the quality of the project design.
    (2) In determining the quality of the project design, the Secretary 
considers the following factors:
    (i) The extent to which the goals, objectives, and outcomes to be 
achieved by the proposed project are clearly specified and measurable. 
(Up to 5 points)
    (ii) The extent to which the proposed activities constitute a 
coherent, sustained program of training in the field. (Up to 5 points)
    (iii) The extent to which the proposed project is designed to build 
capacity and yield results that will extend beyond the period of 
Federal financial assistance. (Up to 5 points)
    (iv) The extent to which the proposed project represents an 
exceptional approach to the priority or priorities established in the 
competition. (Up to 5 points)
    (v) The extent to which the proposed project will integrate with or 
build on similar or related efforts in order to improve relevant 
outcomes (as defined this notice), using nonpublic funds or resources. 
(Up to 5 points)
    (vi) The extent to which the proposed project will integrate with, 
or build on similar or related efforts, to improve relevant outcomes 
(as defined in this notice), using existing funding streams from other 
programs or policies supported by community, State, and Federal 
resources. (Up to 5 points)
    (c) Quality of Project Services. (Maximum 15 points)
    (1) The Secretary considers the quality of the services to be 
provided by the proposed project.
    (2) In determining the quality of the services to be provided by 
the proposed project, the Secretary considers the quality and 
sufficiency of strategies for ensuring equal access and treatment for 
eligible project participants who are members of groups that have 
traditionally been underrepresented based on race, color, national 
origin, gender, age, or disability. (Up to 5 points)
    (3) In addition, the Secretary considers the following factors:
    (i) The likely impact of the services to be provided by the 
proposed project on the intended recipients of those services. (Up to 5 
points)
    (ii) The extent to which the technical assistance services to be 
provided by the proposed project involve the use of efficient 
strategies, including the use of technology, as appropriate, and the 
leveraging of non-project resources. (Up to 5 points)
    Note: For the purpose of this competition, technical assistance 
services could include, for example, technical assistance provided to 
faculty, staff, and students (at all levels) designed to increase 
research activities, including to expand institutional capacity to 
secure new funding, support student research experiences, or facilitate 
faculty professional development.
    (d) Adequacy of Resources. (Maximum 15 points)
    (1) The Secretary considers the adequacy of resources for the 
proposed project.
    (2) In determining the adequacy of resources for the proposed 
project, the Secretary considers the following factors:

[[Page 50857]]

    (i) The adequacy of support, including facilities, equipment, 
supplies, and other resources, from the applicant organization or the 
lead applicant organization. (Up to 5 points)
    (ii) The potential for the incorporation of project purposes, 
activities, or benefits into the ongoing program of the agency or 
organization at the end of Federal funding. (Up to 5 points)
    (iii) The potential for continued support of the project after 
Federal funding ends, including, as appropriate, the demonstrated 
commitment of appropriate entities to such support. (Up to 5 points)
    (e) Quality of the Management Plan. (Maximum 10 points)
    (1) The Secretary considers the quality of the management plan for 
the proposed project.
    (2) In determining the quality of the management plan for the 
proposed project, the Secretary considers the following factors:
    (i) The adequacy of the management plan to achieve the objectives 
of the proposed project on time and within budget, including clearly 
defined responsibilities, timelines, and milestones for accomplishing 
project tasks. (Up to 5 points)
    (ii) The adequacy of procedures for ensuring feedback and 
continuous improvement in the operation of the proposed project. (Up to 
5 points)
    (f) Quality of the Project Evaluation. (Maximum 15 points)
    (1) The Secretary considers the quality of the evaluation to be 
conducted of the proposed project.
    (2) In determining the quality of the evaluation, the Secretary 
considers the following factors:
    (i) The extent to which the methods of evaluation will provide 
timely guidance for quality assurance. (Up to 5 points)
    (ii) The extent to which the methods of evaluation will provide 
performance feedback and permit periodic assessment of progress toward 
achieving intended outcomes. (Up to 5 points)
    (iii) The extent to which the methods of evaluation include the use 
of objective performance measures that are clearly related to the 
intended outcomes of the project and will produce quantitative and 
qualitative data to the extent possible. (Up to 5 points)
    2. Review and Selection Process: We remind potential applicants 
that in reviewing applications in any discretionary grant competition, 
the Secretary may consider, under 34 CFR 75.217(d)(3), the past 
performance of the applicant in carrying out a previous award, such as 
the applicant's use of funds, achievement of project objectives, and 
compliance with grant conditions. The Secretary may also consider 
whether the applicant failed to submit a timely performance report or 
submitted a report of unacceptable quality.
    In addition, in making a competitive grant award, the Secretary 
requires various assurances, including those applicable to Federal 
civil rights laws that prohibit discrimination in programs or 
activities receiving Federal financial assistance from the Department 
(34 CFR 100.4, 104.5, 106.4, 108.8, and 110.23).
    For this competition, a panel of external reviewers will read, 
prepare a written evaluation of, and score all eligible applications 
using the selection criteria and the competitive preference priority, 
if applicable, provided in this notice. The individual scores of the 
reviewers will be added and the sum divided by the number of reviewers 
to determine the peer review score. The Department may use more than 
one tier of reviews in evaluating applications. The Department will 
prepare a rank order of applications for each absolute priority based 
solely on the evaluation of their quality according to the selection 
criteria and competitive preference priority points. The rank order of 
applications for each absolute priority will be used to create three 
slates.
    Within each slate, in the event there are two or more applications 
with the same final score in the rank order listing, and there are 
insufficient funds to fully support each of these applications, the 
Department will apply the following procedure to determine which 
application or applications will receive an award:
    First Tiebreaker: The first tiebreaker will be the highest average 
score for the selection criterion titled ``Adequacy of Resources.'' If 
a tie remains, the second tiebreaker will be utilized.
    Second Tiebreaker: The second tiebreaker will be the highest 
average score for the selection criterion titled ``Significance.'' If a 
tie remains, the third tiebreaker will be utilized.
    Third Tiebreaker: The third tiebreaker will be the applicant with 
the highest percentage of Pell Grant students enrolled at the lead 
applicant institution based on the most recent IPEDS data available.
    3. Risk Assessment and Specific Conditions: Consistent with 2 CFR 
200.206, before awarding grants under this competition, the Department 
conducts a review of the risks posed by applicants. Under 2 CFR 
200.208, the Secretary may impose specific conditions and, under 2 CFR 
3474.10, in appropriate circumstances, high-risk conditions on a grant 
if the applicant or grantee is not financially stable; has a history of 
unsatisfactory performance; has a financial or other management system 
that does not meet the standards in 2 CFR part 200, subpart D; has not 
fulfilled the conditions of a prior grant; or is otherwise not 
responsible.
    4. Integrity and Performance System: If you are selected under this 
competition to receive an award that over the course of the project 
period may exceed the simplified acquisition threshold (currently 
$250,000), under 2 CFR 200.206(a)(2) we must make a judgement about 
your integrity, business ethics, and record of performance under 
Federal awards--that is, the risk posed by you as an applicant--before 
we make an award. In doing so, we must consider any information about 
you that is in the integrity and performance system (currently referred 
to as the Federal Awardee Performance and Integrity Information System 
(FAPIIS)), accessible through the System for Award Management. You may 
review and comment on any information about yourself that a Federal 
agency previously entered and that is currently in FAPIIS.
    Please note that, if the total value of your currently active 
grants, cooperative agreements, and procurement contracts from the 
Federal Government exceeds $10,000,000, the reporting requirements in 2 
CFR part 200, Appendix XII, require you to report certain integrity 
information to FAPIIS semiannually. Please review the requirements in 2 
CFR part 200, Appendix XII, if this grant plus all the other Federal 
funds you receive exceed $10,000,000.
    5. In General: In accordance with the Office of Management and 
Budget's guidance located at 2 CFR part 200, all applicable Federal 
laws, and relevant Executive guidance, the Department will review and 
consider applications for funding pursuant to this notice inviting 
applications in accordance with:
    (a) Selecting recipients most likely to be successful in delivering 
results based on the program objectives through an objective process of 
evaluating Federal award applications (2 CFR 200.205);
    (b) Prohibiting the purchase of certain telecommunication and video 
surveillance services or equipment in alignment with section 889 of the 
National Defense Authorization Act of 2019 (Pub. L. 115-232) (2 CFR 
200.216);
    (c) Providing a preference, to the extent permitted by law, to 
maximize use of goods, products, and materials produced in the United 
States (2 CFR 200.322); and

[[Page 50858]]

    (d) Terminating agreements in whole or in part to the greatest 
extent authorized by law if an award no longer effectuates the program 
goals or agency priorities (2 CFR 200.340).

VI. Award Administration Information

    1. Award Notices: If your application is successful, we notify your 
U.S. Representative and U.S. Senators and send you a Grant Award 
Notification (GAN); or we may send you an email containing a link to 
access an electronic version of your GAN. We also may notify you 
informally.
    If your application is not evaluated or not selected for funding, 
we notify you.
    2. Administrative and National Policy Requirements: We identify 
administrative and national policy requirements in the application 
package and reference these and other requirements in the Applicable 
Regulations section of this notice.
    We reference the regulations outlining the terms and conditions of 
an award in the Applicable Regulations section of this notice and 
include these and other specific conditions in the GAN. The GAN also 
incorporates your approved application as part of your binding 
commitments under the grant.
    3. Open Licensing Requirements: Unless an exception applies, if you 
are awarded a grant under this competition, you will be required to 
openly license to the public grant deliverables created in whole, or in 
part, with Department grant funds. When the deliverable consists of 
modifications to pre-existing works, the license extends only to those 
modifications that can be separately identified and only to the extent 
that open licensing is permitted under the terms of any licenses or 
other legal restrictions on the use of pre-existing works. 
Additionally, a grantee or subgrantee that is awarded competitive grant 
funds must have a plan to disseminate these public grant deliverables. 
This dissemination plan can be developed and submitted after your 
application has been reviewed and selected for funding. For additional 
information on the open licensing requirements please refer to 2 CFR 
3474.20.
    4. Reporting: (a) If you apply for a grant under this competition, 
you must ensure that you have in place the necessary processes and 
systems to comply with the reporting requirements in 2 CFR part 170 
should you receive funding under the competition. This does not apply 
if you have an exception under 2 CFR 170.110(b).
    (b) At the end of your project period, you must submit a final 
performance report, including financial information, as directed by the 
Secretary. If you receive a multiyear award, you must submit an annual 
performance report that provides the most current performance and 
financial expenditure information as directed by the Secretary under 34 
CFR 75.118. The Secretary may also require more frequent performance 
reports under 34 CFR 75.720(c). For specific requirements on reporting, 
please go to www.ed.gov/fund/grant/apply/appforms/appforms.html.
    5. Performance Measures: For purposes of Department reporting under 
34 CFR 75.110, the Department will use the following performance 
measures to evaluate the success of the RDI grant program:
    (a) For Absolute Priorities 1 and 3, the following program-level 
performance measures:
    (1) The annual number of doctoral students enrolled at the lead 
applicant university.
    (2) The annual number of doctoral conferrals.
    (3) The annual number of doctoral conferrals to underrepresented 
students.
    (4) Annual faculty development expenditures.
    (5) The annual research and development expenditures in:
    (i) Science and engineering.
    (ii) Non-science and engineering.
    (b) For Absolute Priority 2, the following program-level 
performance measures:
    (1) The annual research and development expenditures in:
    (i) Science and engineering.
    (ii) Non-science and engineering.
    (2) Annual faculty development expenditures.

VII. Other Information

    Accessible Format: On request to the program contact person listed 
under FOR FURTHER INFORMATION CONTACT, individuals with disabilities 
can obtain this document and a copy of the application package in an 
accessible format. The Department will provide the requestor with an 
accessible format that may include Rich Text Format (RTF) or text 
format (txt), a thumb drive, an MP3 file, braille, large print, 
audiotape, or compact disc, or other accessible format.
    Electronic Access to This Document: The official version of this 
document is the document published in the Federal Register. You may 
access the official edition of the Federal Register and the Code of 
Federal Regulations at www.govinfo.gov. At this site you can view this 
document, as well as all other documents of this Department published 
in the Federal Register, in text or Portable Document Format (PDF). To 
use PDF you must have Adobe Acrobat Reader, which is available free at 
the site.
    You may also access documents of the Department published in the 
Federal Register by using the article search feature at 
www.federalregister.gov. Specifically, through the advanced search 
feature at this site, you can limit your search to documents published 
by the Department.

Nasser H. Paydar,
Assistant Secretary for Postsecondary Education.
[FR Doc. 2023-16402 Filed 8-1-23; 8:45 am]
BILLING CODE 4000-01-P