Certification and Agreement for Supplemental Assistance to Institutions of Higher Education (ALN 84.425S)
Summary
This is a Certification and Agreement (ALN 84.425S) for the Supplemental Assistance to Institutions of Higher Education (SAIHE) Program under the Coronavirus Response and Relief Supplemental Appropriations Act, 2021 (CRRSAA). It states that the terms govern an institution's use of grant funds awarded under section 314(a)(3) of the CRRSAA by the U.S. Department of Education. It lists Absolute Priorities 1 through 7, several of which require at least 50 percent of funds for financial aid grants to students, and says Priorities 6 and 7 allow funds only for financial aid grants to students. It also lists uses of grant funds, prohibited uses such as marketing or recruitment and stock buybacks, and grant administration terms, including a requirement to liquidate drawn funds within 3 calendar days.
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Cite this document
“Certification and Agreement for Supplemental Assistance to Institutions of Higher Education (ALN 84.425S).”
Original at www.ed.gov. Archived at Pandemic Darlings, https://pandemicdarlings.com/source-documents/department-of-education-certification-agreement-www-ed-gov-7b9fe56afe/
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Supplemental Assistance to Institutions of Higher Education – Page 1
Coronavirus Response and Relief Supplemental Appropriations Act, 2021
Certification and Agreement (ALN 84.425S)
SUPPLEMENTAL ASSISTANCE TO INSTITUTIONS OF HIGHER EDUCATION
(SAIHE) PROGRAM
The terms, conditions, and requirements governing your institution’s (Recipient’s) use of these
grant funds awarded pursuant to section 314(a)(3) of the Coronavirus Response and Relief
Supplemental Appropriations Act, 2021 (CRRSAA) (div. M of Pub. L. 116-260) (award or
grant) by the U.S. Department of Education (Department) are governed by section 314 of the
CRRSAA and the following terms and conditions of this Certification and Agreement (C&A):
Specific Uses of (a)(3) Funds:
1. Institutions receiving funds under the Notice Inviting Applications (NIA) for the SAIHE
program as a part of the Higher Education Emergency Relief Fund (HEERF) must, in
expending those funds, meet the following requirements:
Absolute Priority 1: Institutions receiving CRRSAA section 314(a)(3) funds under this
priority must use such funds to defray expenses associated with the coronavirus; carry
out student support services authorized by the Higher Education Act of 1965, as
amended (HEA) that address needs related to the coronavirus; and provide financial aid
grants to students consistent with CRRSAA section 314(c).
Absolute Priority 2: Institutions receiving CRRSAA section 314(a)(3) funds under this
priority:
• That received a Coronavirus Aid, Relief, and Economic Security (CARES) Act
section 18004(a)(1) award must allocate at least the amount they received under
Assistance Listing Number (ALN) 84.425E under CARES for financial aid
grants to students.
• That did not receive an award under CARES Act section 18004(a)(1) must use at
least 50 percent of the funds received for financial aid grants to students.
Absolute Priority 3: Institutions receiving CRRSAA section 314(a)(3) funds under this
priority that did not receive CARES Act section 18004(a)(1) funding under either the
student or institutional portions must expend their SAIHE funds in the same manner as
required under CARES Act section 18004(a)(1). Therefore, if the institution is applying
for funds under this priority because it did not receive funding under both the student
and institution portion in 18004(a)(1) then the institution must use at least 50 percent of
funds for financial aid grants to students.
Absolute Priority 4: Institutions receiving CRRSAA section 314(a)(3) funds under this
priority must use such funds to defray expenses associated with the coronavirus; carry
out student support services authorized by the HEA that address needs related to the
coronavirus; and provide financial aid grants to students consistent with CRRSAA
Supplemental Assistance to Institutions of Higher Education – Page 2
section 314(c).
Absolute Priority 5: Institutions receiving funds under this priority must use at least 50
percent of funds for financial aid grants to students.
Absolute Priorities 6 and 7: Institutions receiving funds under Absolute Priority 6 or 7
may only use funds for financial aid grants to students.
Use of Grant Funds:
2. Unless noted otherwise in this agreement, in accordance with section 314(c) of the
CRRSAA, Recipient may use these grant funds for Recipient’s Institutional Costs to
defray expenses associated with coronavirus (including lost revenue, reimbursement for
expenses already incurred, technology costs associated with a transition to distance
education, faculty and staff trainings, and payroll); carry out student support activities
authorized by the HEA that address needs related to coronavirus; and make additional
financial grants to students, which may be used for any component of the student’s cost
of attendance or for emergency costs that arise due to coronavirus, such as tuition, food,
housing, health care (including mental health care), or child care.
3. Recipient acknowledges that no grant funds may be used to fund contractors for the
provision of pre-enrollment recruitment activities; marketing or recruitment;
endowments; capital outlays associated with facilities related to athletics, sectarian
instruction, or religious worship; senior administrator or executive salaries, benefits,
bonuses, contracts, incentives; stock buybacks, shareholder dividends, capital
distributions, and stock options; or any other cash or other benefit for a senior
administrator or executive.
4. The Secretary urges Recipient to devote the maximum amount of funds possible to
financial aid grants to students, including some or all of the funds allocated for
Recipient’s Institutional Costs. The Secretary urges Recipient to take strong measures to
ensure that financial aid grants to students are made to the maximum extent possible.
Grant Administration:
5. Recipient acknowledges that consistent with 2 CFR § 200.305, it must minimize the
time between drawing down funds from G5 and paying incurred obligations
(liquidation). Recipient further acknowledges that if it draws down funds and does not
pay the incurred obligations (liquidates) within 3 calendar days, it may be subject to
heightened scrutiny by the Department, Recipient’s auditors, and/or the Department’s
Office of Inspector General (OIG). Recipient further acknowledges that returning funds
pursuant to mistakes in drawing down excessive grant funds in advance of need may
also be subject to heightened scrutiny by the Department, Recipient’s auditors, and/or
the Department’s OIG. Finally, Recipient acknowledges that it must maintain drawn
down grant funds in an interest-bearing account, and any interest earned on all Federal
grant funds above $500 (all Federal grants together) during an institution’s fiscal year
Supplemental Assistance to Institutions of Higher Education – Page 3
must be returned (remitted) to the Federal government via a process described here:
https://www2.ed.gov/documents/funding-101/g5-returning-interest.pdf.
6. Recipient may charge indirect costs to funds made available under this award consistent
with its negotiated indirect cost rate agreement, with the exception of any portion of its
award reserved for financial aid grants to students. If Recipient does not have a current
negotiated indirect cost rate with its cognizant agency for indirect costs, it may
appropriately charge the de minimis rate of ten percent of Modified Total Direct Costs
(MTDC). Recipient may also charge reasonable direct administrative costs to funds
made available under this award, with the exception of any portion of its award reserved
for financial aid grants to students.
7. Recipient acknowledges that any obligation under this grant (pre-award costs pursuant
to 2 CFR § 200.458) must have been incurred on or after March 13, 2020, the date of the
declaration of the national emergency.
8. Recipient must promptly and to the greatest extent practicable expend all grant funds
from this award within the one-year period of performance (2 CFR § 200.77) specified
in Box 6 of this Grant Award Notification (GAN).
9. Recipient must, to the greatest extent practicable, continue to pay its employees and
contractors during the period of any disruptions or closures related to coronavirus
pursuant to section 315 of the CRRSAA.
Reporting and Accountability:
10. Recipient must promptly and timely report to the Department on the use of funds no
later than 6 months after the date of this award in a manner to be specified by the
Secretary pursuant to section 314(e) of the CRRSAA. Recipient must also promptly and
timely provide a detailed accounting of the use of funds provided by this award in such
manner and with such subsequent frequency as the Secretary may require. Recipient will
comply with any other applicable reporting requirements including those in Section
15011(b)(2) of Division B of the CARES Act. Recipient acknowledges the Department
may require additional or more frequent reporting to be specified by the Secretary.
11. Recipient must comply with all requirements of the Single Audit Act Amendments of
1996, 31 U.S.C. § 7501, et seq. (Single Audit Act) and all applicable auditing standards.
Considering that the HEERF grant program is a new program not previously audited or
subjected to Department oversight, and the inherent risk that comes with a new program,
the Department strongly suggests that the HEERF grant program be audited as a major
program in the first fiscal year(s) that the institution received a HEERF grant.
12. Recipient acknowledges it is under a continuing affirmative duty to inform the
Department if Recipient is to close or terminate operations as an institution or merge
with another institution. In such cases, Recipient must promptly notify in writing the
assigned education program officer contact in Box 3. Additionally, Recipient must
Supplemental Assistance to Institutions of Higher Education – Page 4
promptly notify the assigned education program officer if the Recipient’s Authorized
Representative changes.
13. Recipient must cooperate with any examination of records with respect to the advanced
funds by making records and authorized individuals available when requested, whether
by (i) the Department and/or its OIG; or (ii) any other Federal agency, commission, or
department in the lawful exercise of its jurisdiction and authority. Recipient must retain
all financial records, supporting documents, statistical records, and all other non-Federal
entity records pertinent to a Federal award for a period of three years from the date of
submission of the final expenditure report pursuant to 2 CFR § 200.334.
14. Recipient acknowledges that failure to comply with this Certification and Agreement, its
terms and conditions, and/or all relevant provisions and requirements of the CRRSAA or
any other applicable law may result in Recipient’s liability under the False Claims Act,
31 U.S.C. § 3729, et seq.; OMB Guidelines to Agencies on Governmentwide Debarment
and Suspension (Nonprocurement) in 2 CFR part 180, as adopted and amended as
regulations of the Department in 2 CFR part 3485; 18 U.S.C. § 1001, as appropriate; and
all of the laws and regulations referenced in the “Applicable Law” section of this
Certification and Agreement, below.
Applicable Law:
15. Recipient must comply with all applicable assurances in OMB Standard Forms (SF) SF-
424B and SF-424D (Assurances for Non-Construction and Assurances for Construction
Programs), including the assurances relating to the legal authority to apply for
assistance; access to records; conflict of interest; nondiscrimination; Hatch Act
provisions; labor standards; Single Audit Act; and the general agreement to comply with
all applicable Federal laws, executive orders, and regulations.
16. Recipient certifies that with respect to the certification regarding lobbying in
Department Form 80-0013, no Federal appropriated funds have been paid or will be paid
to any person for influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with the making or supplementing of Federal grants
under this program; Recipient must complete and submit Standard Form-LLL,
“Disclosure Form to Report Lobbying,” when required (34 CFR part 82, Appendix B).
17. Recipient must comply with the provisions of all applicable acts, regulations and
assurances; the following provisions of Education Department General Administrative
Regulations (EDGAR) 34 CFR parts 75, 77, 81, 82, 84, 86, 97, 98, and 99; the OMB
Guidelines to Agencies on Governmentwide Debarment and Suspension
(Nonprocurement) in 2 CFR part 180, as adopted and amended as regulations of the
Department in 2 CFR part 3485; and the Uniform Administrative Requirements, Cost
Principles, and Audit Requirements for Federal Awards in 2 CFR part 200, as adopted
and amended as regulations of the Department in 2 CFR part 3474.
Supplemental Assistance to Institutions of Higher Education – Page 5
Institution Name:
Authorized Representative (typed name):
Authorized Representative Title:
DUNS Number:
OPEID:
Date:
Paperwork Burden Statement
According to the Paperwork Reduction Act of 1995, no persons are required to respond to a
collection of information unless such collection displays a valid OMB control number. The valid
OMB control number for this information collection is 1840-0853. Public reporting burden for
this collection of information is estimated to average 3 hours per response, including time for
reviewing instructions, searching existing data sources, gathering, and maintaining the data
needed, and completing and reviewing the collection of information. The obligation to respond
to this collection is required to obtain or retain benefit (Section 314(a)(3) of the Coronavirus
Response and Relief Supplemental Appropriations Act, 2021 (div M. of Pub. L. 116-260)). If
you have any comments concerning the accuracy of the time estimate, suggestions for improving
this individual collection, or if you have comments or concerns regarding the status of your
individual form, application, or survey, please contact Karen Epps, 400 Maryland Avenue, SW,
Washington, D.C. 20202 directly.
OMB Number: 1840-0853
Expiration Date: 09/30/2021
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