Programs for Minority-Serving Institutions
(MSIs) Under the Higher Education Act (HEA)
Alexandra Hegji
Analyst in Social Policy
January 15, 2015
Congressional Research Service
7-5700
www.crs.gov
R43237
Programs for Minority-Serving Institutions (MSIs) Under the Higher Education Act (HEA)
Summary
Minority-serving institutions (MSIs) are institutions of higher education that serve high
concentrations of minority students who, historically, have been underrepresented in higher
education. Many MSIs have faced challenges in securing adequate financial support, thus
affecting their ability to develop and enhance their academic offerings and ultimately serve their
students. Federal higher education policy recognizes the importance of such institutions and
targets financial resources to them. Funding for MSIs is channeled through numerous federal
agencies, and several of these funding sources are available to MSIs through grant programs
authorized under the Higher Education Act of 1965, as amended (HEA; P.L. 89-329). Over the
years, HEA programs that support MSIs have expanded and now include programs for institutions
serving a wide variety of student populations. In FY2014, MSI programs under the HEA were
appropriated approximately $780 million, which helped fund more than 940 grants to institutions.
Currently, the HEA authorizes several programs that benefit MSIs:
• Title III-A authorizes the Strengthening Institutions Program, which provides
grants to institutions with financial limitations and a high percentage of needy
students. Title III-A also authorizes separate similar programs for American
Indian tribally controlled colleges and universities; Alaska Native and Native
Hawaiian-serving institutions; predominantly Black institutions (PBIs); Native
American-serving, nontribal institutions; and Asian American and Native
American Pacific Islander-serving institutions. Grants awarded under these
programs assist eligible institutions in strengthening their academic,
administrative, and fiscal capabilities. These programs are typically funded
through annual discretionary appropriations, but additional annual mandatory
appropriations are provided through FY2019.
• Title III-B authorizes the Strengthening Historically Black Colleges and
Universities (HBCUs) program and the Historically Black Graduate Institutions
program, both of which award grants to eligible institutions to assist them in
strengthening their academic, administrative, and fiscal capabilities. These
programs are typically funded through annual discretionary appropriations;
however, additional annual mandatory appropriations are provided for HBCUs
through FY2019.
• Title III-C authorizes the Endowment Challenge Grant program, which has not
been funded since FY1995.
• Title III-D authorizes the HBCU Capital Financing Program, which assists
HBCUs in obtaining low-cost capital financing for campus maintenance and
construction projects and is generally funded through annual discretionary
appropriations.
• Title III-E authorizes the Minority Science and Engineering Improvement
Program, which provides grants to MSIs and other entities to effect long-term
improvements in science and engineering education and is funded through annual
discretionary appropriations.
• Title III-F authorizes additional annual mandatory appropriations through
FY2019 for many of the Title III-A and Title III-B MSI programs. It also
authorizes and appropriates funding through FY2019 for the Hispanic-serving
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Programs for Minority-Serving Institutions (MSIs) Under the Higher Education Act (HEA)
institutions (HSIs) Science, Technology, Engineering, and Mathematics (STEM)
Articulation Program, which provides grants to HSIs to increase the number of
Hispanic students in STEM fields and to develop model transfer and articulation.
• Title V authorizes the HSI program and the Promoting Postbaccalaureate
Opportunities for Hispanic Americans (PPOHA), both of which award grants to
eligible institutions to assist them in strengthening their academic, administrative,
and fiscal capabilities. Typically, both programs are funded through annual
discretionary appropriations, but additional annual mandatory appropriations
were provided for the PPOHA program from FY2009 through FY2014.
• Title VII-A-4 authorizes Masters Degree Programs at HBCUs and PBIs, which
provide grants to select HBCUs and PBIs to improve graduate educational
opportunities. Typically, both programs are funded through annual discretionary
appropriations, but additional annual mandatory appropriations were provided for
both programs from FY2009 through FY2014.
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Programs for Minority-Serving Institutions (MSIs) Under the Higher Education Act (HEA)
Contents
Introduction ...................................................................................................................................... 1
Funding for Minority-Serving Institutions Under the Higher Education Act .................................. 2
Programs Targeting Low-Income-Serving Institutions .................................................................... 3
Background................................................................................................................................ 3
Strengthening Institutions Program ........................................................................................... 3
Eligibility ............................................................................................................................. 4
Authorized Uses .................................................................................................................. 5
Program Administration ...................................................................................................... 7
American Indian Tribally Controlled Colleges and Universities Programs .................................... 7
Eligibility ................................................................................................................................... 8
Authorized Uses ........................................................................................................................ 8
Allotments ................................................................................................................................. 9
Program Administration ............................................................................................................ 9
Alaska Native and Native Hawaiian-Serving Institutions Programs ............................................. 10
Eligibility ................................................................................................................................. 10
Authorized Uses ...................................................................................................................... 11
Program Administration .......................................................................................................... 11
Native American-Serving, Nontribal Institutions Programs .......................................................... 12
Eligibility ................................................................................................................................. 12
Title III-A NASNTI Eligibility .......................................................................................... 12
Title III-F NASNTI Eligibility .......................................................................................... 12
Authorized Activities ............................................................................................................... 13
Program Administration .......................................................................................................... 13
Asian American and Native American Pacific Islander-Serving Institutions Programs ................ 13
Eligibility ................................................................................................................................. 14
Authorized Uses ...................................................................................................................... 14
Program Administration .......................................................................................................... 15
Historically Black Colleges and Universities Programs ................................................................ 15
Strengthening Historically Black Colleges and Universities ................................................... 16
Eligibility ........................................................................................................................... 17
Authorized Activities......................................................................................................... 17
Allotments ......................................................................................................................... 18
Program Administration .................................................................................................... 19
Historically Black Graduate Institutions ................................................................................. 19
Eligibility ........................................................................................................................... 20
Authorized Activities......................................................................................................... 21
Allotments ......................................................................................................................... 22
Program Administration .................................................................................................... 23
Masters Degree Programs at Historically Black Colleges and Universities ............................ 23
Eligibility ........................................................................................................................... 24
Authorized Uses ................................................................................................................ 25
Allotments ......................................................................................................................... 26
Program Administration .................................................................................................... 27
Historically Black College and University Capital Financing ................................................ 27
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Eligibility ........................................................................................................................... 28
Authorized Uses ................................................................................................................ 28
Program Administration .................................................................................................... 29
Loan Terms ........................................................................................................................ 29
HBCU Capital Financing Advisory Board ........................................................................ 30
Predominantly Black Institutions Programs .................................................................................. 31
Strengthening Predominantly Black Institutions ..................................................................... 31
Eligibility ........................................................................................................................... 31
Authorized Uses ................................................................................................................ 32
Title III-A Allotments ........................................................................................................ 34
Program Administration .................................................................................................... 34
Masters Degree Programs at Predominantly Black Institutions .............................................. 35
Eligibility ........................................................................................................................... 36
Authorized Uses ................................................................................................................ 36
Allotments ......................................................................................................................... 37
Program Administration .................................................................................................... 37
Hispanic-Serving Institutions Programs ........................................................................................ 38
Title V-A: Hispanic Serving Institutions ................................................................................. 38
Eligibility ........................................................................................................................... 38
Authorized Uses ................................................................................................................ 39
Program Administration .................................................................................................... 40
Title III-F: HSI STEM and Articulation Programs .................................................................. 40
Title V-B: Promoting Postbaccalaureate Opportunities for Hispanic Americans .................... 40
Eligibility ........................................................................................................................... 41
Authorized Uses ................................................................................................................ 41
Program Administration .................................................................................................... 41
Additional Programs ...................................................................................................................... 42
Endowment Challenge Grants ................................................................................................. 42
Minority Science and Engineering Improvement Program ..................................................... 42
Eligibility ........................................................................................................................... 43
Grant Types ....................................................................................................................... 44
Program Administration .................................................................................................... 46
Tables
Table B-1. Discretionary and Mandatory Appropriations for Selected HEA-Authorized
MSI Programs, FY2011 to FY2015 ............................................................................................ 48
Table C-1. Programs for Which MSIs are Eligible, by Grant Received ........................................ 51
Appendixes
Appendix A. List of Acronyms ...................................................................................................... 47
Appendix B. Appropriations for Selected HEA-Authorized MSI Programs ................................. 48
Appendix C. HEA Programs for Which Institutions Currently Receiving MSI Grants are
Eligible........................................................................................................................................ 50
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Contacts
Author Contact Information........................................................................................................... 53
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Programs for Minority-Serving Institutions (MSIs) Under the Higher Education Act (HEA)
Introduction
Minority-serving institutions (MSIs) are institutions of higher education1 that serve high
concentrations of minority students who, historically, have been underrepresented in higher
education. MSIs tend to have relatively low educational and general expenditures and high
enrollments of needy students. Generally, many such institutions have faced challenges in
obtaining access to financial support, thus affecting their ability to enhance their academic
offerings and institutional capabilities and ultimately serve their students.2 Federal higher
education policy recognizes the importance of such institutions in improving access for and
increasing completion of underrepresented minorities and targets financial resources to them.
Funding for MSIs is channeled through numerous federal agencies, and several of these funding
sources are available to MSIs through grant programs authorized under the Higher Education Act
of 1965, as amended (HEA; P.L. 89-329). Over the years, HEA support of MSI programs has
expanded to include a wide variety of student populations, and in FY2014, MSI programs under
the HEA were appropriated approximately $780 million, which helped fund more than 940
grants.3
For purposes of this report, MSIs include, but are not limited to, American Indian tribally
controlled colleges and universities (TCCUs); Alaska Native and Native Hawaiian-serving
institutions (ANNHs); predominantly Black institutions (PBIs); Native American-serving,
nontribal institutions (NASNTIs); Asian American and Native American Pacific Islander-serving
institutions (ANNAPISIs), historically Black colleges and universities (HBCUs), and Hispanic-
serving institutions (HSIs).
This report describes the several programs devoted to financially assisting MSIs under the Higher
Education Act (HEA). This report does not attempt to describe all HEA programs for which an
MSI may be eligible; rather, it aims to describe those programs that are directed specifically
toward one or more types of MSIs. MSIs are eligible for other federal programs for which IHEs
and nonprofit organizations are eligible if they meet the program eligibility criteria.
This report first discusses how the various HEA MSI programs are funded. It then provides a
description of each program, organized by the type of MSI to which the program is available.
Included in each program description is a discussion of eligibility criteria for program
participation; a description of authorized uses of financial awards; and administrative procedures,
including a description of how funds are allocated among multiple institutions either via a
competitive award process or a formula-based grant.
Appendix A provides a list of acronyms used in this report. Appendix B details mandatory and
discretionary appropriations for selected MSI programs authorized under the HEA. Appendix C
provides a matrix detailing the HEA-authorized MSI programs for which an institution is eligible,
if that institution is already receiving grant under another HEA-authorized MSI program.
1 For purposes of this report, an “institution of higher education” is one that offers a postsecondary education and meets
the HEA section 101 definition of institution of higher education.
2 See U.S. Congress, Senate Committee on Labor and Human Resources, Higher Education Amendments of 1986,
report to accompany S. 1965, 99th Cong., 2nd sess., May 12, 1986, 99-296 (Washington: GPO, 1986), p. 24.
3 Office of Management and Budget, http://www.usaspending.gov, downloaded January 9, 2015.
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All programs discussed in this report are administered by the U.S. Department of Education.
Funding for Minority-Serving Institutions
Under the Higher Education Act
Typically, many of the MSI programs authorized under the HEA are funded through annual
discretionary appropriations. However, in recent years, mandatory appropriations have been
provided to many of the programs, which were in addition to discretionary appropriations, in
some cases. In 2007, with the College Cost Reduction and Access Act (P.L. 110-84), Congress
established the Strengthening Historically Black Colleges and Universities and Other Minority-
Serving Institutions programs. The act created some new MSI programs4 and provided mandatory
appropriations for both the newly authorized and the preexisting Title III-A and III-B MSIs
programs for FY2008 and FY2009. The programs receiving the mandatory appropriations were
• strengthening TCCUs;
• strengthening ANNHs;
• strengthening PBIs;
• strengthening NASNTIs;
• strengthening ANNAPISIs;
• strengthening HBCUs; and
• HSI STEM.
The Higher Education Opportunity Act (HEOA; P.L. 110-315) redesignated the Strengthening
Historically Black Colleges and Universities and Other Minority-Serving Institutions programs
under Title III, Part F of the HEA. The HEOA also authorized additional annual mandatory
appropriations for Masters Degree Programs at HBCUs and PBIs and the Promoting
Postbaccalaureate Opportunities for Hispanic American programs for each of fiscal years FY2009
through FY2014, programs that typically receive discretionary appropriations.
Finally, the Student Aid and Fiscal Responsibility Act, as part of the Health Care and Education
Reconciliation Act (P.L. 111-152) extended the Title III-F mandatory appropriations for Title III-
A, III-B, and HSI STEM programs through FY2019.
Appendix B details mandatory and discretionary appropriations for each of these programs from
FY2011 to FY2015.
4 The Strengthening PBIs; Strengthening NASNTIs; Strengthening ANNAPISIs; and HSI Science, Technology,
Engineering, and Mathematics and Articulation programs were newly authorized under the CCRAA.
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Programs Targeting Low-Income-Serving
Institutions
The Strengthening Institutions Program (SIP) provides grants to institutions of higher education
that serve a high percentage of low-income students and that have low educational and general
expenditures. It is the foundational program upon which many other HEA programs designed to
aid minority-serving institutions (MSIs) are based.
Background
Since the HEA’s inception in 1965, Congress has authorized grant programs to strengthen and
support postsecondary institutions that, because of financial limitations, were struggling to
survive.5 The original HEA Title III-A program was not specifically directed at MSIs, and in the
1986 reauthorization of the HEA, Congress found that the original program “did not always meet
the specific development needs of historically Black colleges and universities and other
institutions with large concentrations of minority, low-income students.”6 Congress then amended
the program to make institutions with high minority and low-income student concentrations
eligible. In subsequent reauthorizations, Congress established several additional Title III-A
programs with separate appropriations, each targeting different institutions serving specific types
of minority students.
Today, SIP grants are available to institutions that serve low-income students, regardless of
minority enrollment, while separate Title III-A program grants are available to institutions that
serve high concentrations of Native American, Alaska Native, Native Hawaiian, Black, Asian
American and Native American Pacific Islander, and Hispanic students. This section of the report
discusses the Strengthening Institutions Program. SIP’s provisions and definitions also apply to
several of the MSI-specific Title III-A programs.
Strengthening Institutions Program
The Strengthening Institutions Program (SIP) was authorized at the HEA’s inception. Its purpose
is to improve the academic quality and institutional management and increase the self-sufficiency
of institutions with a high percentage of needy students and with low expenditures (financial
limitations). The program provides competitive grants to eligible institutions of higher education
(IHEs).7 SIP is funded through discretionary appropriations and receives the largest appropriation
of the Title III-A programs.
5 P.L. 89-329, §301.
6 P.L. 99-498, §301
7 In determining which grants to fund in a competitive competition, the Secretary evaluates an application based on an
applicant’s meeting statutory and regulatory requirements and awards points for each criterion met. If two grant
applications receive the same amount of points and funding is available for only one grant, the Secretary may give
special consideration (e.g., award a tie-breaking point) to an applicant IHE with endowment funds that, per full-time
equivalent (FTE) student, have a market value less than the average current market value of endowments of similar
institutions or an applicant IHE that has expenditures for library materials per FTE enrolled student that are less than
the average expenditures for library materials per FTE enrolled students at similar institutions. Additionally, for
development grants (grants to carry out activities that implement an IHE’s strategy for achieving growth and self-
(continued...)
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This section describes the basic eligibility criteria for institutions participating in SIP, authorized
uses of grant monies, and SIP administration. Descriptions in this section are presented in greater
detail than in each section for MSI-specific programs, as generally, unless otherwise noted in this
report, other Title III-A and III-F program requirements and provisions mirror those of SIP.
Eligibility
The eligibility requirements for SIP are the basic eligibility criteria for several of the other Title
III-A and III-F programs and are found in Section 312(b) of the HEA.8 In general, an institution
meets SIP eligibility criteria (hereinafter referred to as HEA Section 312(b) requirements) if it
• has low educational and general expenditures (E&G);
• has a requisite enrollment of needy students;
• is legally authorized within its respective state to award bachelor’s degrees, is a
junior or community college, or is specified in Section 312(b);9
• is accredited or pre-accredited by a Department of Education (ED)-recognized
national or state accrediting agency;10 and
• is located within one of the 50 states, the Commonwealth of Puerto Rico, the
District of Columbia, or the outlying areas.11
An institution has low E&G if the total amount expended by the institution for instruction and
operation per full-time equivalent (FTE) undergraduate student is low,12 as compared to the
average E&G per FTE at institutions that offer similar instruction.13 The Secretary has defined
(...continued)
sufficiency, rather than planning grants, which assist a grantee in formulating a strategy), the Secretary may give
special consideration to strategies that propose to carry out one or more of several activities, including faculty
development, development and improvement of academic programs, and student services. HEA §311(b)(2)(A) & (B)
and 34 C.F.R. §607.23.
8 An eligible institution may apply as an individual institution or as part of a cooperative arrangement with institutions
that may or may not be eligible for SIP. HEA §394(a)(1).
9 Currently, the College of the Marshall Islands, the College of Micronesia/Federated States of Micronesia, and Palau
Community College are specified in Section 312(b).
10 For additional information on state authorization and accreditation requirements, see CRS Report R43159,
Institutional Eligibility for Participation in Title IV Student Financial Aid Programs, by Alexandra Hegji.
11 The term “outlying areas” includes Guam, American Samoa, the U.S. Virgin Islands, the Commonwealth of the
Northern Mariana Islands, the Freely Associated States of the Republic of the Marshall Islands, the Federated States of
Micronesia, and the Republic of Palau.
12 Included in the determination of amounts expended by an institution are amounts used for instruction, research,
public service, academic support, student services, institutional support, scholarships and fellowships, operation and
maintenance of physical facilities, and mandatory transfers that the institution is required to pay by law.
13 Waivers are available (under all Title III-A programs) for institutions that do not meet the E&G requirement. The
Secretary can waive the requirement if, based on persuasive evidence, it is determined that the institution’s failure to
meet the requirement is due to factors that distort the determination that it meets the E&G requirements and that the
institution’s designation as an eligible institution is otherwise consistent with the purposes of the program. HEA
§392(b). The Secretary has determined that some factors to be considered that may distort an institution’s E&G
expenditures include low student enrollment, location of an institution in an area with an unusually high cost-of-living,
high energy costs, an increase in state funding that was part of a desegregation plan for higher education, or the
operation of high-cost professional schools (e.g., medical or dental schools). 34 C.F.R. 607.4(d).
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similar instruction as institutions within the same institutional sector (e.g., public community
college, public four-year institutions).14
An institution meets the enrollment of needy students criterion if: (1) at least 50% of its degree-,
certificate-, or credential-seeking students receive need-based assistance under Title IV of the
HEA (e.g., Federal Supplemental Educational Opportunity Grant, Federal Work Study, and
Federal Perkins Loan, but not Subsidized Stafford Loans) in the second fiscal year preceding the
fiscal year for which the determination is being made or (2) the percentage of its undergraduate
degree-, certificate-, or credential-seeking students who were enrolled at least half-time and
received Federal Pell Grants exceeded the median percentage for similar institutions.15
Branch campuses of institutions of higher education are eligible for SIP if the institution as a
whole meets the eligibility requirements, even if the branch campus does not meet the state
authorization or accreditation requirements. Branch campuses must, however, individually meet
the needy student enrollment and low E&G requirements.16
Authorized Uses
SIP grants are intended to assist institutions in improving “academic quality, institutional
management, and fiscal stability ... in order to increase their self-sufficiency and strengthen their
capacity to make a substantial contribution to the higher education resources of the Nation.”17 To
that end, Section 311(c) of the HEA lists several authorized activities for which grants can be
awarded.18 Authorized activities include19
• the purchase, rental, or lease of scientific or laboratory equipment for educational
purposes;
• the construction, maintenance, renovation, and improvement of instructional
facilities;20
14 34 C.F.R. §607.7(c).
15 34 C.F.R. §607.3(a)(2). The Secretary can waive the requirement for a number of reasons, including in the case of
institutions that are extensively subsidized by the state in which they are located and that charge little or no tuition; that
serve a “substantial number” of low-income students as a percentage of total student population; that are substantially
increasing higher education opportunities for individuals in rural or isolated areas that are underserved by
postsecondary institutions; that are located on or near an Indian reservation if the Secretary determines that the waiver
will substantially increase higher education opportunities appropriate to the needs of American Indians; or, wherever
located, if the Secretary determines that a waiver will substantially increase higher education opportunities appropriate
to the needs of Black Americans, Hispanic Americans, Native Americans, Asian Americans, or Pacific Islanders
(including Native Hawaiians). Additionally, tribally controlled colleges and universities, as defined in the Tribally
Controlled Colleges and Universities Act of 1978 (but not as defined in HEA §317), are specifically exempt from this
needy student criterion. HEA §392(a). The reasons for granting a waiver are further detailed in 34 C.F.R. §607.3(b).
16 HEA §312(b)(2).
17 HEA §311(a).
18 The accompanying regulations also list those activities specifically prohibited, which include activities not included
in a grantee’s approved application; activities that relate to sectarian instruction or religious worship; the purchase of
standard office equipment, such as filing cabinets and furniture; student recruitment activities, such as advertising; and
the use of funds to cover the cost of health and fitness programs. 34 C.F.R. §607.10(c).
19 The authorized uses listed in the HEA serve mainly as examples of potential uses. Generally, unless specifically
required by the HEA or its accompanying regulations, grantees are given considerable discretion in how they use grant
funds.
20 Grantees cannot, however, use grants for the acquisition of real property. The Education Department General
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• the support of faculty exchanges, development, and fellowships to assist in
attaining advanced degrees in the faculty’s field of instruction;
• the development and improvement of academic programs;
• the purchase of library books, periodicals, and other educational materials;
• tutoring, counseling, and student services programs designed to improve
academic success, retention, and completion, including innovative and
customized courses that may include remedial education and English language
instruction;
• financial literacy education or counseling;
• funds management, administrative management, and equipment acquisition for
use in funds management;
• the joint use of facilities, such as laboratories and libraries;
• the establishment or improvement of a development office to strengthen or
improve alumni and private sector contributions;
• the creation or improvement of facilities of Internet or other distance education
technologies;
• other activities, approved by the Secretary of Education (Secretary), that
contribute to the purposes of the program; and
• the establishment or enhancement of an endowment fund.21
Although institutions are allowed to establish or improve endowment funds with SIP grants, they
may not use more than 20% of grant monies for such purposes. Additionally, if an institution does
use SIP funds for endowment development, it must provide matching funds from nonfederal
sources in an amount equal to or greater than the federal contribution.22
In awarding grants, statutory provisions direct the Secretary to give special consideration to
institutions that propose to engage in faculty development, funds and administrative management,
development and improvement of academic programs, equipment acquisition for the
strengthening of funds management and academic programs, the joint use of facilities, and
student services.23
(...continued)
Administrative Regulations (EDGAR), which provide regulations that apply to all ED-administered grant programs,
prohibit recipients of ED-administered grants from using grant monies for the acquisition of real property or for
construction, unless specifically permitted by the authorizing statute or implementing regulations for a program. 34
C.F.R. §75.533.
21 The Consolidated and Further Continuing Appropriations Act, 2015 (P.L. 113-235) authorizes IHEs that maintain
endowment funds supported with funds appropriated for HEA Title III and Title V programs for FY2015 to use the
income from the endowment fund to award student scholarships. This provision will remain in effect until Title III and
Title V are reauthorized. Consolidated and Further Continuing Appropriations Act, 2015, Division G, Title III, §310.
22 HEA §311(d).
23 HEA §311(b)(2)(3).
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Program Administration
There is a two-step application process for participation in SIP. In step one, an institution applies
to be designated as eligible under the HEA Section 312(b) eligibility criteria.24 If approved by the
Secretary, the institution may then apply for a SIP grant. SIP grants are awarded through a
competitive process. The SIP application must, among other requirements, detail the institution’s
comprehensive development plan, describe the policies it will use to ensure that the federal funds
awarded will be used to supplement and not supplant funds that would have otherwise been made
available for the authorized activities described in Section 311(b), provide for making at least one
report annually to ED regarding the institution’s progress towards achieving its objectives, and
provide for fiscal control and fund accounting procedures necessary to ensure the proper
disbursement and accounting for grant funds.25 Applications are selected based on the score of a
review panel; the applications with the highest score are selected for funding.
ED awards two types of SIP grants. Development grants, which are used to carry out activities to
implement an institution’s strategy for achieving growth and self-sufficiency, under this program
are generally five years in length, unless otherwise requested. ED may also award one-year
planning grants for the purpose of preparing plans and applications for SIP grants. Finally, each
institution that receives a development grant under this part is subject to a two year wait-out
period (i.e., they are ineligible for another SIP grant for two years after the date of the grant’s
termination).26
In awarding grants, the Secretary gives priority to applicants who are not already receiving
development grants under another Title III-A program; however, grantees under other Title III-A
programs (e.g., Strengthening PBIs) are prohibited from receiving funds under other Title III-A
programs simultaneously. Thus, in effect, SIP grantees cannot receive funds under other Title III-
A programs.27 Additionally, SIP grantees cannot receive funds under Title III-B (HBCU and
HBGIs programs) or Title V-A (HSI program) in the same fiscal year in which it receives a SIP
grant.28 Institutions receiving SIP grants in a fiscal year, however, can receive a grant under any
one type of the Title III-F programs in the same fiscal year (see Appendix C).29
American Indian Tribally Controlled Colleges and
Universities Programs
Section 316 establishes the Strengthening American Indian Tribally Controlled Colleges and
Universities (TCCUs) program, which was first authorized under the Higher Education
24 In practice, an IHE wishing to be designated as eligible by ED submits an application with relevant enrollment and
E&G data. ED then verifies the information, reviews any waiver applications, and then designates an institution as
“eligible” or “ineligible.”
25 HEA §391.
26 HEA §313.
27 In practice, this typically results in all types of institutions receiving Title III-A, III-B, or V program grants being
excluded from SIP eligibility.
28 HEA §312(h) and 34 C.F.R. §607.2(g).
29 See, e.g., Department of Education, Office of Postsecondary Education, “Native American-serving nontribal
institutions program,” Frequently Asked Questions,” http://www2.ed.gov/programs/iduesaitcc/faq.html.
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Amendments of 1998 (P.L. 105-244). It is the only HEA program specifically available to TCCUs
and provides SIP-type grants to them. The program is intended to assist TCCUs in improving and
expanding their capacity to serving American Indian students.
Typically, Strengthening TCCU program grants are funded through discretionary appropriations
under Title III-A. Additional mandatory appropriations are provided annually through FY2019 in
Title III-F and are treated “as part of the amount appropriated ... to carry out section [316]”;30
therefore, in this report, the Title III-A and III-F TCCU programs are collectively referred to as
the Strengthening TCCU program and are discussed in conjunction with one another, unless
otherwise noted.
Eligibility
To qualify for a Strengthening TCCU grant, an institution of higher education31 must meet the
HEA Section 312(b) requirements and qualify for funding under the Tribally Controlled Colleges
and Universities Assistance Act of 1978 (TCCUAA)32 or the Navajo Community College Act, as
amended33 or be cited in Section 532 of the Equity in Educational Land-Grant Status Act of 1994
(EELGSA).34
Institutions that qualify under the TCCUAA are institutions of higher education that are formally
controlled, or have been formally sanctioned or chartered, by the governing body of an Indian
tribe or tribes. Additionally, such institutions must have a majority of students who are Indians
and must be operated for the purposes of meeting the needs of Indians.35 For the purposes of
Strengthening TCCUs, an Indian student is a member of an Indian tribe or a biological child of a
member of an Indian tribe, living or deceased.36 Institutions that qualify under the Navajo
Community College Act or EELGSA are specifically named in the relevant statute.
Authorized Uses
Strengthening TCCU grants must be used to carry out activities that improve an institution’s
ability to serve Indian students. The authorized uses for Strengthening TCCU grants include those
authorized under SIP. Additionally, TCCUs are specifically authorized to use grant funds to
acquire real property adjacent to their campuses on which they can construct facilities. Grant
recipients are also permitted to establish or enhance programs designed to qualify students to
teach in elementary and secondary schools, with a particular emphasis on teaching Indian youth,
and to establish community outreach programs that encourage Indian elementary and secondary
students to develop academic skills and interest in pursuing a postsecondary education. While
30 HEA §371(b)(2)(D)(i).
31 Generally, the HEA requires that grantees be IHEs as defined by HEA §101; however, TCCUs are not required to
meet the Section 101(a)(2) requirement of being legally authorized to provide a postsecondary education within the
state in which they are located, per HEA §316(b)(4).
32 25 U.S.C. §1801 et seq.
33 25 U.S.C. §640a.
34 7 U.S.C. §301 note.
35 25 U.S.C. §§1801 & 1804.
36 HEA §316(b)(1) & 25 U.S.C. §1801(a).
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TCCUs are allowed to use up to 20% of grant funds, like SIP grantees, to establish or increase
endowments,37 they must provide nonfederal38 matching funds equal to federal funds.39
Allotments
Prior to the Higher Education Opportunity Act of 2008 (HEOA; P.L. 110-315), the Strengthening
TCCU program was a competitive grant program. The HEOA, however, transformed the
competitive program into a largely formula-based grant program.40
Under the program, the Secretary is given the option to reserve up to 30% of fiscal year
appropriations for the purpose of awarding competitive one-year grants for construction,
maintenance, and renovation needs; these grants may not be less than $1 million each.41 After the
Secretary awards such grants, 60% of the remaining appropriated funds are distributed among
eligible TCCUs on a pro rata basis, based on the number of Indian student counts of the
respective institutions.42 The remaining 40% is then distributed in equal shares to all eligible
TCCUs. The minimum grant amount a recipient can be awarded is $500,000.43
Program Administration
As with SIP, there is a two-step application process for participation in the Strengthening TCCU
program. In step one, an institution applies to be designated as eligible under 312(b). In step two,
institutions apply to the TCCU program and submit project plans. The application and project
plan must contribute to the purposes of the program, not include unallowable activities, and meet
any statutory provisions and regulations. If approved by the Secretary, the Secretary then makes
37 The Consolidated and Further Continuing Appropriations Act, 2015 (P.L. 113-235) authorizes IHEs that maintain
endowment funds supported with funds appropriated for HEA Title III and Title V programs for FY2015 to use the
income from the endowment fund to award student scholarships. This provision will remain in effect until Title III and
Title V are reauthorized. Consolidated and Further Continuing Appropriations Act, 2015, Division G, Title III, §310.
38 For the purposes of Strengthening TCCU grants, funds provided to institutions under the Tribally Controlled
Colleges or Universities Grant Program or specifically to Dine College under the Navajo Community College Act are
treated as nonfederal, private funds of the institutions. 25 U.S.C. §1809(c) & 25 U.S.C. §640c-2(b).
39 HEA §316(c).
40 In FY2009-FY2012 Congress inserted language into ED’s appropriations bills requiring that noncompeting
continuation (NCC) grants, in amounts not less than the originally authorized amount, be made to grantees that had
been selected for awards by the last competitive process in FY2008. NCC grants are awarded to current grantees for
succeeding years of the life of a grant after the Secretary has determined that the grantee is making satisfactory
progress in carrying out the grant. NCC funding for the older competitive grants under the Strengthening TCCU
program was taken from the TCCU’s new formula allotment; the institutions’ funding, however, was allowed to exceed
what the institutions were entitled to under the formula. See, e.g., the Consolidated Appropriations Act of 2012, P.L.
112-74.
41 Although the Secretary has the discretion to award such grants, the option has not yet been exercised. Department of
Education, Office of Postsecondary Education, “American Indian Tribally Controlled Colleges and University—Title
III Part A Programs, Frequently Asked Questions,” http://www2.ed.gov/programs/iduesaitcc/faq.html.
42 “Indian student counts” is defined in the TCCUAA as “a number equal to the total number of Indian students
enrolled in each tribally controlled college or university ... on the basis of the quotient of the sum of the credit hours of
all Indian students so enrolled, divided by twelve.” 20 U.S.C. §180(a)(8).
43 Generally, institutions are only allowed to receive one Title III-A grant; however, under the Strengthening TCCU
program, an institution could receive both a one-year Strengthening TCCU construction grant and also a grant based on
the Strengthening TCCU formula.
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an allotment to the institution based on the above-described formula. For formula-funded grants
under this program, the performance period is five years.44
Institutions that receive grants under this section are not subject to the Section 313(d) two-year
wait-out period.45 Additionally, TCCUs that receive grants under the Title III-A, Section 316
program are prohibited from receiving funds from other Title III-A programs, Title III-B
programs (Strengthening HBCU program and Historically Black Graduate Institutions (HBGIs)
program), or Title V-A (the HSI program) during the same fiscal year; however, they may receive
a grant under any one of the Title III-F programs in the same fiscal year. Institutions cannot
receive more than one Title III-F grant simultaneously (see Appendix C).
Alaska Native and Native Hawaiian-Serving
Institutions Programs
Section 317 of the HEA establishes the Strengthening Alaska Native and Native Hawaiian-
Serving Institutions (ANNHs) program, which was first authorized under the Higher Education
Amendments of 1998 (P.L. 105-244). It is the only HEA program specifically available to
ANNHs and provides SIP-type grants to them. The program is intended to enable such
institutions to improve and expand their ability to serve Alaska Natives or Native Hawaiians.
Typically, Strengthening ANNH grants are funded through discretionary appropriations under
Title III-A. Additional mandatory appropriations are provided annually through FY2019 in Title
III-F and “shall be made available as grants under [Section 317ANNH program].”46 Therefore, in
this report, the Title III-A and III-F ANNH programs are collectively referred to as the
Strengthening ANNH program and are discussed in conjunction with one another, unless
otherwise noted.
Eligibility
To qualify for a Strengthening ANNH grant, an institution of higher education must meet the
HEA Section 312(b) requirements and must also have an enrollment of undergraduate students
that is at least 20% Alaska Native students or at least 10% Native Hawaiian students.47 For
purposes of the Strengthening ANNH program, a Native Alaskan is a citizen of the United States
who is “of one fourth-degree or more Alaska Indian ... Eskimo, or Aleut blood, or a combination
thereof.”48 A Native Hawaiian is a citizen of the United States who is a “descendent of the
44 HEA §313(a).
45 HEA §316(d)(4)(B).
46 HEA §371(b)(2)(D)(ii).
47 Although different enrollment criteria apply depending on whether an institution wants to be designated as an Alaska
Native-serving institution or a Native Hawaiian-serving institution, in its budget and its administration of the program,
ED does not appear to otherwise differentiate between the two types of institutions, such that both types compete for
funds from the same pool of money (i.e., ED does not allot a specified amount of grant funds to each type of
institution).
48 This term is defined in the Alaska Native Claims Settlement Act, 43 U.S.C. §1602(b).
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aboriginal people who, prior to 1778, occupied and exercised sovereignty in the area that now
comprises the State of Hawaii.... ”49
Authorized Uses
Strengthening ANNH grants must be used to assist an institution in planning, developing,
undertaking, and carrying out activities to improve an institution’s capacity to serve Alaska
Natives or Native Hawaiians. The authorized uses for grants under these provisions are similar to
those authorized under Section 311(b) of the HEA. Unlike other Title III-A or III-F programs,
neither the HEA nor the regulations specifically permit or prohibit ANNHs from using grant
funds to create or improve institutional endowments; however, in ED’s grant application for
FY2012,50 it appears that the use of up to 20% of grants awards was allowed for endowment
investment.51
Program Administration
As with SIP, there is a two-step award process for participation in the Strengthening ANNH
program. First, an institution applies for Section 312(b) designation. If approved by the Secretary,
the institution may then apply for a Strengthening ANNH grant. Strengthening ANNH grants are
awarded through a competitive process. Applications are selected based on the score of a review
panel, and the applications with the highest score are selected for funding.
Strengthening ANNH grants are generally five years in length for general development grants and
two years in length for grants used for facility renovation. ANNHs that receive grants under this
program are not subject to the Section 313(d) two-year wait-out period.52
Institutions that receive Strengthening ANNH grants are prohibited from receiving funds under
other Title III-A programs, Title III-B programs (Strengthening HBCU and HBGI), and Title V-A
(HSI program) during the same fiscal year; however, they may receive a grant under any one type
of the Title III-F programs in the same fiscal year. Institutions cannot receive more than one Title
III-F grant simultaneously (see Appendix C).
49 This term is defined in the Elementary and Secondary Education Act, 20 U.S.C. §7517(1).
50 The grant application reads, in relevant part, “if you propose to use up to 20% for endowment investing, do not write
an activity narrative regarding this use of endowment investing, as we do not consider it an activity in the usual sense.”
Department of Education, Office of Postsecondary Education, Fiscal Year 2014: Application for Grants Under the
Alaska Native and Native Hawaiian-Serving Institutions Program, OMB No. 1840-0810, p. 69.
51 The Consolidated and Further Continuing Appropriations Act, 2015 (P.L. 113-235) authorizes IHEs that maintain
endowment funds supported with funds appropriated for HEA Title III and Title V programs for FY2015 to use the
income from the endowment fund to award student scholarships. This provision will remain in effect until Title III and
Title V are reauthorized. Consolidated and Further Continuing Appropriations Act, 2015, Division G, Title III, §310.
52 HEA §317(d)(3)(B).
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Native American-Serving, Nontribal Institutions
Programs
Section 319 establishes the Strengthening Native American-Serving, Nontribal Institutions
(NASNTIs) program, which was first authorized in 2007 under the College Cost Reduction and
Access Act (CCRAA; P.L. 110-385). It is the only HEA program specifically available to
NASNTIs and provides SIP-type grants to them. The program is intended to enable such
institutions to improve and expand their ability to serve Native American and low-income
students.
Since 2010, Strengthening NASNTI program grants have been funded through discretionary
appropriations under Title III-A. Mandatory appropriations are provided annually through
FY2019 in Title III-F.53 Although, in general, the authorized uses and administrative processes for
Title III-A and Title III-F NASNTI programs are the same, eligibility criteria are different
between the two programs; therefore, in this report, the eligibility criteria for the Title III-A and
III-F NASNTI programs are discussed separately, but the authorized uses and administrative
processes for each program are discussed in conjunction with one another.
Eligibility
Title III-A NASNTI Eligibility
To qualify for a Title III-A NASNTI grant, institutions of higher education must meet the HEA
Section 312(b) eligibility requirements and must also have an enrollment of undergraduate
students that is at least 10% Native American students. A Native American is defined as an
individual who is of a tribe, people, or culture indigenous to the United States. Additionally, an
eligible institution cannot be a TCCU.54
Title III-F NASNTI Eligibility
To qualify for a Title III-F NASNTI grant, institutions of higher education are not required to
meet the HEA Section 312(b) eligibility criteria. Rather, institutions must be accredited or
preaccredited by an ED-recognized accrediting agency and must be legally authorized within
their respective states to award bachelor’s degrees or operated as a junior college. Therefore, Title
III-F NASNTIs are not required to meet the E&G and needy student criteria that most Title III-A
eligible institutions are required to meet. Additionally, an eligible institution must have an
enrollment of undergraduate students that is at least 10% Native American; TCCUs are ineligible
for this program.55
53 HEA §371(b)(2)(D)(iv).
54 HEA §319(b).
55 HEA §371(c)(8). See also Department of Education, “Applications for New Awards: Native American-Serving
Nontribal Institutions Part F Program,” 76 Federal Register 20963, April 14, 2011.
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Authorized Activities
Title III-A and III-F NASNTI grants must be used to assist NASNTIs in planning, developing,
and carrying out activities to improve their capacity to serve Native American and low-income
individuals. The examples of authorized activities for NASNTI grants mirror the authorized uses
under Section 311(b); however, NASNTIs cannot use grant monies to start or improve an
endowment.56
Program Administration
As with SIP, there is a two-step award process for institutions to receive grants under either the
Title III-A or III-F NASNTI programs. In step one, an institution applies for eligibility by
demonstrating it meets either the HEA Section 312(b) criteria for Title III-A NASNTI grants or
the specific eligibility criteria set forth in Title III-F for those NASNTI grants. If approved by the
Secretary, the institution may then apply for a NASNTI grant under the grant it wishes to receive.
Both types of NASNTI grants are awarded through a competitive process. Applications are
selected based on the score of a review panel, and the applications with the highest score are
selected for funding.
Title III-A NASNTI grants were first awarded in FY2010, and Title III-F NASNTI grant were
first awarded in FY2008. Both types of grants are five-years in length. The minimum award for a
Title III-A NASNTI grant is $200,000;57 there is no statutorily set minimum grant amount under
the Title III-F NASNTI program.
Institutions that receive grants under the Title III-A or III-F NASNTI programs are not subject to
the Section 313(d) two-year wait-out period. Finally, institutions receiving a Title III-A NASNTI
grant cannot receive funds under other Title III-A programs, Title III-B programs (Strengthening
HBCU and HBGI), or Title V-A (HSI program); however, they may receive a grant under any one
type of the Title III-F programs in the same fiscal year. Institutions cannot receive more than one
Title III-F grant simultaneously (see Appendix C).
Asian American and Native American Pacific
Islander-Serving Institutions Programs
Section 320 establishes the Strengthening Asian American and Native American Pacific Islander-
Serving Institutions (AANAPISIs) program, which was first authorized in 2007 under the College
Cost Reduction and Access Act (CCRAA; P.L. 110-85). It is the only HEA program specifically
available to AANAPISIs and provides SIP-type grants to them. The purpose of the program is to
enable such institutions to improve and expand their ability to serve Asian Americans and Native
American Pacific Islanders and low-income individuals.
56 Department of Education, Office of Postsecondary Education, “Native American-Serving Nontribal Institutions
Program, Frequently Asked Questions,” http://www2.ed.gov/programs/nasnti/faq.html.
57 HEA §319(d)(3)(D).
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Section 320 Strengthening AANAPISI grants have been funded through discretionary
appropriations since FY2009 under Title III-A. Additional mandatory appropriations are provided
annually through FY2019 under Title III-F.58 In general, eligibility requirements, authorized uses,
and administrative processes for Title III-A and Title III-F AANAPISI grants are the same;
therefore, in this report, the Title III-A and Title III-F AANAPISI programs are referred to
collectively as the Strengthening AANAPISI program and are discussed in conjunction with one
another, unless otherwise stated.
Eligibility
To qualify for a Strengthening AANAPISI program grant under either Title III-A or III-F,
institutions of higher education must meet the HEA Section 312(b) eligibility requirements.
Additionally, at the time of application, an institution must have an enrollment of undergraduate
students that is at least 10% Asian American students or Native American Pacific Islander
students. For purposes of the Strengthening AANPISI program, an Asian American is an
individual “having origins in any of the original peoples of the Far East, Southeast Asia, or the
Indian subcontinent,”59 and a Native American Pacific Islander is “any descendant of the
aboriginal people of any island in the Pacific Ocean that is a territory or possession of the United
States.”60
Authorized Uses
Strengthening AANAPISI grants awarded under Title III-A and Title III-F must be used to assist
an institution in planning, developing, and carrying out activities that improve and expand the
institution’s capacity to serve Asian American and Native American Pacific Islanders (AANAPIs)
and low-income individuals.
Title III-A grants to AANAPISIs have authorized uses similar to the authorized uses under
311(b); however, AANAPISIs are also authorized to use grant funds to provide academic
instruction in disciplines in which AANAPIs are underrepresented, to conduct research and data
collection for AANAPI populations and subpopulations, and to establish partnerships with
community-based organizations that serve AANAPIs.61 Title III-F grants to AANAPISIs can be
used only for activities authorized under Section 311(c).62 Under both programs, grant recipients
can use up to 20% of grant funds to establish or increase endowments, but they must provide
matching nonfederal funds that are equal to the amount of federal funds.63
58 HEA §371(b)(2)(D)(iii).
59 Office of Management and Budget, “Revisions to the Standards for the Classification of Federal Data on Race and
Ethnicity,” HEA §320(b)(1) and 62 Federal Register 58787, October 30, 1997.
60 HEA §320(b)(3).
61 HEA §320(c)(2)(K)-(M).
62 HEA §371(b)(2)(D)(iii).
63 The Consolidated and Further Continuing Appropriations Act, 2015 (P.L. 113-235) authorizes IHEs that maintain
endowment funds supported with funds appropriated for HEA Title III and Title V programs for FY2015 to use the
income from the endowment fund to award student scholarships. This provision will remain in effect until Title III and
Title V are reauthorized. Consolidated and Further Continuing Appropriations Act, 2015, Division G, Title III, §310.
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Program Administration
As with SIP, there is a two-step award process for institutions to receive grants under either Title
III-A or III-F Strengthening AANAPISI programs. First, an institution applies for designation as
Section 312(b) eligible. If approved by the Secretary, the institution may then apply for either a
Title III-A or III-F AANAPISI program grant. Grants under both programs are awarded through a
competitive process. Applications are selected based on the score of a review panel, and the
applications with the highest score are selected for funding.
Strengthening AANAPISI grants are generally five years in length. Additionally, AANAPISIs that
receive grants under either the Title III-A or the Title III-F program are not subject to the Section
313(d) two-year wait-out period. Finally, institutions that receive a Strengthening AANAPISI
grant under Title III-A in a fiscal year are prohibited from receiving funds under other Title III-A
programs, Title III-B (Strengthening HBCU and HBGI programs), or Title V (HSI program and
Promoting Postbaccalaureate Opportunities for Hispanic Americans (PPOHA))64 in the same
fiscal year; however, they may receive a grant under any one type of the Title III-F programs in
the same fiscal year. Institutions cannot receive more than one Title III-F grant simultaneously
(see Appendix C).65
Historically Black Colleges and Universities
Programs
Most historically Black colleges and universities (HBCUs) were established between 1867 and
1900 with the purpose of serving the educational needs of Black Americans.66 Before HBCUs
were established, and to a certain extent afterwards, Black Americans were generally denied
admission to traditionally white institutions.67 As a result of these practices, HBCUs became the
primary means for providing postsecondary educations to Black Americans. As of 2012, there
were 100 HBCUs located in 19 states, predominantly in the Southeast; the District of Columbia;
and the U.S. Virgin Islands. They are both private and public, two-year and four-year
institutions.68
64 Generally, institutions receiving a Title III-A program grant are eligible to simultaneously receive a PPOHA grant;
however, IHEs receiving Section 320 AANAPISI grants are specifically prohibited from concurrently receive PPOHA
grants. HEA §320(d)(3)(A).
65 Department of Education, Office of Postsecondary Education, “Asian American and Native American Pacific
Islander-Serving Institutions Program, Frequently Asked Questions,” http://www2.ed.gov/programs/aanapi/faq.html.
66 Stephen Provasnik and Thomas D. Snyder, Historically Black Colleges and Universities, 1976 to 2001, National
Center for Education Statistics, NCES 2004-062, Washington, DC, September 2004, p. 1.
67 Department of Education, Office for Civil Rights, “Historically Black Colleges and Universities and Higher
Education Desegregation,” http://www2.ed.gov/about/offices/list/ocr/docs/hq9511.html.
68 Not included in this discussion are those institutions that may otherwise qualify for HBCU status but that are not
eligible to participate in HEA Title IV federal student aid programs, as the definition of HBCU for Title III-B eligibility
purposes includes many of the same criteria as eligibility for Title IV (e.g., an institution eligible for both Title IV and
Title III-B must be accredited or preaccredited by an ED-recognized accrediting agency and must be legally authorized
to operate within the state in which it is located). Title IV eligible HBCUs were identified using the National Center for
Education Statistics’ Integrated Postsecondary Education Data System, December 23, 2013.
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HBCUs are funded under Title III-B of the HEA. At various points in time, HBCUs were
provided funding under HEA Title III, but it was not until the Higher Education Amendments of
1986 (P.L. 99-498) that a separate HBCU program was established under Title III-B. In
establishing the Title III-B HBCU program, Congress found that many HBCUs were struggling to
survive because of financial limitations and that “the current state of Black colleges and
universities [was] partly attributable to the discriminatory actions of the States and the Federal
Government.”69 The HBCU program was meant to address these issues and to ensure HBCUs’
participation in providing equality in education.
HEA Title III-B authorizes programs for both undergraduate and graduate and professional
programs at eligible HBCUs. Section 323, the Strengthening HBCUs program, authorizes the
Secretary to award formula-based grants to eligible HBCUs for activities to strengthen academic,
administrative, and fiscal capabilities; these grants are typically available through discretionary
appropriations. The Historically Black Graduate Institutions (HBGIs) program, Section 326,
provides funds for formula-based grants to specifically listed graduate and professional programs
at HBCUs for authorized activities similar to those under Section 323, typically with
discretionary funds. Title III-F authorizes additional appropriations for the Section 323 eligible
institutions.
In addition to the Title III-B and Title III-F programs, Title VII, Part A, Subpart 4 of the HEA
authorizes Masters Degree Programs at HBCUs, which provides grants to specifically listed
institutions that make a substantial contribution to the graduate education of Black Americans at
the master’s degree level. Finally, the Historically Black College and University Capital
Financing (HBCU Cap Fin) program assists HBCUs in obtaining low-cost capital financing for
campus maintenance and construction projects.
This section of the report discusses both of the Strengthening HBCU Program, the HBGI, Masters
Degree Programs at HBCUs, and the HBCU Cap Fin program, including eligibility criteria,
authorized uses, and program administration.
Strengthening Historically Black Colleges and Universities
Section 323 authorizes the Strengthening Historically Black Colleges and Universities program,
which provides institutional grants to HBCUs. The program is intended to enable HBCUs to
participate in activities that strengthen their academic, administrative, and fiscal capabilities.
While the Strengthening HBCU program is similar in purpose and structure to the Title III-A
programs in many ways, it is also markedly different from them. Unlike most of the Title III-A
programs, which are competitive, the Title III-B Strengthening HBCU program is formula-
funded. Additionally, HBCUs are not required to meet many of the Title III-A eligibility
requirements related to educational and general expenditures or a requisite number of needy
students.
Typically, the Strengthening HBCUs program is funded through discretionary appropriations
under Title III-B. Additional mandatory appropriations are provided through FY2019 in Title III-
F.70 The Title III-F authorizing language for appropriations states that the mandatory funds shall
69 P.L. 99-489 §321(3).
70 HEA §371(b)(2)(C)(i).
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be made available to eligible HBCUs under Title III-B and shall be allotted in the same manner
and for the same authorized purposes; therefore, in this report, the Title III-B Strengthening
HBCU program and Title III-F Strengthening HBCU programs are collectively referred to as the
Strengthening HBCUs program and are discussed in conjunction with one another.
Eligibility
HBCUs eligible for grants under HEA Title III programs are known as Part B institutions. In this
report, the terms HBCU and Part B institution are used interchangeably. A Part B institution is
defined as one
• established before 1964;
• with a primary mission that was, and is, the education of Black Americans; and
• that is accredited or preaccredited by an ED-recognized accrediting agency.71
Additionally, the accompanying regulations require that an eligible Part B institution be legally
authorized by the state in which it is located to operate as a junior or community college or to
award bachelor’s degrees.
Institutions that were established after 1964 may also qualify as eligible Part B institutions. To do
so, they must (1) have been a branch campus of a southern institution of higher education that,
prior to September 30, 1986 received a grant as an institution with special needs under HEA
Section 321;72 and (2) have been an institution formally recognized by the National Center for
Education Statistics as an HBCU but that, on or after the date the enactment of the Strengthening
HBCUs program (October 17, 1986), was determined not to meet the newly established Part B
eligibility criteria.73
Authorized Activities
In general, many of the authorized activities listed in Section 323 mirror those authorized under
the Strengthening Institutions Program (see the section of this report titled “Strengthening
Institutions Program”). For example, Part B institutions may use grants for purchasing or renting
laboratory equipment, constructing or renovating instructional facilities,74 or tutoring or
71 HEA §322(2).
72 Prior to the HEA Amendments of 1986, the program authorized under HEA Title III, Part B was the Aid to
Institutions with Special Needs program. This program provided short-term assistance for improving the management
and fiscal capabilities of “special needs” institutions. Special needs institutions were determined based on eligibility
criteria that included the number of Pell Grant recipients enrolled at the institution and the total amount of Pell Grant
dollars awarded to students attending the institution and the total educational and general expenditures of the
institution. Additionally, institutions were required to have no fewer than 100 FTE students enrolled. Finally, the
Secretary was allowed to consider additional factors in awarding grants, such as little or no endowment, a high student-
to-faculty ratio, and limited library resources. U.S. Congress, Senate Labor and Human Resources, Reauthorization of
the Higher Education Act: Program Descriptions, Issues, and Options, committee print, prepared by the Congressional
Research Service, 99th Cong., 1 sess., February 1985, S. Prt. 99-8 (Washington: GPO, 1985), pp. 227-228.
73 Additionally, the Secretary is authorized to make grants that encourage cooperative arrangements. With funds
available to carry out Title III-B programs, cooperative arrangements can be entered into between institutions eligible
under Title III-B and institutions that are not receiving assistance under Title III. The cooperative arrangements must
support activities authorized by HEA Section 323. HEA §394(a)(2).
74 No more than 50% of a Strengthening HBCU grant can be used for constructing or maintaining a classroom, library,
(continued...)
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counseling students to improve academic success. However, several additional uses are specified
in Section 323. These additional authorized uses include
• establishing or enhancing a program of teacher education designed to qualify
students to teach in a public elementary or secondary school in the states and that
includes preparation for teacher certification;
• establishing community outreach programs that will encourage elementary and
secondary students to develop the academic skills and interest to pursue a
postsecondary education; and
• acquiring real property in connection with the construction, renovation, or
addition to or improvement of campus facilities.
Part B institutions are also authorized to use up to 20% of grant funds to establish or increase
endowments. 75 If an institution chooses to do so, it must provide nonfederal matching funds that
are equal to or greater than the federal funds.
Allotments
Strengthening HBCU grants are formula-based, such that each eligible Part B institution that
meets the eligibility criteria and submits a qualifying application may receive a grant award. For
amounts appropriated for these grants, the Secretary must allot to each institution a sum
1. that bears a ratio equal to 50% of the number of Federal Pell Grant recipients in
attendance at the institution at the end of the preceding academic year to the total
number of Federal Pell Grant recipients at all Part B institutions;
2. that bears a ratio equal to 25% of the number of an institution’s graduates for the
academic year to the number of graduates for all Part B institutions;
3. that bears a ratio equal to 25% of the percentage of an institution’s graduates who
are admitted to and in attendance at, within five years of graduating with a
bachelor’s degree, a graduate or professional school in a degree program in
disciplines in which Blacks are underrepresented to the percentage of such
graduates per institution from all Part B institutions.76
If the amount of a grant to be awarded to an institution, based on the above formula, is greater
than $250,000 and less than $500,000, then the Secretary must award the institution $500,000. If
the amount of a grant to be awarded to an institution is less than or equal to $250,000, then the
Secretary must award the institution $250,000. Additionally, if the amounts appropriated in any
(...continued)
laboratory, or other instructional facility. HEA §323(c)(2).
75 The Consolidated and Further Continuing Appropriations Act, 2015 (P.L. 113-235) authorizes IHEs that maintain
endowment funds supported with funds appropriated for HEA Title III and Title V programs for FY2015 to use the
income from the endowment fund to award student scholarships. This provision will remain in effect until Title III and
Title V are reauthorized. Consolidated and Further Continuing Appropriations Act, 2015, Division G, Title III, §310.
76 If an otherwise eligible Part B institution did not have any enrolled Pell Grant recipients; did not graduate any
students; did not have any students who, within five years of graduation, were admitted to and in attendance at a
graduate or professional school in a degree program in disciplines in which Blacks are underrepresented; or failed to
provide the Secretary with the data required for the formula, then it shall not receive an allotment (including the
minimum allotment) for a fiscal year. HEA §324(h).
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fiscal year are insufficient to make these minimum allotments to each eligible institution, then the
minimum allotments are ratably reduced. Finally, if ED determines that an individual institution’s
allotment for any fiscal year is not needed by that institution, ED may redistribute the unneeded
funds to other HBCUs as ED determines appropriate.77
Finally, Howard University and the University of the District of Columbia may not receive
allotments if either institution’s allotment under criteria 2 and 3 is less than the amounts they
would receive under their permanent annual appropriations.78
Program Administration
The award process for Strengthening HBCU grants is a multi-step process. First, an institution
must be designated by ED as a Part B institution. ED maintains a list of Part B institutions.79 If an
institution has been designated as a Part B institution, it must then submit to ED the data required
to calculate the formula allotments. Finally, at a separate time, the institution submits a project
plan to ED, which must describe the institution’s proposed activities, not include unallowable
activities, and meet any statutory provisions and regulations. If approved by the Secretary, the
Secretary then makes an allotment to the institution based on the above-described formula.
Program grants are five years in length.80 Any funds paid to an institution that are not used within
the five-year time period can be carried over and expended during the succeeding five-year
period, so long as those funds are obligated for the same purpose.81
Finally, institutions receiving a Title III-B Strengthening HBCU grant in a fiscal year cannot
receive funds under any Title III-A program or under Title V-A (HSI program); however, they
may receive a grant under any one type of the Title III-F programs in the same fiscal year.
Institutions cannot receive more than one Title III-F grant simultaneously (see Appendix C).
Historically Black Graduate Institutions
Section 326 of the HEA authorizes the Historically Black Graduate Institutions (HBGIs) program.
As with the Strengthening HBCU program, the purpose of the HBGI program is to enable such
77 HEA §324.
78 HEA §324(g). Both Howard University and the University of the District of Columbia receive annual discretionary
appropriations. See HEA. 20 U.S.C. §123 & 87 Stat. §774. Howard University has not received a Strengthening HBCU
grant since at least FY2003.
79 ED regulations, 34 C.F.R. §608.2, provide a list of institutions that the Secretary determined qualified as HBCUs
under HEA Section 322 as of June 24, 1994. Those institutions listed in the regulations do not, however, reflect the
current list of institutions that qualify as HBCUs, as some institutions have lost accreditation or have closed since the
regulations were last updated. For instance, Mary Holmes College in West Point, MS, closed in 2005. See Garthia
Elena Burnett, “Mary Holmes gets new lease on life,” Commercial Dispatch, June 17, 2011. Unlike the Title III-A
programs, this designation is generally granted outside of the grant-making process. Typically, a school wishing to be
designated as an HBCU must contact ED’s Office of Postsecondary Education and express its interest in being
designated as an HBCU. The institution provides ED with evidence that it meets the HBCU criterion, and ED makes a
determination of the institution’s status.
80 ED has not yet determined how to allocate funds if a school is newly designated as a Part B institution after a five-
year grant cycle has started.
81 HEA §327(b).
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institutions to participate in activities that strengthen their academic, administrative, and fiscal
capabilities.
Like the Strengthening HBCU program, the HBGI program has been funded through
discretionary appropriations. However, unlike institutions eligible under the Strengthening HBCU
program or most of the Title III-A programs, Title III-F does not provide additional mandatory
funding for the HBGI program.
Eligibility
All institutions or graduate programs eligible for HBGI grants are specifically listed in the HEA.
HBGI grants are available to postgraduate institutions or institutions offering “qualified graduate
programs” that have been determined by ED to be “making a substantial contribution to the legal,
medical, dental, veterinary, or other graduate education opportunities in mathematics,
engineering, or the physical or natural sciences for Black Americans.”82 Qualified graduate
programs are graduate or professional programs that provide a program of instruction in law,
physical or natural sciences, engineering, mathematics, psychometrics, or other scientific
disciplines in which African Americans are underrepresented and in which students are enrolled
at the time of application for the grant.83
Originally, five institutions or schools were listed as eligible under Section 326,84 and over the
years, Congress has designated several other schools and programs as eligible to receive HBGI
grants. Prior to passage of the Higher Education Opportunity Act of 2008 (HEOA; P.L. 110-315),
18 institutions, schools, and programs were specified in Section 326 and, therefore, were eligible
for HBGI grants. Those institutions, schools, and programs were
• Morehouse School of Medicine,
• Meharry Medical School,
• Charles R. Drew Postgraduate Medical School,
• Clark-Atlanta University,
• Tuskegee University School of Veterinary Medicine and other qualified graduate
programs,
• Xavier University School of Pharmacy and other qualified graduate programs,
• Southern University School of Law and other qualified graduate programs,
• Texas Southern University School of Law and School of Pharmacy and other
qualified graduate programs,
• Florida Agricultural and Mechanical University School of Pharmaceutical
Sciences and other qualified graduate programs,
82 HEA §326(a).
83 HEA §326(e)(2).
84 The five original institutions and schools were Morehouse School of Medicine, Meharry Medical School, Charles R.
Drew Postgraduate Medical School, Atlanta University (now Clark-Atlanta University), and Tuskegee Institute School
of Veterinary Medicine (now Tuskegee University School of Veterinary Medicine). P.L. 99-498 §326(e).
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• Morgan State University qualified graduate programs,
• Hampton University qualified graduate programs,
• Alabama Agricultural and Mechanical University qualified graduate programs,
• North Carolina Agricultural and Technical State University qualified graduate
programs,
• University of Maryland Eastern Shore qualified graduate programs,
• Jackson State University qualified graduate programs,
• Norfolk State University qualified graduate programs, and
• Tennessee State University qualified graduate programs.
In 2008, the HEOA amended Section 326 of the HEA to include six additional postgraduate
schools or programs that are now also eligible for HBGI grants. The distinction between the pre-
and post-HEOA schools and program is important for award allocation purposes, which are
discussed later in this report. The six post-HEOA schools and programs are
• Alabama State University qualified graduate programs,
• Prairie View Agricultural and Mechanical University qualified graduate
programs,
• Delaware State University qualified graduate programs,
• Langston University qualified graduate programs,
• Bowie State University qualified graduate programs, and
• University of the District of Columbia David A. Clarke School of Law.85
Authorized Activities
In general, many of the authorized uses of HBGI program grants are similar to those authorized
under the Strengthening Institutions Program of Title III-A. For example, HBGI grants may be
used for purchasing or renting laboratory equipment, constructing or renovating instructional
facilities, or tutoring or counseling students to improve academic success. However, several other
uses for HBGI grants are specified in Section 326. These additional authorized uses include
• scholarships, fellowships, or other financial assistance for needy graduate and
professional students to permit them to enroll in and complete doctoral degrees in
disciplines in which African Americans are underrepresented;86
• acquisition of real property that is adjacent to the campus and in connection with
the construction or renovation of campus facilities; and
• development of a new qualified graduate program, so long as the institution does
not use more than 10% of its HBGI grant for such a purpose.87
85 HEA §326(e)(1).
86 Such disciplines include medicine, dentistry, pharmacy, veterinary medicine, law, physical or natural sciences,
engineering, mathematics, and other scientific disciplines. HEA §326(c)(4).
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HBGI grant recipients are allowed to establish or maintain endowment funds with HBGI grants;
however, in doing so, they must comply with the provisions for Endowment Challenge Grants
(see subsequent entitled section) set forth in HEA Section 331.88 Among other requirements in
Section 331, HBGI grant recipients that wish to use grant monies for endowment funds must
provide nonfederal matching funds equal to the federal funds provided.
Allotments
The HBGI program specifies how funds are to be allotted to institutions based on the amount of
funds appropriated by Congress each year. Section 326 specifies that the first $56.9 million (or
lesser amount appropriated) is available only to the 18 pre-HEOA eligible institutions, schools,
and programs, and grant amounts must be at least as much as each institution’s grant amount in
FY2008.89 Any amount appropriated that is greater than $56.9 million and less than $62.9 million
is available only to the six institutions or programs added to the statute by the HEOA.90 Finally,
any amount appropriated over $62.9 million is made available to any of the eligible institutions,
schools, or programs pursuant to a formula to be developed by ED that uses the following
elements:
• the ability of an institution, school, or program to match federal funds with
nonfederal funds;
• the number of students enrolled in the program for which funding is being
received;
• the average cost of education per student for all full-time graduate and
professional students enrolled in the eligible professional or graduate school;
• the number of students in the previous year who received their first professional
or doctoral degree from the programs for which funding was received in the
previous year; and
• the contribution, on a percentage basis, of the programs for which the institution
is eligible to receive funds to the total number of African Americans receiving
graduate or professional degrees in the professions or disciplines related to the
programs for the previous year.91
(...continued)
87 HEA §326(e)(2)(B). For purposes of this provision, new graduate programs are not subject to the eligibility
requirement that qualified graduate programs have students enrolled in them.
88 The Consolidated and Further Continuing Appropriations Act, 2015 (P.L. 113-235) authorizes IHEs that maintain
endowment funds supported with funds appropriated for HEA Title III and Title V programs FY2015 to use the income
from the endowment fund to award student scholarships. This provision will remain in effect until Title III and Title V
are reauthorized. Consolidated and Further Continuing Appropriations Act, 2015, Division G, Title III, §310.
89 Up through FY2012, all 18 institutions, schools, and programs had received the same amount of grant monies as they
had in FY2008. See Department of Education, Office of Postsecondary Education, “Title III Part B, Strengthening
Historically Black Graduate Institutions Program: Awards,” FY2001 and FY2008, http://www2.ed.gov/programs/
idueshbgi/awards.html. However, the final FY2013 appropriation was slightly less than the $56.9 million threshold.
The relevant regulations have not been updated since prior to the passage of the HEOA, thus, it is unclear how funds
less than $56.9 million would be divided among the 18 institutions, schools, and programs.
90 There is no additional guidance regarding how aid is divided among these six institutions.
91 HEA §326(f).
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The program appropriation has not exceeded $62.9 million.
Finally, grants in excess of $1 million cannot be made under the HBGI program unless the
applicant provides assurances to ED that 50% of the cost of the purposes for which the grant is
made will be paid from nonfederal sources. An award recipient is not required to match any
portion of the first $1 million awarded.92
Program Administration
The HBGI program award process comprises a single step. Eligible institutions, schools, and
programs need only submit an application to ED requesting funds and detailing proposed project
plans for those funds.93 The application and project plans must contribute to the purposes of the
program, not include unallowable activities, and meet any statutory provisions and regulations. If
approved by the Secretary, the Secretary then makes an allotment to the institution based on the
above-described formula.
HBGI program grants are five years in length. Funds awarded must be obligated during the five-
year grant period and must be expended within ten years of the start of the five-year grant
period.94
An HBGI grant recipient cannot receive more than one grant under this program in any fiscal
year.95 Institutions that are eligible for and receive awards under the Promoting Postbaccalaureate
Opportunities for Hispanic Americans Program (PPOHA),96 the Masters Degree Programs at
HBCUs Program,97 or the Masters Degree Programs at PBIs Program98 are ineligible to receive
grants under the HBGI program in the same fiscal year.99 Finally, institutions receiving an HBGI
grant in a fiscal year cannot receive funds under a Title III-A program or Title V-A (the HSI
program) in the same fiscal year; however, they may receive a grant under any one type of the
Title III-F programs in the same fiscal year. Institutions cannot receive more than one Title III-F
grant simultaneously (see Appendix C).
Masters Degree Programs at Historically Black Colleges and
Universities
In 2008, the Higher Education Opportunity Act (HEOA; P.L. 110-315) established Masters
Degree Programs at Historically Black Colleges and Universities under Title VII, Part A, Subpart
92 HEA §326(a)(2).
93 Because grants are five years in length and the Secretary is prohibited from awarding more than one grant per
institution in any fiscal year, the president or chancellor of a recipient institution that wishes to allot funds to multiple
graduate or professional schools or programs at the institution may decide which graduate or professional school or
qualified graduate program will receive funds under the grant for any one fiscal year, if the allocation of funds among
such schools or programs is delineated in the grant application. HEA §326(e)(5).
94 HEA §326(b).
95 HEA §326(e)(4).
96 HEA §512.
97 HEA §723.
98 HEA §724.
99 HEA §326(h).
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4. The program seems to have been established to address concerns that the Title III HBCU, PBI,
and HBGI programs were limited in scope and did not extend eligibility to a variety of graduate
opportunities for Black Americans.100 The Title VII-A-4 program is intended to assist institutions
in improving graduate education opportunities at the master’s level for Black students in a variety
of fields of study. The program is funded through discretionary appropriations under Title VII-A-
4, and was provided with mandatory appropriations for FY2009-FY2014 under Title VIII.
HEA Section 723 specifically authorizes Masters Degree Programs at Historically Black Colleges
and Universities (Masters Degrees at HBCUs). The program’s purpose is to improve graduate
education opportunities at the master’s level in mathematics, engineering, physical or natural
sciences, computer science, information technology, nursing, allied health, or other scientific
disciplines for Black Americans.101
Eligibility
Masters Degrees at HBCUs program grants are available to those institutions specifically listed in
the HEA that have been determined “to be making a substantial contribution to graduate
education opportunities”102 for Black Americans at the master’s level in one of the several
educational disciplines listed above. None of the institutions listed as eligible for the HBGI
program (Title III-B, Section 326) are listed as eligible for the Masters Degrees at HBCUs
program. Currently, 18 institutions are eligible for the Masters Degrees at HBCUs program;
they are
• Albany State University,
• Alcorn State University,
• Claflin State University,
• Coppin State University,
• Elizabeth City University,
• Fayetteville State University,
• Fisk University,
• Fort Valley State University,
• Grambling State University,
• Kentucky State University,
100 For instance, in his testimony before Congress, Dr. Larry Earvin, president of Huston-Tillotson University, stated
that the HBGI program “has always limited institutional and programmatic participation to those first, professional
degree programs, such as law, medicine, and dentistry, and to those doctoral programs in physical and natural
sciences.... The inclusion of master’s degrees without restriction would dramatically expand institutional participation
in the program.” U.S. Congress, House Committee on Education and Labor, Subcommittee on Higher Education,
Lifelong Learning, and Competitiveness, Higher Education Act: Institutional Support for Colleges and Universities
Under Title III and Title V, field hearing held in Austin Texas, 110th Cong., 1st sess., June 4, 2007, 110-43
(Washington: GPO, 2008), pp. 23-24.
101 HEA §723(a).
102 HEA §723(a).
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• Mississippi Valley State University,
• Savannah State University,
• South Carolina State University,
• University of Arkansas at Pine Bluff,
• Virginia State University,
• West Virginia State University,
• Wilberforce University, and
• Winston-Salem State University.103
Although each of these institutions is eligible to receive funding, grants under this program must
be used to support a graduate school or a qualified master’s degree program at the institution. A
qualified master’s degree program is one that provides a program of instruction in mathematics,
engineering, science, physical or natural sciences, computer science, information technology,
nursing, allied health, or other scientific disciplines in which African Americans are
underrepresented. Students must be enrolled in the program at the time of application for a grant,
unless it is a new program, in which case, the institution cannot use more than 10% of the grant
for the new program.104
Authorized Uses
Masters Degrees at HBCUs program grants are intended to enable eligible institutions to develop
and enhance their capacity for graduate education and opportunities for Black Americans and
low-income students. In general, the program activities authorized under the Masters Degrees at
HBCUs program are the same as those authorized under the HBGI program. For instance,
Masters Degrees at HBCUs program grants may be used for purchasing or renting lab equipment,
constructing or improving classrooms and other instructional facilities, or tutoring students. As
with the HBGI program, grants under this program can also be used for
• scholarships, fellowships, or other financial assistance for needy graduate
students to permit the enrollment of the students in, and completion of, a master’s
degree in mathematics, engineering, the physical or natural sciences, computer
science, information technology, nursing, allied health, or other scientific
disciplines in which African Americans are underrepresented;
• the acquisition of real property that is adjacent to the campus and in connection
with the construction or renovation of campus facilities;105 and
• the development of a new qualified graduate program, so long as the institution
does not use more than 10% of its grant for such a purpose.106
103 HEA §723(b).
104 HEA §723(b)(2).
105 HEA §723(d).
106 HEA §723(b)(2)(B).
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Institutions may also use program grants to establish or maintain endowment funds. 107 However,
in doing so, they must comply with the provisions for Endowment Challenge Grants set forth in
HEA Section 331. Among other requirements, Masters Degrees at HBCUs grant recipients that
wish to use grant monies for endowment funds must provide nonfederal matching funds equal to
the federal funds provided.108
Allotments
Masters Degrees at HBCUs program grants are formula-based. Section 723 specifies that, subject
to available appropriations, no grant awarded under the Masters Degrees at HBCUs program shall
be less than $500,000. If an institution receives a grant that is greater than $1 million, however, it
must provide assurances that 50% of the cost of a grant project will be paid with nonfederal
funds.109
The first $9 million (or lesser amount) appropriated are available only to the 18 institutions
currently listed in Section 723(b) for the purposes of making the $500,000 minimum grants. If the
amount appropriated is insufficient to pay the minimum grant amount to each eligible institution,
then each institution’s award is ratably reduced. If other institutions are subsequently added to the
list of eligible institutions, they are entitled to the minimum grant amount, unless such funds are
not appropriated. In that case, the 18 institutions currently listed receive funding priority and
subsequently added institutions’ awards are ratably reduced.
Any appropriations greater than $9 million are available to each of the currently listed 18
institutions based on a formula, to be determined by ED. As of FY2014, the appropriation has not
exceeded $9 million. The formula for appropriations greater than $9 million uses the following
elements:
• the ability of an institution to match federal funds with nonfederal funds;
• the number of students enrolled in the qualified master’s degree program in the
previous academic year;
• the average cost of attendance per student for all full-time students enrolled in the
qualified master’s degree program;
• the number of students in the previous year who received a degree in the
qualified master’s degree program; and
• the contribution, on a percent basis, of the master’s level programs for which the
institution is eligible to receive funds to the total number of African Americans
receiving master’s degrees in the disciplines related to the institution’s programs
for the previous year.
107 The Consolidated and Further Continuing Appropriations Act, 2015 (P.L. 113-235) authorizes IHEs that maintain
endowment funds supported with funds appropriated for HEA Title III and Title V programs FY2015 to use the income
from the endowment fund to award student scholarships. This provision will remain in effect until Title III and Title V
are reauthorized. Consolidated and Further Continuing Appropriations Act, 2015, Division G, Title III, §310.
108 HEA §723(d)(6).
109 HEA §723(a)(2) & (3). If an institution is unable to meet this matching requirement, the Secretary must distribute,
on a pro rata basis, any amounts that the institution cannot use due to its failure to meet the matching requirements to
those institutions that do comply with the matching requirements.
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Notwithstanding the above formula to allocate funds, no eligible institution that received a grant
under the program for FY2009 and that is eligible to receive a grant in subsequent years shall
receive a grant that is less than the amount received in FY2009. However, this hold harmless rule
does not apply if the amount appropriated for a fiscal year is insufficient to provide such grants to
all such institutions or if an institution is unable to provide sufficient matching funds.110
Program Administration
Like the HBGI award process, the Masters Degrees at HBCUs award process is a single step.
Eligible institutions need only submit an application to ED requesting funds and detailing
proposed project plans for those funds. The application and project plans must contribute to the
purposes of the program, not include unallowable activities, and meet any statutory provisions
and regulations. If approved by the Secretary, the Secretary then makes an allotment to the
institution based on the above-described formula
Program grants are no longer than six years in length, but grants may be periodically renewed for
a period determined by the Secretary. Additionally, an institution can only receive one grant per
fiscal year under this program.111 An institution that is eligible for and receives an award under
the HBGI, PPOHA, or Masters Degree Programs at PBIs programs in a fiscal year is ineligible to
receive grants under the Masters Degrees at HBCUs program in the same fiscal year.112 An
institution receiving a Masters Degree Programs at HBCUs grant is not prohibited from also
receiving awards under Title III-A, Title III-F, Title V-A, or the Title III-B Strengthening HBCU
program (see Appendix C).
Historically Black College and University Capital Financing
The Historically Black College and University Capital Financing Program (HBCU Cap Fin) is a
loan guarantee program that was established to provide federal assistance to HBCUs in obtaining
low-cost capital financing for campus maintenance, renovation, and construction projects. It was
authorized by the Higher Education Amendments of 1992 (P.L. 102-325). The extension of such
loans is intended to help HBCUs continue educating African Americans and low-income,
educationally disadvantaged Americans.
When enacting the legislation, Congress found that the academic and residential facilities on
many HBCU campuses suffered from neglect and deferred maintenance. Congress also found that
HBCUs were often unable to obtain financing to perform needed maintenance and construction
projects because of their small enrollments, limited endowments, and other financial risk
factors.113 To remedy this situation, Congress enacted HBCU Cap Fin to help provide HBCUs
with access to low-cost capital financing. HBCU Cap Fin provides HBCUs with access to capital
110 HEA §723(g).
111 Because program grants are six years in length and the Secretary is prohibited from awarding more than one grant
per institution in any fiscal year, the president or chancellor of a recipient institution that wishes to allot funds to
multiple graduate or professional schools or programs at the institution may decide which graduate or professional
school or qualified graduate program will receive funds under the grant for any one fiscal year, if the allocation of
funds among such schools or programs is delineated in the grant application. HEA §723(b)(3).
112 HEA §723(e).
113 HEA §341.
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financing by issuing federal guarantees on the full principal and interest of qualified bonds, the
proceeds of which are used for capital financing loans.
Eligibility
Institutions eligible for HBCU Cap Fin are those eligible as Part-B institutions under the
Strengthening HBCU program, as defined in HEA Section 322(2).114 Howard University is
specifically excluded from program eligibility, while Lincoln University of Pennsylvania is
specifically included in program eligibility.115 An HBCU applicant wishing to receive a loan
under the program must undergo a credit review to determine whether it is qualified, which
includes whether it is capable of repaying the loan in a timely manner.116
Authorized Uses
HBCU Cap Fin loans provide low-cost financing for capital projects to HBCUs. Authorized
capital projects include the repair, renovation, or, in exceptional circumstances the construction or
acquisition of
• a classroom facility, library, dormitory, laboratory, or other facility customarily
used by institutions of higher education for instructional or research purposes or
the housing of students, faculty, and staff;
• an institutional administration facility or student center;117
• instructional equipment and any capital equipment or fixture related to the
facilities described above;
• a maintenance, storage, or utility facility that is essential to the operation of a
facility;
• real property or any interest therein;
• a facility designed to provide primarily outpatient healthcare to students and
faculty;
• physical infrastructure essential to support projects authorized under the HEA,
including roads, sewer and drainage systems, and other utilities; and
• any other facility or equipment essential to maintaining accreditation.118
114 HEA §342(1).
115 HEA §344(a).
116 HEA §343(b)(4). Criteria that may be taken into account when determining credit worthiness include a school’s
accreditation status, eligibility to participate in HEA Title IV federal student aid programs, cohort default rates,
enrollment, debt ratio, debt service coverage, and capital improvement plans. Department of Education, Office of
Postsecondary Education, “Historically Black College and University Capital Financing Program: Frequently Asked
Questions,” http://www2.ed.gov/programs/hbcucapfinance/faq.html.
117 No more than 5% of the loan proceeds may be used for such purposes if the facility is owned, leased, managed, or
operated by a private business that, in return for such use, makes a payment to the eligible institution. HEA §342(5)(B).
118 HEA §342(5).
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Program Administration
Rather than directly providing capital financing loans to HBCUs, ED contracts with a private, for-
profit corporation to act as the Designated Bonding Authority (DBA) and to operate HBCU Cap
Fin.119 The DBA issues taxable bonds on behalf of HBCU borrowers, and ED guarantees full
payment on the qualified bonds issued by the DBA. Bond proceeds are then used by the DBA to
provide loans to eligible HBCUs at interest rates that are slightly above the federal government’s
cost of borrowing.120 The HEA limits the program to an outstanding balance of $1.1 billion in
bonds and unpaid interest.121 No more than two-thirds of this limit may be held on behalf of
private HBCUs, and no more than one-third may be held on behalf of public HBCUs.122
Loan Terms
The HEA sets forth specific loan terms under HBCU Cap Fin, under which all parties (HBCU,
DBA, and ED) must operate. These statutorily prescribed terms include the percentage of loan
funds an HBCU may use for capital projects and the parties’ recourses in the event of a
delinquency or default.
HBCUs must use at least 95% of an HBCU Cap Fin loan to complete one or more of the
statutorily authorized capital projects or to refinance a prior obligation, the proceeds of which
were used to finance a capital project. The remaining 5% of the loan must be deposited into a
pooled escrow account. The escrow account is used to cover any delinquencies or defaults by an
institution in the program. If no institution defaults during the period in which the participating
HBCU has an outstanding loan, the HBCU will receive the remainder of its escrow within 120
days of its final scheduled loan repayment.123
If an HBCU is delinquent on an HBCU Cap Fin loan, the DBA may assist the HBCU in making
the payment within 45 days. If after that time, the HBCU is still delinquent or defaults on the
loan, the DBA draws funds from the pooled escrow account to make payments on behalf of the
HBCU. If the pooled escrow account is exhausted, ED will make payments according to the
insurance agreement with the DBA. ED then collects remuneration directly from the delinquent
or defaulted HBCU or disposes of the HBCU’s collateral.124
While the statutory provisions of HBCU Cap Fin set forth several specific loan terms, many are
left to the parties to negotiate. Such terms include interest rate, payment terms, frequency of
payments, and the length of the loan.
119 The current DBA is Rice Capital Access Program, LLC.
120 HEA §343.
121 The Emergency Supplemental Appropriations Act for Defense, the Global War on Terror, and Hurricane Recovery,
2006 (P.L. 109-234) provided HBCU Cap Fin special terms for HBCUs located in areas affected by Hurricane Katrina
or Rita that incurred physical damage resulting from one of the hurricanes. With these emergency appropriations, ED
awarded approximately $400 million in loan guarantees to institutions affected by the hurricanes. Department of
Education, Historically Black College and University Capital Financing Program Account, Fiscal Year 2015 Budget
Request, pp. W-8.
122 HEA §344(a).
123 HEA §343(b)(2) & (8).
124 HEA §343(b) & (c).
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Programs for Minority-Serving Institutions (MSIs) Under the Higher Education Act (HEA)
HBCU Capital Financing Advisory Board
The HBCU Capital Financing Advisory Board (Advisory Board) provides advice and counsel to
ED and the DBA on the most efficient means of implementing construction financing on HBCU
campuses. It also advises Congress on the progress made in implementing HBCU Cap Fin.125
The Advisory Board is composed of 11 members who are appointed by the Secretary. The
Advisory Board members are
• the Secretary or the Secretary’s designee;
• three presidents of private HBCUs;
• three presidents of public HBCUs;
• the president of the United Negro College Fund, Inc.,126 or the president’s
designee;
• the president of the National Association for Equal Opportunity in Higher
Education,127 or the designee of the Association;
• the executive director of the White House Initiative on HBCUs;128 and
• the president of the Thurgood Marshall College Fund,129 or the president’s
designee.130
The term of service for each president of an HBCU (public or private) that serves on the Advisory
Board is three years. The term of service for all other Advisory Board members is the length of
the tenure in their other professional capacities.131
125 HEA §347(a).
126 The United Negro College Fund, Inc. (UNCF) is a membership organization of 38 HBCUs. Its mission is to “build a
robust and nationally-recognized pipeline of under-represented students who, because of UNCF support, become
highly-qualified college graduates and to ensure that [its] network of member institutions is a respected model of best
practices in moving students to and through college.” United Negro College Fund, Inc., “Mission, Annual Report and
Audit,” http://www.uncf.org/sections/WhoWeAre/SS_AboutUs/mission_annualreport.asp.
127 The National Association for Equal Opportunity in Higher Education is a membership organization of HBCUs and
PBIs. Its mission is to “champion interests of HBCUs and PBIs; provide membership services; build capacity of
HBCUs; [and] serve as [an] international voice and advocate for preservation and enhancement of HBCUs and PBIs
and for blacks in higher education.” National Association for Equal Opportunity in Higher Education, “About
NAFEO,” http://www.nafeo.org/community/web2010/about.html.
128 The White House Initiative on HBCUs was established in 1980 by Executive Order 12232 to overcome the effects
of discriminatory treatment of HBCUs and to strengthen and expand their capacity.
129 The Thurgood Marshall College Fund is a membership organization of 47 public HBCUs, medical schools, and law
schools. Its mission is to “partner with [its] member-schools to increase access, retention and graduation rates of
students; identify and prepare students attending member-schools who have significant leadership potential; [and]
create a pipeline for employers to highly-qualified member-school students and alumni.” Thurgood Marshall College
Fund, “Our Mission & Vision,” https://www.thurgoodmarshallfund.net/about-tmcf/our-mission.
130 HEA §347(b).
131 For additional information on the Advisory Board and its current members, see Department of Education,
“Historically Black College and University Capital Financing Advisory Board,” http://www2.ed.gov/about/bdscomm/
list/hbcu-finance.html.
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Programs for Minority-Serving Institutions (MSIs) Under the Higher Education Act (HEA)
Predominantly Black Institutions Programs
Predominantly Black Institutions (PBIs) are IHEs that enroll a high concentration of Black
American students and that also enroll a high concentration of low-income or first-generation
college students. Unlike HBCUs, PBIs were not necessarily established to serve the educational
needs of Black Americans; additionally, their date of establishment need not fall within a certain
timeframe. Two HEA programs are authorized specifically to assist PBIs; they are the
Strengthening PBIs program and Masters Degree Programs at PBIs. This section discusses each
of these programs, including their eligibility criteria, authorized uses of grant monies, and
program administration.
Strengthening Predominantly Black Institutions
Title III-A, Section 318, of the HEA establishes the Strengthening Predominantly Black
Institutions (PBIs) program, which was first authorized in 2007 by the College Cost Reduction
and Access Act (CCRAA; P.L. 110-84) and which provides SIP-type grants to PBIs. The program
is intended to assist PBIs in expanding educational opportunities.132
Since FY2010, the Title III-A Strengthening PBI program grants have been funded through
annual discretionary appropriations under Title III-A. Additional mandatory appropriations are
provided annually through FY2019 under Title III-F. Grants awarded under the Title III-A
program are formula-based; grants awarded under the Title III-F program are competitive.133
Typically, eligibility requirements, authorized uses, and administrative processes for Title III-A
formula PBI program and Title III-F competitive PBI program are the same. When discussed
together, they are referred to as the Strengthening PBI programs.
Eligibility
Eligibility requirements for Strengthening PBI grants vary appreciably from eligibility
requirements for the other Title III-A programs. To qualify for either Strengthening PBI program,
institutions of higher education must meet the HEA Section 318(b)(1) requirements, rather than
the Section 312(b) requirements that institutions participating in the other Title III-A programs are
required to meet. Under Section 318(b)(1), institutions must have low educational and general
expenditures (E&G) per full-time equivalent undergraduate as compared to institutions that offer
similar instruction,134 be accredited or preaccredited by an ED-recognized accrediting agency, and
have authorization within their respective states to award a bachelor’s degree or associate’s
degree.
In addition to the Section 318(b)(1) requirements, an institution’s undergraduate student
enrollment must be at least 40% Black American students and must have a requisite “enrollment
of needy students.”
132 HEA §318(a).
133 HEA §371(b)(2)(C)(ii).
134 The Secretary can apply the same waiver requirements as those for the other Part III-A programs, see footnote 13.
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Programs for Minority-Serving Institutions (MSIs) Under the Higher Education Act (HEA)
The Section 318(b)(1) “enrollment of needy students” criterion means that at least 50% of an
institution’s undergraduate students enrolled in an academic program leading to a degree
1. were Federal Pell Grant recipients in the second fiscal year preceding the fiscal
year for which the determination is made;
2. come from families that receive benefits under a means-tested federal benefit
program;135
3. attended a public or private nonprofit secondary school (a) that was in a school
district of a local educational agency that was eligible for assistance under Title I,
Part A of the Elementary and Secondary Education Act of 1965 (ESEA) for any
year during which the student attended the school and (b) that was determined by
the Secretary to be one in which the enrollment of children meeting a measure of
poverty under Section 1113(a)(5) of the ESEA exceeded 30% of the total
enrollment;136 or
4. are first-generation college students and a majority of such first-generation
college students are low-income individuals.137
Once an institution qualifies as an eligible institution under the Section 318(b)(1) criteria, it must
then be designated as a PBI. A PBI is defined as an eligible institution with not less than 1,000
undergraduate students, at which not less than 50% of the enrolled undergraduates are low-
income individuals or first-generation college students, and at which not less than 50% of the
undergraduates are enrolled in programs that lead to a bachelor’s or associate’s degree.138
Authorized Uses
Authorized uses differ between the Title III-A formula PBI program and the Title III-F
competitive PBI program. The Title III-A formula PBI program mandates required activities to be
funded and authorizes additional uses for such grants. Title III-F competitive PBI grants have a
different set of authorized uses from those authorized for Title III-A formula PBI grants.
135 A “means-tested federal benefit program” is a federal program (other than those under HEA Title IV) in which
eligibility is determined on the basis of an individual’s or family’s income or resources, for instance, Temporary
Assistance for Needy Families (TANF) or Housing Assistance. HEA §318(b)(5).
136 For additional information on the Elementary and Secondary Education Act of 1965 and eligibility requirements for
participation under Title I, Part A, see CRS Report RL33960, The Elementary and Secondary Education Act, as
Amended by the No Child Left Behind Act: A Primer, by Rebecca R. Skinner.
137 A “first-generation college student” is an individual both of whose parents did not complete a baccalaureate degree
or, in the case of an individual who regularly resided with and received support from only one parent, an individual
whose only such parent did not complete a baccalaureate degree. A “low-income individual” is an individual from a
family whose taxable income for the preceding year did not exceed 150% of the federal poverty guidelines. HEA
§402A(h)(3) & (4).
138 HEA §318(b)(6). These two sets of criteria, in effect, ensure that institutions with a large enrollment (greater than
1,000) of undergraduate students and an above average proportion of Black American and needy students, but with
only a small fraction of the total student population enrolled in a degree program, are ineligible for Strengthening PBI
grants. For instance, an institution with an undergraduate population of 2,000 students and that otherwise meets the
needy student criteria but that only has 100 undergraduate students enrolled in a degree program (with the other 1,900
students enrolled in certificate programs) would be ineligible to receive a Strengthening PBI grant, as only 5% of its
total undergraduate population is enrolled in a degree program.
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Programs for Minority-Serving Institutions (MSIs) Under the Higher Education Act (HEA)
Title III-A
PBIs that receive Title III-A formula PBI grants must use them for the following purposes:
• to plan, develop, undertake, and implement programs to enhance grantee’s
capacity to serve more low- and middle-income Black American students;
• to expand higher education opportunities for students eligible to participate in
programs under Title IV of the HEA139 by encouraging college preparation and
student persistence in secondary education; and
• to strengthen the financial ability of the grantee institution to serve the academic
needs of low- and middle-income Black American students and Title IV eligible
students.
Additional grant activities that are authorized under Section 318 include most of the activities
authorized under the Title III-A Strengthening Institutions Program (SIP), academic instruction in
disciplines in which Black Americans are underrepresented, establishment or enhancement of a
teacher education program designed to qualify students to teach in a public elementary or
secondary school, and establishment of community outreach programs designed to encourage
elementary and secondary school students to develop the academic skills and the interest to
pursue postsecondary education. PBIs are also allowed to use Title III-A formula PBI grants to
fund construction and maintenance projects; however, not more than 50% of a grant may be used
for such purposes.
Finally, PBIs are allowed to use up to 20% of Title III-A grant funds to establish or increase
endowments. 140 If a PBI chooses to do so, it must provide nonfederal matching funds that are
equal to or greater than the federal funds.
Title III-F
Authorized uses of Title III-F competitive PBI grants differ from their Title III-A formula PBI
counterparts. Title III-F competitive PBI grants must be used for programs in science, technology,
engineering, or mathematics (STEM); health education; internationalization or globalization;
teacher preparation; or improving educational outcomes of African American males.141
139 HEA Title IV authorizes a variety of programs to help prepare students for a postsecondary education, including the
Federal TRIO Programs, which authorizes grants to help prepare individuals from disadvantaged backgrounds for a
postsecondary education. For information on the TRIO programs, see CRS Report R42724, The TRIO Programs: A
Primer, by Cassandria Dortch. Title IV also authorizes the majority of federal student aid programs, including the Pell
Grant program, the William D. Ford Federal Direct Loan Program, and the Perkins Loan program. For information on
the Pell Grant program, see CRS Report R42446, Federal Pell Grant Program of the Higher Education Act: How the
Program Works and Recent Legislative Changes, by Cassandria Dortch. For information on the William D. Ford
Federal Direct Loan Program, see CRS Report R40122, Federal Student Loans Made Under the Federal Family
Education Loan Program and the William D. Ford Federal Direct Loan Program: Terms and Conditions for
Borrowers, by David P. Smole. For information on the Perkins Loan program, see CRS Report RL31618, Campus-
Based Student Financial Aid Programs Under the Higher Education Act, by Alexandra Hegji and David P Smole.
140 The Consolidated and Further Continuing Appropriations Act, 2015 (P.L. 113-235) authorizes IHEs that maintain
endowment funds supported with funds appropriated for HEA Title III and Title V programs FY2015 to use the income
from the endowment fund to award student scholarships. This provision will remain in effect until Title III and Title V
are reauthorized. Consolidated and Further Continuing Appropriations Act, 2015, Division G, Title III, §310.
141 HEA §371(b)(2)(C)(ii).
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Programs for Minority-Serving Institutions (MSIs) Under the Higher Education Act (HEA)
Title III-A Allotments
Unlike most other Title III-A programs, Title III-A PBI grants are formula-based, such that each
institution that applies and meets the eligibility and application requirements receives a grant.
After an institution has been designated a Section 318(b) eligible institution, it must submit data
relevant to the Title III-A PBI grant formula. The Secretary then reviews these data and allots
funds accordingly among all such institutions. For amounts appropriated for these grants, the
Secretary must allot to each eligible institution submitting formula data a sum
• that bears a ratio equal to 50% of the number of Federal Pell Grant recipients in
attendance at the institution at the end of the preceding academic year to the total
number of Federal Pell Grant recipients “at all such institutions”142 at the end of
the preceding year;
• that bears a ratio equal to 25% of the number of an institution’s graduates for the
academic year to the number of graduates of all such institutions for the
academic year; and
• that bears a ratio equal to 25% of the percentage of graduates from the institution
who are admitted to and in attendance at, not later than two years after graduation
with an associate’s or bachelor’s degree, a bachelor’s degree-granting institution
or a graduate or professional degree program, respectively, in disciplines in
which Black American students are underrepresented to the percentage of all
graduates for all such institutions.143
Notwithstanding the above formula, grants to each eligible PBI must be at least $250,000. If the
amounts appropriated in any fiscal year are insufficient to make these minimum grants, then the
minimum amount is ratably reduced.144 If ED determines that an individual institution’s allotment
for any fiscal year is not needed by that institution, ED may redistribute the unneeded funds to
other PBIs as ED determines appropriate.145
Program Administration
Like other Title III-A programs, there is a two-step award process for the Title III-A formula PBI
program. First, an institution wishing to receive assistance must be designated by ED as an
eligible institution that meets the Section 318(b)(1) eligibility criteria.146 If an institution is
designated as an eligible institution,147 during the second step of the award process, the institution
must demonstrate that it meets the additional criteria of the statutory definition of a PBI and
142 For purposes of the Strengthening PBI formula-based grants under Title III-A, “all such institutions” means all
Strengthening PBIs formula-based grant applicants whose application has been accepted by the Secretary.
143 HEA §318(e).
144 If additional sums become available later in a fiscal year, reduced allotments must be increased on the same basis as
when the allotment was reduced, until the $250,000 minimum grant amount is met.
145 HEA §318(e)(5).
146 ED allows institutions to meet the Section 312(b) and/or the Section 318(b) basis eligibility requirements in a single
application package.
147 In awarding grants under the Title III-A formula PBI program, the Secretary is required to give priority to PBIs with
larger numbers or percentages of needy undergraduate students or Black American students. PBIs with large numbers
or percentages of needy undergraduate students are given twice the level of priority as PBIs with large numbers or
percentages of Black American students. HEA §318(c)(2).
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Programs for Minority-Serving Institutions (MSIs) Under the Higher Education Act (HEA)
submit a proposed project plan to ED. The project plan must contribute to the purposes of the
program, not include unallowable activities, and meet any statutory provisions and regulations. If
approved by the Secretary, the Secretary then makes an allotment to the institution based on the
above-described formula.148 Unlike other Title III-A program participants, PBIs receiving grants
under this section are subject to a two-year wait-out period.149 A grantee must return any grant
funds not expended within 10 years of an award.150
Grants awarded to PBIs under Title III-F are competitive. Of the amounts made available each
year, 25 competitive grants in the amount of $600,000 each are awarded.151 Applicants for the
Title III-F competitive PBI grant must also go through the two-step award process described
above, which includes being designated as an eligible PBI per Section 318(b)(1). Applicants must
then submit a project plan to ED and prove that it meets the additional criteria of the statutory
definition of PBI. However, because Title III-F PBI grants are competitive, project plans are
selected based on the score of a review panel, and the project plans with the highest score are
selected for funding.152
Institutions receiving Title III-A formula PBI grants may not receive grants under other Title III-A
programs, Title III-B (Strengthening HBCU and HBGI programs), Title V-A (HSI program) or the
Howard University program;153 however, generally they may receive a grant under any one type
of the Title III-F programs in the same fiscal year. Institutions cannot receive more than one Title
III-F grant simultaneously. Unlike other Title III-F programs, institutions receiving a Title III-F
competitive PBI grant are specifically prohibited from also receiving a Title III-B or Title V-A
grant in the same fiscal year (see Appendix C).154
Masters Degree Programs at Predominantly Black Institutions
In 2008, the Higher Education Opportunity Act (HEOA; P.L. 110-315) established Masters
Degree Programs at Predominantly Black Institutions (Masters Degrees at PBIs) under Title VII,
Part A, Subpart 4 (Section 724).155 The program’s purpose is to improve graduate education
opportunities at the master’s level in mathematics, engineering, physical or natural sciences,
computer science, information technology, nursing, allied health, or other scientific disciplines for
148 Department of Education, Office of Postsecondary Education, Predominantly Black Institutions Formula Grant
Program: Application for Grants, Fiscal Year 2011, OMB No. 1840-0812, http://www2.ed.gov/programs/pbihea/2011-
031p.pdf.
149 The authorizing language for all other MSI-specific Title III-A programs specifically waives the section 313(d) two-
year wait-out period. The authorizing language for Strengthening PBIs does not waive this wait-out period.
150 HEA §318(h).
151 HEA §371(b)(2)(C)(ii).
152 Department of Education, Office of Postsecondary Education, Application for Grants Under the Predominantly
Black Institutions Program: Fiscal Year 2011, OMB No. 1840-0797, http://www2.ed.gov/programs/pbi/2011-382a.pdf.
153 HEA §§318(b)(1)(F)((iii), 318(i), & 371(c)(9)(F)(iii). Howard University receives annual appropriations to provide
for partial support of construction, development, and maintenance. For additional information on the program, see
Department of Education, Office of Postsecondary Education, “Howard University,” http://www2.ed.gov/programs/
howard/index.html.
154 HEA §371(c)(9).
155 See the section of this report titled “Master’s Degree Programs at Historically Black Colleges and Universities” for a
brief background of both Master’s Degrees at PBIs and Master’s Degrees at HBCUs.
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Programs for Minority-Serving Institutions (MSIs) Under the Higher Education Act (HEA)
Black Americans.156 As of FY2013, the program has not received discretionary appropriations,
but was provided mandatory appropriations annually for FY2009 through FY2014.157
In general, the Masters Degrees at PBIs program operates in the same way as the Masters
Degrees at HBCUs program. This section will discuss elements of the Masters Degrees at PBIs
program and will highlight which provisions of the program differ from the Masters Degrees at
HBCUs program, for all other provisions, see the section of this report titled “Masters Degree
Programs at Historically Black Colleges and Universities.”
Eligibility
Masters Degrees at PBIs program grants, like Masters Degree at HBCUs program grants, are
available to those institutions that have been determined “to be making a substantial contribution
to graduate education opportunities at the master’s level in mathematics, engineering, the physical
or natural sciences, computer science, information technology, nursing, allied health, or other
scientific disciplines for Black Americans.”158 All eligible institutions for this program are
specifically listed in the HEA. Currently, five institutions are eligible for the Masters Degrees at
PBIs program; they are
• Chicago State University;
• Washington Adventist University;159
• Long Island University, Brooklyn campus;
• Robert Morris University, Illinois;160 and
• York College, The City University of New York.161
Also like the Masters Degrees at HBCUs program, grants awarded under this program must be
used to support a graduate school or a qualified master’s degree program.
Authorized Uses
The authorized uses of grants awarded under the Masters Degrees at PBIs program are the same
as the authorized uses of grants awarded under the Masters Degrees at HBCUs program.162
156 HEA §723(a).
157 HEA §897. Under Title VII-A-4, the program is designed to be funded through discretionary appropriations;
however, it has not yet received discretionary appropriations. It has only received mandatory appropriations under Title
VIII.
158 HEA §724(a).
159 Formerly Columbia Union College.
160 Formerly Robert Morris College.
161 HEA §724(b)(1).
162 HEA §724(d).
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Allotments
Masters Degrees at PBIs grants are formula-based and awarded in a manner similar to grants
awarded under the Masters Degrees at HBCUs program. Subject to appropriations, no grant
awarded under the Masters Degrees at PBIs program shall be less than $500,000. If an institution
receives a grant that is greater than $1 million, however, it must provide assurances that 50% of
the cost of a grant project will be paid with nonfederal funds.163
The first $2.5 million (or lesser amount) appropriated is available only to the five institutions
currently listed in Section 724 for the purposes of making the $500,000 minimum grants. If the
amount appropriated is insufficient to pay the minimum grant amount to each institution, then
each institution’s award is ratably reduced. If other institutions are subsequently added to the list
of eligible institutions, they are entitled to the minimum grant amount, unless such funds are not
appropriated. In that case, the five institutions currently listed receive funding priority and
subsequently added institutions’ awards are ratably reduced.164
Any appropriations greater than $2.5 million are available to each of the currently listed five
institutions based on a formula, determined by ED, that uses the same elements as the formula for
the Masters Degrees at HBCUs program. As of FY2014, the appropriation has not exceeded $2.5
million.
Masters Degrees at PBIs also has the same hold harmless rule as Masters Degrees at HBCUs:
notwithstanding the above method to allocate funds, no eligible institution that received a grant
under the program for FY2009 and that is eligible to receive a grant in a subsequent year shall
receive a grant that is less than the amount received in FY2009. However, this hold harmless rule
does not apply if the amount appropriated for a fiscal year is insufficient to provide such grants to
all such institutions or if an institution is unable to provide sufficient matching funds.165
Program Administration
Administration of the Masters Degrees at PBIs program also mirrors the administration of the
Masters Degrees at HBCUs program. The award application process, grant duration, and limit of
one grant per institution per fiscal year are the same. Additionally, an institution that is eligible for
and receives an award under the HBGI, PPOHA, or Masters Degree Programs at HBCUs
programs in a fiscal year is ineligible to receive grants under the Masters Degrees at PBIs
program in the same fiscal year. An institution receiving a Masters Degree Programs at PBIs grant
is not prohibited from also receiving awards under Title III-A, Title III-F, Title V-A, or the Title
III-B Strengthening HBCU program (see Appendix C).
163 HEA §724(a)(2) & (3). If an institution is unable to meet this matching requirement, the Secretary must distribute,
on a pro rata basis, any amounts that the institution cannot use due to its failure to meet the matching requirements to
those institutions that do comply with the matching requirements.
164 HEA §724(f).
165 HEA §724(g).
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Programs for Minority-Serving Institutions (MSIs) Under the Higher Education Act (HEA)
Hispanic-Serving Institutions Programs
Under the Higher Education Amendments of 1992 (P.L. 102-325), Congress created the
Developing Hispanic-Serving Institutions (HSIs) Program under HEA Title III-A. Under the
Higher Education Amendments of 1998 (P.L. 105-244), the Developing HSI program was moved
to its own title, HEA Title V.166 In moving the HSI program to Title V, Congress stated, “[I]n
recognition of the importance of finding new ways of serving our Nation’s rapidly growing
Hispanic community, [Congress] has created a new part within Title V dedicated solely to
supporting the needs of Hispanic-Serving Institutions.” The purpose of the program was and is to
expand educational opportunities for and improve the academic attainment of Hispanic students
and to enhance the institutional stability of institutions that are educating the majority of Hispanic
college students.
Currently, Title V is divided into two parts. Part A contains the HSI program, which provides
grants to HSIs to support and expand educational opportunities for Hispanic students and is
similar to the various HEA Title III-A and III-B MSI programs. Part B contains the Promoting
Postbaccalaureate Opportunities for Hispanic Americans program, which assists in expanding
postbaccalaureate education opportunities for Hispanic students.
Title III-F contains the HSI Science, Technology, Engineering, and Mathematics and Articulation
Program (HSI STEM), which assists in increasing the number of Hispanic and low-income
students attaining degrees in STEM fields and in the development of transfer and articulation
agreements between two-year and four-year institutions in STEM fields. Although HSI STEM is
not part of Title V, grants made under HSI STEM are generally subject to the same requirements
as grants made under the Title V-A HSI program; therefore, Title V-A and Title III-F HSI STEM
will be addressed in the same section of this report. This section of the report will discuss each of
the three HSI programs; for each program, this report will discuss eligibility criteria, authorized
uses, and program administration.
Title V-A: Hispanic Serving Institutions
Section 501 of the HEA establishes the Hispanic Serving Institutions (HSI) program. The purpose
of the program is to expand educational opportunities for Hispanic students and to enhance
academic offerings and institutional stability at HSIs.167 The HSI program has been funded
through annual discretionary appropriations.
Eligibility
To qualify for an HSI program grant, institutions of higher education must meet the HEA Section
312(b) criteria.168 Additionally, an institution must have an enrollment of undergraduate full-time
166 U.S. Congress, Senate Committee on Labor and Human Resources, Higher education Act Amendments of 1998,
report to accompany S. 1882, 105th Cong., 2nd sess., May 4, 1998, S.Rept. 105-181 (Washington: GPO, 1998), p. 79.
167 HEA §501(b).
168 Although HEA §502(2) does not specifically reference HEA §312(b), the eligibility criteria are the same. However,
Section 502 does not specifically include the College of the Marshall Islands, the College of Micronesia/Federated
States of Micronesia, and Palau Community College, which are included in §312(b). Waiver requirements for low
E&G expenditures and needy student enrollment are substantially similar as those of the Title III-A programs;
(continued...)
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Programs for Minority-Serving Institutions (MSIs) Under the Higher Education Act (HEA)
equivalent (FTE) students that is at least 25% Hispanic students at the end of the award year
immediately preceding the date of application for a grant.169 A Hispanic student is one of
Mexican, Puerto Rican, Cuban, Central or South American, or other Spanish culture or origin.170
Branch campuses of institutions of higher education are eligible for the HSI program if the
institution as a whole meets the eligibility requirements, even if the branch campus does not meet
the state authorization or accreditation requirements. Branch campuses must, however,
individually meet the needy student enrollment and low E&G requirements.171
Authorized Uses
HSI program grants are intended to assist institutions in planning, developing, undertaking, and
carrying out programs to improve institutions’ ability to serve Hispanic and low-income students.
Authorized uses of HSI program grants largely mirror the authorized uses of Title III-A SIP
grants. However, HSI program grants are authorized for several additional activities, including
• articulation agreements and student support programs designed to facilitate the
transfer of students from two-year to four-year institutions;
• establishing or enhancing teacher education programs designed to qualify
students to teach in public elementary and secondary schools;
• establishing community outreach programs that encourage elementary and
secondary school students to develop academic skills and the interest to pursue
postsecondary education; and
• expanding the number of Hispanic and other underrepresented graduate and
professional students that can be served by an institution through expanding
institutional resources and courses offered.172
Like the Title III-A programs, HSIs are permitted to use up to 20% of grant funds to establish or
improve an endowment, but they must provide nonfederal matching funds equal to or greater than
the amount of federal funds used. 173
(...continued)
however, the Secretary cannot waive the needy student requirement for HSIs located on or near an Indian reservation or
a substantial population of Indians. The Secretary can grant waivers if it is determined that doing so would substantially
increase the higher education opportunities appropriate to the needs of Hispanic Americans. Finally, waiver
requirements for the low E&G criterion are the same as for Title III-A programs. HEA §522(b).
169 HEA §502(a)(5). Eligible institutions may apply as an individual institution or as part of a cooperative arrangement
with institutions that may or may not be eligible for the HSI program. HEA §524(a).
170 34 C.F.R. §606.7(b).
171 HEA §502(a)(2).
172 HEA §503(b).
173 The Consolidated and Further Continuing Appropriations Act, 2015 (P.L. 113-235) authorizes IHEs that maintain
endowment funds supported with funds appropriated for HEA Title III and Title V programs for FY2015 to use the
income from the endowment fund to award student scholarships. This provision will remain in effect until Title III and
Title V are reauthorized. Consolidated and Further Continuing Appropriations Act, 2015, Division G, Title III, §310.
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Program Administration
As with many of the Title III-A programs, there is a two-step award process for institutions to
receive HSI program grants. First, an institution applies for designation as a Section
312(b)/Section 502 eligible institution. If approved by the Secretary, the institution may then
apply for an HSI program grant. Grants under this program are awarded through a competitive
process. Applications are selected based on the score of a review panel, and the applications with
the highest score are selected for funding.
HSI program grants are five years in length. HSIs that receive grants under this program are not
subject to a wait-out period. Additionally, institutions that receive grants under this program are
prohibited from receiving grants under any Title III-A or Title III-B program for the duration of
its HSI program grant;174 however, they may receive a grant under any one type of the Title III-F
programs in the same fiscal year. Institutions cannot receive more than one Title III-F grant
simultaneously (see Appendix C).
Title III-F: HSI STEM and Articulation Programs
HEA Title III-F authorizes the HSI Science, Technology, Engineering, and Mathematics and
Articulation Program (HSI STEM). This is a competitive grant program funded with annual
mandatory appropriations through FY2019.175
HSIs eligible under the Title V-A HSI program are also eligible for HSI STEM grants. Although
grants can be used for any authorized purpose listed under Title V-A, priority is given to
applicants that propose to (1) increase the number of Hispanic and low-income students attaining
degrees in STEM fields and (2) develop model transfer and articulation agreements between two-
year HSIs and four-year institutions in STEM fields. The administration of the HSI STEM
program generally mirrors that of the Title V-A HSI program.
Title V-B: Promoting Postbaccalaureate Opportunities
for Hispanic Americans
HEA Section 511 establishes the Promoting Postbaccalaureate Opportunities for Hispanic
Americans (PPOHA) program, which was first authorized in 2008 under the Higher Education
Opportunity Act (HEOA; P.L. 110-315). The purpose of the program is to enable HSIs to expand
postbaccalaureate educational opportunities for Hispanic students.176
Since FY2009, PPOHA program grants have been funded through discretionary appropriations
under Title V-B. In FY2009, Congress provided $10 million for PPOHA within the Fund for the
Improvement of Postsecondary Education (FIPSE) appropriation account. Additional mandatory
appropriations were provided annually through for FY2009 through FY2014 under Title VIII-AA,
Section 898.
174 HEA §505.
175 HEA §371(b)(2)(B).
176 HEA §511.
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Eligibility
To qualify for a PPOHA grant, an institution of higher education must meet the same criteria as
for the HSI program, and it must offer a postbaccalaureate certificate or degree-granting
program.177
Authorized Uses
The PPOHA program is intended to expand postbaccalaureate opportunities and academic
offerings for, and improve the academic attainment of, Hispanic and low-income students.
Authorized uses of PPOHA grants include one or more of the following activities:
• the purchase, rental, or lease of scientific or laboratory equipment for educational
purposes;
• the construction, maintenance, renovation, or improvement of classrooms,
libraries, laboratories, and other instructional facilities, including the purchase
and rental of telecommunications equipment or services;
• the purchase of library books, periodicals, technical and scientific journals, and
other educational materials;
• support for faculty exchanges, development, and research;
• curriculum development and academic instruction;
• the creation or improvement of facilities for distance education;
• collaboration with other IHEs to expand postbaccalaureate educational offerings;
• and other activities that serve the purposes of the program and that are approved
by the Secretary.178
Additionally, a PPOHA grant can be used to provide direct financial assistance to Hispanic and
low-income postbaccalaureate students. Types of assistance offered can include scholarships,
assistantships, fellowships, travel expenses for graduate students at professional conferences,
funds for students to conduct research, and other forms of financial assistance. Institutions may
use up to 20% of their PPOHA grant for direct student financial assistance.179
Program Administration
Like the HSI program, there is a two-step award process for institutions to receive PPOHA grants.
First, an institution applies for designation as an eligible institution. If approved by the Secretary,
the institution may then apply for PPOHA program assistance. Grants under the program are
awarded through a competitive process. Applications are selected based on the score of a review
panel, and the applications with the highest score are selected for funding.
177 HEA §513. Eligible institutions may apply as an individual institution or as part of a cooperative arrangement with
institutions that may or may not be eligible for the PPOHA program.
178 HEA §513.
179 Department of Education, Office of Postsecondary Education, “Promoting Postbaccalaureate Opportunities for
Hispanic Americans Program, Frequently Asked Questions,” http://www2.ed.gov/programs/ppoha/faq.html.
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Grant awards provided under this program may not exceed five years in length. ED cannot award
more than one grant under this program to any HSI in a fiscal year,180 and an institution receiving
a PPOHA grant in a fiscal year cannot also receive an HBGI, Masters Degrees at HBCUs, or
Masters Degrees at PBIs program grant in the same fiscal year. An institution receiving a PPOHA
grant is not prohibited from also receiving awards under Title III-A, Title III-F, Title V-A, or the
Title III-B Strengthening HBCU program (see Appendix C).
Additional Programs
Additional programs are available specifically to MSIs under the HEA.181 These programs are not
targeted to a specific type of MSI but, rather, are available to most IHEs with a high concentration
of minority students. Two such programs are the Endowment Challenge Grant and the Minority
Science and Engineering Improvement Program.182
Endowment Challenge Grants
The Endowment Challenge Grant program under HEA Title III-C provides matching grants to
eligible institutions to either establish or increase endowments and to increase self-sufficiency at
such institutions. Eligible institutions are those that are eligible under HEA Title III-A and Title
III-B and institutions of higher education that make substantial contributions to postgraduate
medical educational opportunities for minority and economically disadvantaged students. Grants
under this program may not exceed $1 million, and recipients must provide nonfederal matching
funds equal to the amount of federal funds provided.183 This program has not been funded since
FY1995.
Minority Science and Engineering Improvement Program
The Minority Science and Engineering Improvement Program (MSEIP) was first authorized in
the National Science Foundation Act of 1950 (P.L. 81-507),184 and its administration was
transferred to the Department of Education under HEA Title III-E by the Department of
Education Organization Act of 1979 (P.L. 96-88). In creating the program, Congress had found
180 HEA §514.
181 HEA Title III-E authorizes two additional programs: the Yes Partnerships Grant Program and Promotion of Entry
into STEM Fields. The Yes Partnerships Grant Program authorizes the Secretary to make grants to support the
engagement of underrepresented minority youth in STEM outreach. Promotion of Entry into STEM Fields authorizes
the Secretary to contract with a firm to implement an advertising campaign to encourage youths to enter STEM fields.
Neither program has been implemented; therefore, they are not discussed in detail in this report.
182 HEA Title VI-C authorizes the Institute for International Public Policy (IIPP), which is a program that provides a
single grant to assist a consortium of colleges and universities to establish an institute designated to increase the
representation of minorities in international services. This report does not attempt to describe all HEA programs for
which an MSI may be eligible; rather, it aims to describe those programs that are directed specifically toward one or
more types of MSIs. Thus, because IHEs that are not MSIs may receive IIPP grants, this report does not detail the IIPP.
For more information on IIPP, see U.S. Department of Education, Office of Postsecondary Education, “Institute for
International Public Policy,” http://www2.ed.gov/programs/iegpsiipp/index.html.
183 HEA §331.
184 While under the authority of the National Science Foundation, MSEIP was operated as the Minority Institutions
Science Improvement Program.
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that minority-serving institutions provide important educational opportunities for minority
students, particularly in science and engineering fields, but that such institutions often face
significant limitations in resources and, therefore, lag behind in program offerings and student
enrollment. To counter this, MSEIP was established to provide grant-based assistance to
predominantly minority institutions to effect long-term improvements in science and engineering
education. Additionally, MSEIP is intended to increase the number of underrepresented ethnic
minorities, particularly minority women, in science and engineering careers.185
This section of the report first discusses general MSEIP eligibility criteria and then details the
four types of MSEIP grants. Included in the discussion of each grant type are specific eligibility
criteria, and authorized uses. Finally, this section of the report then discusses how MSEIP as a
whole is administered.
Eligibility
MSEIP grants, generally, are available to a variety of entities, not just institutions of higher
education. However, MSEIP is divided into four categories of grants, each of which is used to
address specific issues in science and engineering educational opportunities for minority students.
Only certain entities that are eligible for MSEIP grants generally are eligible for each specific
type of MSEIP grant, as determined by ED, through regulations.
In general, Section 361 lists the following entities as eligible for MSEIP grants:
• Public and private nonprofit minority-serving institutions of higher
education that either (1) award bachelor’s degrees or (2) award associate’s
degrees and have a curriculum that includes science or engineering subjects and
that enter into partnerships with public or private nonprofit IHEs that award
bachelor’s degrees in science and engineering.
• Nonprofit science-oriented organizations, professional scientific societies,
and bachelor’s degree awarding IHEs, all of which must provide a needed
service to a group of minority-serving institutions or provide in-service training
for project directors, scientists, and engineers from minority-serving institutions.
• Consortia of organizations that provide needed services to one or more
minority-serving institution. Consortia membership may include (1) public and
private nonprofit IHEs that have a science or engineering curriculum; (2) IHEs
that have a graduate or professional program in science or engineering; (3)
research laboratories of or under contract with the Department of Energy, the
Department of Defense, or the National Institutes of Health; (4) relevant offices
of the National Aeronautics and Space Administration, National Oceanic and
Atmospheric Administration, National Science Foundation, and National Institute
of Standards and Technology; (5) quasi-governmental entities that have a
significant scientific or engineering mission; or (6) IHEs with state-sponsored
centers of research in science, technology, engineering, and mathematics
fields.186
185 HEA §§350 & 351.
186 HEA §361.
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For purposes of MSEIP grants, HEA Section 365 defines a minority-serving institution as an IHE
with an enrollment of a single minority, or a combination of minorities, that exceeds 50% of the
total enrollment. The definition of minority includes American Indian, Alaskan Native, Black (not
of Hispanic origin), Hispanic (including persons of Mexican, Puerto Rican, Cuban, and Central or
South American origin), Pacific Islander, or another ethnic group that is underrepresented in
science and engineering.187
Although each of the above types of entities is eligible for MSEIP grants generally, ED has set
regulations that direct which entities are eligible for specific types of MSEIP grants.
Grant Types
MSEIP is broken into four different grant types, each of which is intended to serve specific
objectives. The four grant types are: institutional grants, cooperative grants, design project grants,
and special project grants.
Institutional Grants
Institutional grants are awarded for projects that support the implementation of a comprehensive
science improvement plan. Such plans may include any combination of activities for improving
the preparation of minority students for careers in sciences.188 Specifically authorized uses for
institutional grants include, but are not limited to, faculty development programs and the
development of curriculum materials.189
ED has determined that eligibility for institutional grants is limited to public and private nonprofit
minority-serving institutions or higher education.190
Cooperative Grants
Cooperative grants are awarded for projects that assist groups of public and private nonprofit
accredited IHEs to work together to conduct a science improvement project.191 Specifically
authorized uses for cooperative grants include, but are not limited to
• assisting institutions in sharing facilities and personnel;
• disseminating information about established programs in science and
engineering;
• supporting cooperative efforts to strengthen the institution’s science and
engineering programs; and
187 HEA §354(2) & (3). “Underrepresented in science and engineering” is defined as a minority group “whose number
of scientists and engineers per 10,000 population of that group is substantially below the comparable figure for
scientists and engineers who are white and not of Hispanic origin.” HEA §365(5).
188 HEA §365(6).
189 HEA §353(b)(1).
190 Department of Education, “Applications for New Awards; Minority Science and Engineering Improvement
Program,” 78 Federal Register 19470, April 1, 2013.
191 HEA §365(7).
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• carrying out a combination of the above listed activities.192
ED regulations limit cooperative grant eligibility to groups of nonprofit accredited colleges and
universities. The primary fiscal agent of each group must be an eligible minority-serving
institution, as defined in Section 365.193
Design Project Grants
Design project grants are awarded for projects that “assist minority institutions that do not have
their own appropriate resources or personnel to plan and develop long-range science
improvement programs.”194 Specifically authorized uses for design project grants include, but are
not limited to, developing planning, management, and evaluation systems or developing plans for
initiating scientific research and for improving an institution’s capacity for scientific research.
Funds for design project grants may be used to pay the salaries of faculty involved in a project;
however, not more than 50% of the funds can be used during any academic year for such
purposes.195
ED regulations do not limit eligibility for design project grants beyond statute; therefore, unless
otherwise determined by ED, design project grants are available to all MSEIP-eligible entities
listed under HEA Section 361.
Special Project Grants
There are two types of special project grants. The first is available only to minority-serving
institutions of higher education. Grants must support activities that either improve the quality of
training in science and engineering or enhance research capabilities at minority-serving
institutions.
The second type of special project grant available is for any MSEIP-eligible entity. These grants
must either provide a needed service to a group of minority-serving institutions or provide
training for project directors, scientists, and engineers from minority-serving institutions.196
Authorized uses for either type of special project grant include, but are not limited to
• advanced science seminars;
• science faculty workshops and conferences;
• faculty training to develop science research or education skills;
• science education research;
• programs for visiting scientists;
• preparation of films or audio-visual materials in science;
192 HEA §353(b)(2).
193 Not all members of the group must be eligible minority institutions. 34 C.F.R. §637.15(c).
194 HEA §365(8).
195 HEA §353(b)(3).
196 HEA §365(9).
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• development of learning experiences in science beyond those normally available
to minority institutions;
• development of pre-college enrichment activities in sciences; or
• other activities that address barriers to the entry of minorities into science.197
Program Administration
Like many of the HEA Title III-A and III-B grant programs, all types of MSEIP grants are
competitively awarded. MSEIP funding is provided through annual discretionary appropriations.
Unlike many other HEA Title III grant programs, the MSEIP award process consists of a single
step. To apply, applicants must submit a proposed project plan for the relevant MSEIP grant.198
Applications are selected based on the score of a review panel, and the applications with the
highest score are selected for funding.
In awarding grants, ED is required to give priority to applicants who have not previously received
funding under MSEIP and to previous grantees with a proven record of success. ED can also give
priority to applicants that contribute to achieving balance across geographic regions, academic
disciplines, and project types among all projects that are funded.199
197 HEA §353(b)(4).
198 Although MSEIP has a one-step application process, IHEs applying for funds must provide documentation of
minority enrollment as part of their application package.
199 HEA §352(b).
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Appendix A. List of Acronyms
The following is a list of acronyms that have been used throughout this report.
AANAPISI
Asian American and Native American Pacific Islander-Serving Institution
ANNH
Alaska Native and Native Hawaiian-Serving Institution
HBCU
Historically Black Col eges and Universities
HBGI
Historically Black Graduate Institution
HSI
Hispanic-Serving Institution
MSEIP
Minority Science and Engineering Improvement Program
NASNTI
Native American-Serving, Nontribal Institution
PBI
Predominantly Black Institution
PPOHA
Promoting Postbaccalaureate Opportunities for Hispanic Americans
SIP
Strengthening Institutions Program
STEM
Science, Technology, Engineering, and Mathematics
TCCU
American Indian Tribally Controlled Colleges and Universities
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Appendix B. Appropriations for
Selected HEA-Authorized MSI Programs
Table B-1 of this appendix lists the authorizations and discretionary and mandatory
appropriations for selected HEA-authorized MSI programs, from FY2011 to FY2015.
Table B-1. Discretionary and Mandatory Appropriations for Selected HEA-
Authorized MSI Programs, FY2011 to FY2015
(dollars in thousands)
Fiscal Year
Auth.
Disc./Mand.a
Program
Section
(D/M)
2011 2012 2013b 2014 2015
§399 Dc
83,832 80,623 76,406 79,139 79,139
SIP
— M
— — — — —
Strengthening
§399 Dc
26,820 25,713 24,368 25,239 26,662
TCCUs
§371 Md
30,000 30,000 28,470 27,840 27,810
§399 Dc
13,412 12,859 12,186 12,622 12,833
Strengthening
ANNHs
§371 Md
15,000 15,000 14,235 13,920 13,905
Strengthening
§399 Dc
9,602 9,262 8,778 9,092 9,244
PBIs
§371 Md
15,000 15,000 14,235 13,920 13,905
Strengthening
§399 Dc
3,199 3,199 2,956 3,062 3,113
NASNTIs
§371 Md
5,000 5,000 4,745 4,640 4,635
Strengthening
§399 Dc
3,199 3,119 2,956 3,062 3,113
AANAPISIs
§371 Md
5,000 5,000 4,745 4,640 4,635
Strengthening
§399 Dc
236,991 227,980 216,056 223,783 227,524
HBCUs
§371
M
85,000 85,000 80,665 78,880 78,795
Strengthening
§399 Dc
61,302 58,958 55,874 57,872 58,840
HBGIs
— M
— — — — —
§399 Dc
9,484 9,466 8,971 8,971 8,971
MSEIP
— M
— — — — —
Developing
§528 Dc 104,395
100,432
95,179
98,583
100,231
HSIs
— M
— — — — —
— D
— — — — —
HSI STEM and
Articulation
§371 Md 100,000
100,000
94,900
92,800
92,700
§528 Dc
9,336 9,011 8,540 8,845 8,992
PPOHAs
§898
M
11,500 11,500 10,914 10,672
0e
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Fiscal Year
Auth.
Disc./Mand.a
Program
Section
(D/M)
2011 2012 2013b 2014 2015
Masters
§725 Dc
0 0 0 0 0
Degrees at
HBCUs and
§897
M
11,500 11,500 10,914 10,672
0e
PBIsf
Source: Compiled by CRS from U.S. Department of Education, Budget Tables for various years,
http://www2.ed.gov/about/overview/budget/tables.html?src=ct.
a. “D” indicates discretionary funding; “M” indicates mandatory funding.
b. FY2013 appropriations reflect the final amount appropriated, including the spending reduction authorized by
the Budget Control Act of 2011 (BCA; P.L. 112-25), commonly referred to as “sequestration.”
c. Authorization for appropriations expired at the end of FY2014. Section 422 of the General Education
Provisions Act extended authorization of appropriations through FY2015.
d. Authorized through FY2019.
e. Authorization for appropriations expired at the end of FY2014. Section 422 of the General Education
Provisions Act extended authorization of appropriations through FY2015, but Congress did not appropriate
funds for this program for FY2015.
f.
Although Masters Degrees at HBCUs and Masters Degrees at PBIs are administered by ED as separate
programs, they are grouped together within the Department of Education’s budget for budgetary purposes;
therefore, no separate appropriations for the individual programs are listed.
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Appendix C. HEA Programs for Which Institutions
Currently Receiving MSI Grants are Eligible
Table C-1 provides a matrix detailing the HEA-authorized MSI programs for which an institution
is eligible, if that institution is already receiving a grant under another HEA-authorized MSI
program. To read this matrix, locate the program from which an institution is receiving funding
under the column labeled “If Receiving.” In that program’s corresponding row, an “x” is marked
in the relevant columns to indicate the programs for which such an institution is ineligible. For
instance, if an institution is receiving a SIP grant, it is ineligible to receive a TCCU III-A grant, an
ANNHSI III-A grant, and so forth.
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Table C-1. Programs for Which MSIs are Eligible, by Grant Received
Then Ineligible From Also Receiving
Masters
Masters
TCCU TCCU ANNHSI ANNHSI NASNTI NASNTI AANAPISI AANAPISI PBI
PBI HBCU HBGI HSI
HSI
Degrees at Degrees
If R ec eivi n g SIP
III-A
III-F
III-A
III-F
III-A
III-F
III-A
III-F
III-A III-F
III-B
III-B
V-A STEM PPOHA
HBCUs
at PBIs
SIPa
X
X X X
X
X
—
X
TCCU III-Ab
X
X X X
X
X
X
X
TCCU III-F
X X X
X
X
ANNHSI III-
X
X
X X
X
X
X
X
A
ANNHSI III-
X
X
X
X
X
F
NASNTI III-
X
X
X X
X
X
X
X
A
NASNTI III-F
X X
X
X
X
AANAPISI
X X
X
X
X X X X X
III-A
ANNAPISI
X X X
X
X
III-F
PBI III-A
X
X
X X X
X
X
X
PBI III-F
X
X X X
X
X
X
X
HBCU III-B
X
X
X X X
X
X
X
HBGI III-B
X
X X X X
X
X
X X X
HSI V-A
X
X
X X X
X
X
X
HSI STEM
X X X
X
X
III-F
PPOHA
X
X
X X
CRS-51
Then Ineligible From Also Receiving
Masters
Masters
TCCU TCCU ANNHSI ANNHSI NASNTI NASNTI AANAPISI AANAPISI PBI
PBI HBCU HBGI HSI
HSI
Degrees at Degrees
If R ec eivi n g SIP
III-A
III-F
III-A
III-F
III-A
III-F
III-A
III-F
III-A III-F
III-B
III-B
V-A STEM PPOHA
HBCUs
at PBIs
Masters
X
X X
Degrees at
HBCUs
Masters
X
X X
Degrees at
PBIs
Source: CRS analysis of statutes, regulations, and published Department of Education policy.
a. Generally, institutions are ineligible to receive more than one grant from the same program in any fiscal year. For instance, an institution receiving a Title III-A
Strengthening ANNHSI grant in FY2014 cannot receive a second Title III-A Strengthening ANNHSI grant in that fiscal year.
b. Generally, institutions are only allowed to receive one Title III-A grant; however, under the Strengthening TCCU program, an institution could receive both a one-
year Strengthening TCCU construction grant and also a grant based on the Strengthening TCCU formula; however, an institution can only receive one Title III-A
TCCU formula grant in a fiscal year.
CRS-52
Programs for Minority-Serving Institutions (MSIs) Under the Higher Education Act (HEA)
Author Contact Information
Alexandra Hegji
Analyst in Social Policy
adhegji@crs.loc.gov, 7-8384
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