How Does the Secretary Make a Grant?

34 C.F.R. Part ..., Subpart C
in effectEffective: 2024-07-01

34 C.F.R. § 646.20 How does the Secretary decide which new grants to make?

(a) The Secretary evaluates an application for a new grant as follows: (1)(i) The Secretary evaluates the application on the basis of the selection criteria in § 646.21. (ii) The maximum score for all the criteria in § 646.21 is 100 points. The maximum score for each criterion is indicated in parentheses with the criterion. (2)(i) If an application for a new grant proposes to continue to serve substantially the same population and campus that the applicant is serving under an expiring grant, the Secretary evaluates the applicant's prior experience of high quality service delivery under the expiring grant on the basis of the outcome criteria in § 646.22. (ii) The maximum total score for all the criteria in § 646.22 is 15 points. The maximum score for each criterion is indicated in parentheses with the criterion. (iii) The Secretary evaluates the PE of an applicant for each of the three project years that the Secretary designates in the Federal Register notice inviting applications and the other published application materials for the competition. (iv) An applicant may earn up to 15 PE points for each of the designated project years for which annual performance report data are available. (v) The final PE score is the average of the scores for the three project years assessed. (b) The Secretary makes new grants in rank order on the basis of the applications' total scores under paragraphs (a)(1) and (a)(2) of this section. (c) If the total scores of two or more applications are the same and there is insufficient money available to fully fund them both after funding the higher-ranked applications, the Secretary chooses among the tied applications so as to serve geographic areas that have been underserved by the Student Support Services Program. (d) The Secretary does not make a new grant to an applicant if the applicant's prior project involved the fraudulent use of program funds.

34 C.F.R. § 646.21 What selection criteria does the Secretary use to evaluate an application?

The Secretary uses the following criteria to evaluate an application for a new grant: (a) Need for the project (24 points). The Secretary evaluates the need for a Student Support Services project proposed at the applicant institution on the basis of the extent to which the application contains clear evidence of— (1) (8 points) A high number or percentage, or both, of students enrolled or accepted for enrollment at the applicant institution who meet the eligibility requirements of § 646.3; (2) (8 points) The academic and other problems that eligible students encounter at the applicant institution; and (3) (8 points) The differences between eligible Student Support Services students compared to an appropriate group, based on the following indicators: (i) Retention and graduation rates. (ii) Grade point averages. (iii) Graduate and professional school enrollment rates (four-year colleges only). (iv) Transfer rates from two-year to four-year institutions (two-year colleges only). (b) Objectives (8 points). The Secretary evaluates the quality of the applicant's proposed objectives in the following areas on the basis of the extent to which they are both ambitious, as related to the need data provided under paragraph (a) of this section, and attainable, given the project's plan of operation, budget, and other resources. (1) (3 points) Retention in postsecondary education. (2) (2 points) In good academic standing at grantee institution. (3) Two-year institutions only. (i) (1 point) Certificate or degree completion; and (ii) (2 points) Certificate or degree completion and transfer to a four-year institution. (4) Four-year institutions only. (3 points) Completion of a baccalaureate degree. (c) Plan of operation (30 points). The Secretary evaluates the quality of the applicant's plan of operation on the basis of the following: (1) (3 points) The plan to inform the institutional community (students, faculty, and staff) of the goals, objectives, and services of the project and the eligibility requirements for participation in the project. (2) (3 points) The plan to identify, select, and retain project participants with academic need. (3) (4 points) The plan for assessing each individual participant's need for specific services and monitoring his or her academic progress at the institution to ensure satisfactory academic progress. (4) (10 points) The plan to provide services that address the goals and objectives of the project. (5) (10 points) The applicant's plan to ensure proper and efficient administration of the project, including the organizational placement of the project; the time commitment of key project staff; the specific plans for financial management, student records management, and personnel management; and, where appropriate, its plan for coordination with other programs for disadvantaged students. (d) Institutional commitment (16 points). The Secretary evaluates the institutional commitment to the proposed project on the basis of the extent to which the applicant has— (1) (6 points) Committed facilities, equipment, supplies, personnel, and other resources to supplement the grant and enhance project services; (2) (6 points) Established administrative and academic policies that enhance participants' retention at the institution and improve their chances of graduating from the institution; (3) (2 points) Demonstrated a commitment to minimize the dependence on student loans in developing financial aid packages for project participants by committing institutional resources to the extent possible; and (4) (2 points) Assured the full cooperation and support of the Admissions, Student Aid, Registrar and data collection and analysis components of the institution. (e) Quality of personnel (9 points). To determine the quality of personnel the applicant plans to use, the Secretary looks for information that shows— (1) (3 points) The qualifications required of the project director, including formal education and training in fields related to the objectives of the project, and experience in designing, managing, or implementing Student Support Services or similar projects; (2) (3 points) The qualifications required of other personnel to be used in the project, including formal education, training, and work experience in fields related to the objectives of the project; and (3) (3 points) The quality of the applicant's plan for employing personnel who have succeeded in overcoming barriers similar to those confronting the project's target population. (f) Budget (5 points). The Secretary evaluates the extent to which the project budget is reasonable, cost-effective, and adequate to support the project. (g) Evaluation plan (8 points). The Secretary evaluates the quality of the evaluation plan for the project on the basis of the extent to which— (1) The applicant's methods for evaluation— (i) (2 points) Are appropriate to the project and include both quantitative and qualitative evaluation measures; and (ii) (2 points) Examine in specific and measurable ways, using appropriate baseline data, the success of the project in improving academic achievement, retention and graduation of project participants; and (2) (4 points) The applicant intends to use the results of an evaluation to make programmatic changes based upon the results of project evaluation.

34 C.F.R. § 646.22 How does the Secretary evaluate prior experience?

(a) In the case of an application described in § 646.20(a)(2)(i), the Secretary— (1) Evaluates the applicant's performance under its expiring Student Support Services project; (2) Uses the approved project objectives for the applicant's expiring Student Support Services grant and the information the applicant submitted in its annual performance reports (APRs) to determine the number of prior PE points; and (3) May adjust a calculated PE score or decide not to award PE points if other information such as audit reports, site visit reports, and project evaluation reports indicates the APR data used to calculate PE points are incorrect. (b) The Secretary does not award PE points for a given year to an applicant that does not serve at least 90 percent of the approved number of participants. For purposes of this section, the approved number of participants is the total number of participants the project would serve as agreed upon by the grantee and the Secretary. (c) The Secretary does not award PE points for the criterion specified in paragraph (e)(1) of this section (Number of participants) if the applicant did not serve at least the approved number of participants. (d) The Secretary uses the approved number of participants, or the actual number of participants served in a given year if greater than the approved number of participants, as the denominator for calculating whether the applicant has met its approved objectives related to paragraph (e)(2) of this section (Postsecondary retention) and paragraph (e)(3) of this section (Good academic standing). (e) For purposes of the PE evaluation of grants awarded after January 1, 2009, the Secretary evaluates the applicant's PE on the basis of the following outcome criteria: (1) (3 points) Number of participants. Whether the applicant provided services to no less than the approved number of participants. (2) (4 points) Postsecondary retention. Whether the applicant met or exceeded its objective regarding the participants served during the project year who continue to be enrolled in a program of postsecondary education from one academic year to the beginning of the next academic year or who complete a program of postsecondary education at the grantee institution during the academic year or transfer from a two-year institution to a four-year institution during the academic year. (3) (4 points) Good academic standing. Whether the applicant met or exceeded its objective regarding the participants served during the project year who are in good academic standing at the grantee institution. (4) (4 points) Degree completion (for an applicant institution of higher education offering primarily a baccalaureate or higher degree). Whether the applicant met or exceeded its objective regarding the current and prior participants receiving a baccalaureate degree at the grantee institution within the specified number of years. (5) Degree completion and transfer (for an applicant institution of higher education offering primarily an associate degree). Whether the applicant met or exceeded its objectives regarding the current and prior participants at the grantee institution who— (i) (2 points) Complete a degree or certificate within the number of years specified in the approved objective; and (ii) (2 points) Transfer within the number of years specified in the approved objective to institutions of higher education that offer baccalaureate degrees.

34 C.F.R. § 646.23 How does the Secretary set the amount of a grant?

(a) The Secretary sets the amount of a grant on the basis of— (1) 34 CFR 75.232 and 75.233, for new grants; and (2) 34 CFR 75.253, for the second and subsequent years of a project period. (b) If the circumstances described in section 402A(b)(3) of the HEA exist, the Secretary uses the available funds to set the amount of the grant at the lesser of— (1) $200,000; or (2) The amount requested by the applicant.

34 C.F.R. § 646.24 What is the review process for unsuccessful applicants?

(a) Technical or administrative error for applications not reviewed. (1) An applicant whose grant application was not evaluated during the competition may request that the Secretary review the application if— (i) The applicant has met all of the application submission requirements included in the Federal Register notice inviting applications and the other published application materials for the competition; and (ii) The applicant provides evidence demonstrating that the Department or an agent of the Department made a technical or administrative error in the processing of the submitted application. (2) A technical or administrative error in the processing of an application includes— (i) A problem with the system for the electronic submission of applications that was not addressed in accordance with the procedures included in the Federal Register notice inviting applications for the competition; (ii) An error in determining an applicant's eligibility for funding consideration, which may include, but is not limited to— (A) An incorrect conclusion that the application was submitted by an ineligible applicant; (B) An incorrect conclusion that the application exceeded the published page limit; (C) An incorrect conclusion that the applicant requested funding greater than the published maximum award; or (D) An incorrect conclusion that the application was missing critical sections of the application; and (iii) Any other mishandling of the application that resulted in an otherwise eligible application not being reviewed during the competition. (3)(i) If the Secretary determines that the Department or the Department's agent made a technical or administrative error, the Secretary has the application evaluated and scored. (ii) If the total score assigned the application would have resulted in funding of the application during the competition and the program has funds available, the Secretary funds the application prior to the re-ranking of applications based on the second peer review of applications described in paragraph (c) of this section. (b) Administrative or scoring error for applications that were reviewed. (1) An applicant that was not selected for funding during a competition may request that the Secretary conduct a second review of the application if— (i) The applicant provides evidence demonstrating that the Department, an agent of the Department, or a peer reviewer made an administrative or scoring error in the review of its application; and (ii) The final score assigned to the application is within the funding band described in paragraph (d) of this section. (2) An administrative error relates to either the PE points or the scores assigned to the application by the peer reviewers. (i) For PE points, an administrative error includes mathematical errors made by the Department or the Department's agent in the calculation of the PE points or a failure to correctly add the earned PE points to the peer reviewer score. (ii) For the peer review score, an administrative error is applying the wrong peer reviewer scores to an application. (3)(i) A scoring error relates only to the peer review process and includes errors caused by a reviewer who, in assigning points— (A) Uses criteria not required by the applicable law or program regulations, the Federal Register notice inviting applications, the other published application materials for the competition, or guidance provided to the peer reviewers by the Secretary; or (B) Does not consider relevant information included in the appropriate section of the application. (ii) The term “scoring error” does not include— (A) A peer reviewer's appropriate use of his or her professional judgment in evaluating and scoring an application; (B) Any situation in which the applicant did not include information needed to evaluate its response to a specific selection criterion in the appropriate section of the application as stipulated in the Federal Register notice inviting applications or the other published application materials for the competition; or (C) Any error by the applicant. (c) Procedures for the second review. (1) To ensure the timely awarding of grants under the competition, the Secretary sets aside a percentage of the funds allotted for the competition to be awarded after the second review is completed. (2) After the competition, the Secretary makes new awards in rank order as described in § 646.20 based on the available funds for the competition minus the funds set aside for the second review. (3) After the Secretary issues a notification of grant award to successful applicants, the Secretary notifies each unsuccessful applicant in writing as to the status of its application and the funding band for the second review and provides copies of the peer reviewers' evaluations of the applicant's application and the applicant's PE score, if applicable. (4) An applicant that was not selected for funding following the competition as described in paragraph (c)(2) of this section and whose application received a score within the funding band as described in paragraph (d) of this section, may request a second review if the applicant demonstrates that the Department, the Department's agent, or a peer reviewer made an administrative or scoring error as provided in paragraph (b) of this section. (5) An applicant whose application was not funded after the first review as described in paragraph (c)(2) of this section and whose application received a score within the funding band as described in paragraph (d) of this section has at least 15 calendar days after receiving notification that its application was not funded in which to submit a written request for a second review in accordance with the instructions and due date provided in the Secretary's written notification. (6) An applicant's written request for a second review must be received by the Department or submitted electronically to the designated e-mail or Web address by the due date and time established by the Secretary. (7) If the Secretary determines that the Department or the Department's agent made an administrative error that relates to the PE points awarded, as described in paragraph (b)(2)(i) of this section, the Secretary adjusts the applicant's PE score to reflect the correct number of PE points. If the adjusted score assigned to the application would have resulted in funding of the application during the competition and the program has funds available, the Secretary funds the application prior to the re-ranking of applications based on the second peer review of applications described in paragraph (c)(9) of this section. (8) If the Secretary determines that the Department, the Department's agent or the peer reviewer made an administrative error that relates to the peer reviewers' score(s), as described in paragraph (b)(2)(ii) of this section, the Secretary adjusts the applicant's peer reviewers' score(s) to correct the error. If the adjusted score assigned to the application would have resulted in funding of the application during the competition and the program has funds available, the Secretary funds the application prior to the re-ranking of applications based on the second peer review of applications described in paragraph (c)(9) of this section. (9) If the Secretary determines that a peer reviewer made a scoring error, as described in paragraph (b)(3) of this section, the Secretary convenes a second panel of peer reviewers in accordance with the requirements in section 402A(c)(8)(C)(iv)(III) of the HEA. (10) The average of the peer reviewers' scores from the second peer review are used in the second ranking of applications. The average score obtained from the second peer review panel is the final peer reviewer score for the application and will be used even if the second review results in a lower score for the application than that obtained in the initial review. (11) For applications in the funding band, the Secretary funds these applications in rank order based on adjusted scores and the available funds that have been set aside for the second review of applications. (d) Process for establishing a funding band. (1) For each competition, the Secretary establishes a funding band for the second review of applications. (2) The Secretary establishes the funding band for each competition based on the amount of funds the Secretary has set aside for the second review of applications. (3) The funding band is composed of those applications— (i) With a rank-order score before the second review that is below the lowest score of applications funded after the first review; and (ii) That would be funded if the Secretary had 150 percent of the funds that were set aside for the second review of applications for the competition. (e) Final decision. (1) The Secretary's determination of whether the applicant has met the requirements for a second review and the Secretary's decision on re-scoring of an application are final and not subject to further appeal or challenge. (2) An application that scored below the established funding band for the competition is not eligible for a second review.

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