[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:
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(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