TCCU Application Package

U.S. DEPARTMENT OF EDUCATION

OFFICE OF POSTSECONDARY EDUCATION

WASHINGTON, DC 20006-8513

Fiscal Year 2010

APPLICATION FOR GRANTS

AMERICAN INDIAN TRIBALLY CONTROLLED COLLEGES AND UNIVERSITIES PROGRAM

CFDA 84.031T

CLOSING DATE:

OMB No. 1840-NEW

Expiration Date XXXXXXXX

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-NEW. The time required to complete this information collection is estimated to vary from 8 to 12 hours per response, with an average of 40 hours per response, including the time to review instructions, search existing data sources, gather the data needed, and complete and review the information collection. If you have any comments concerning the accuracy of the time estimate(s) or suggestions for improving this form, please write to: U.S. Department of Education, Washington, DC 20202-4651. If you have comments or concerns regarding the status of your individual submission of this form, write directly to (Institutional Development and Undergraduate Education Service), U.S. Department of Education, 400 Maryland Avenue, S.W., Washington, DC 20202.

TABLE OF CONTENTS

Dear Applicant Letter 1

Competition Highlights 3

Overview of Program 5

Statute 9

Instructions for Completing/Transmitting the Application 11-12

Standard Forms, Certifications and Surveys

Required Information Form 13

Profile Data Collection Form (Profile Form) 14-15

Application for Federal Assistance (SF-424) 16-19

ED Supplement to the SF 424 20

Assurances-Non-Construction Programs (424B) 21-22

Department of Education Budget Summary Form 524 23-25

Certification Regarding Lobbying 26

Disclosure of Lobbying Activities (SF LLL) 27

Survey on Ensuring Equal Opportunity for Applicants 28

Executive Order 12372: Intergovernmental Review 29

General Education Provision Act (GEPA) 30

Government Performance and Results Act (GPRA) 31-32

Application Checklist 33

Dear Applicant:

The American IndianTribally Controlled Colleges and Universities (TCCU) Program has been designated as discretionary grant based on a formula based grant program for fiscal year (FY) 2010. Each institution is requested to provide student data on enrollment of Indian students and their credit hours. The five year development grant will be awarded based on a program formula, and the construction component may be considered as an activity within the development grant.

All grant applications for this funding opportunity must first apply for and receive FY 2010 Designation as an Eligible Institution. Any applicant failing to apply for eligibility or failing to provide student data on credit hours will not have their application entered in the formula process.

Institutional Development and Undergraduate Education Service (IDUES) invites you to submit your institution’s Profile Data Collection Form (Profile Form) to collect your institution’s data under the TCCU Program authorized under Title III, Part A of the Higher Education Act of 1965, as amended. This package contains the Profile Form and instructions. The deadline date for submission of the Profile Form is_________.

In the Department of Education’s (the Department) attempt to ensure equity and consistency in the TCCU institutional data that you are required to submit, it is of the utmost importance that the data are verifiable. The profile data submitted must cover academic years 2009-2010 for the number of credit hours for those Indian students.

The receipt of your institution’s data by the deadline date is critical because each award is determined based on the information provided by all participating institutions. That is, no single award can be calculated until all eligible institutions have responded. The Department trusts that you will understand the importance of meeting the_________, due date.

The application information required for the TCCU Program data collection must be e-mailed to the following address: [email protected] or faxed to 202-502-7861.

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Page 2 – Dear Applicant

If you need additional information or assistance after reviewing the Profile Form and instructions, please contact your assigned ED Program officer, Ms. Allison Brown at 202-502-7611 or email her at [email protected].

Sincerely,

Alan J. Schiff

Acting Deputy Assistant Secretary for

Higher Education Programs

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COMPETITION HIGHLIGHTS

1. Each Tribally Controlled College or University (TCCU) seeking to be included in the formula funding for FY 2010 must have first applied for and have been determined eligible for the program. Section 316(d)(1) of the Higher Education Opportunity Act sates that “To be eligible to receive assistance under this section, a Tribal College or University shall be an eligible institution under section 312(b). Section 312 (b) are the requirements for designation as an eligible institution.

2. Each TCCU must complete and submit the Profile Data Collection Form, a one Page Abstract, Budget Narrative, Project Narrative, Required Information Form, assurances, and Certification Forms.

3. Each TCCU that applies for and receives designation of eligibility AND submits relevant Indian Student count and credit hours data will be included in the formula run.

4. Appropriated funds will be distributed among the eligible Tribal Colleges and Universities on a pro rata basis based on the respective Indian student counts (as defined in section 2(a) of the Tribally Controlled Colleges and Universities Assistance Act of 1978 (25 U.S.C. 1801 (a)) of the Tribal Colleges and Universities. No grant may be less than $500,000.

5. The Department’s appropriations bill included legislation permitting the Department to award a grant to eligible TCCUs, in cases where a school is due to receive an NCC award, an amount that is not less than the amount the institution would have received as their non-competing continuation award. In other words, the formula must be calculated and the institution must receive the greater of the two amounts (their NCC award or the amount they are entitled to under the formula). TCCUs with open grants are required to spend the funds in accordance with the terms of their already approved multi-year grant.

6. There will not be a competition this year for construction grants. However, construction is now an allowable activity within the development grant.

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7. Applicants are asked to carefully read question #4 on the Profile Data Collection Form and, if applicable, to check the box or place an X next to the box certifying that they will comply with the statutory requirements and program assurances (regarding endowments) cited in the program regulations.

8. The application package must be e-mail to Allison Brown at [email protected] or faxed to 202-502-7861.

9. Please note that you must submit your student data by dates specified by the Department. Late formula data will not be accepted. The Department is required to enforce the established deadline to ensure fairness to all applicants.

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THE AMERICAN INDIAN TRIBALLY CONTROLLED COLLEGES AND UNIVERSITIES PROGRAM

AUTHORIZING LEGISLATION

The TCCU Program is authorized under Title III, Part A, Section 316 of the Higher Education Act of 1965, as amended.

APPLICABLE REQULATIONS

Education Department Administrative General Administrative Regulations (EDGAR), Parts 74, 75, 77, 79 and 80.

PURPOSE

The purpose of the Tribally Controlled Colleges and Universities Program is to provide grants and related assistance to Indian Tribal Colleges and Universities to enable such institutions to improve and expand their capacity to serve Indian Students.

ELIGIBILITY

Tribal Institutions of Higher Education

AUTHORIZED ACTIVITIES

Grant funds may be used for the following activities;

(1) Faculty exchanges, faculty fellowships, and faculty development that provide faculty with the skills and knowledge needed to—

(i) Develop academic support services, including advising and mentoring students;

(ii) Develop academic programs or methodology, including computer-assisted instruction, that strengthen the academic quality of the institution; or

(iii) Acquire terminal degrees that are required to obtain or retain accreditation of an academic program or department;

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(2) Funds and administrative management that will improve the institution's ability to—

(i) Manage financial resources in an efficient and effective manner; and

(ii) Collect, access, and use information about the institution's operations for improved decision making;

(3) Developing and improving academic programs that enable the institution to—

(i) Develop new academic programs or new program options that show promise for increased student enrollment;

(ii) Provide new technology or methodology to increase student success and retention or to retain accreditation; or

(iii) Improve curriculum or methodology for existing academic programs to stabilize or increase student enrollment;

(4) Acquiring equipment for use in strengthening management and academic programs to achieve objectives such as those described in paragraphs (b)(2) and (b)(3) of this section;

(5) Establishing or increasing the joint use of facilities such as libraries and laboratories to—

(i) Eliminate the distance and high cost associated with providing academic programs and academic support; or

(ii) Provide clinical experience that is part of an approved academic program at off-campus locations;

(6) Developing or improving student services to provide—

(i) New or improved methods to deliver student services, including counseling, tutoring, and instruction in basic skills; or

(ii) Improved strategies to train student services personnel;

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(7) Payment of any portion of the salary of a dean, with proper justification, to fill a position under the project such as project coordinator or activity director. For purposes of this paragraph, proper justification includes evidence that the position entitled “Dean” is not one that has college-wide administrative authority and responsibility;

(8) Purchase, rental, or lease of scientific or laboratory equipment for educational purposes, including instructional and research purposes;

(9) Construction, maintenance, renovation, and improvement in classrooms, libraries, laboratories, and other instructional facilities, including the integration of computer technology into institutional facilities to create smart buildings;

(10) Establishing or improving a development office to strengthen or improve contributions from alumni and the private sector;

(11) Establishing or improving an endowment fund, provided a grantee uses no more than 20 percent of its grant funds for this purpose and at least matches those grant funds with non-Federal funds;

(12) Creating or improving facilities for Internet or other distance learning academic instruction capabilities, including purchase or rental of telecommunications technology equipment or services;

(13) For grants authorized under section 316 of the HEA to tribal colleges or universities—

(i) Purchase, rental, or lease of scientific or laboratory equipment for educational purposes, including instructional and research purposes;

(ii) Construction, maintenance, renovation, and improvement in classroom, library, laboratory, and other instructional facilities, including purchase or rental of telecommunications technology equipment or services;

(iii) Support of faculty exchanges, faculty development, and faculty fellowships to assist in attaining advanced degrees in their field of instruction;

(iv) Curriculum development and academic instruction;

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(v) Purchase of library books, periodicals, microfilm, and other educational materials, including telecommunications program materials;

(vi) Funds and administrative management, and acquisition of equipment for use in strengthening funds management;

(vii) Joint use of facilities such as laboratories and libraries; and

(viii) Academic tutoring and counseling programs and student support services designed to improve academic services;

(ix) Academic instruction in disciplines in which Indians are underrepresented;

(x) Establishing or improving a development office to strengthen or improve contributions from the alumni and the private sector;

(xi) Establishing or enhancing a program of teacher education designed to qualify students to teach in elementary schools or secondary schools, with a particular emphasis on teaching Indian children and youth, that shall include, as part of such program, preparation for teacher certification;

(xii) Establishing community outreach programs that encourage Indian elementary school and secondary school students to develop the academic skills and the interest to pursue postsecondary education; and

(xiii) Establishing or improving an endowment fund, provided a grantee uses no more than 20 percent of its grant funds for this purpose and at least matches those grant funds with non-Federal funds.

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PROGRAM STATUTE

Sec. 316 AMERICAN INDIAN TRIBALLY CONTROLLED COLLEGES AND UNIVERSITIES.

(a) PROGRAM AUTHORIZED. -- The Secretary shall provide grants and related assistance to Indian Tribal Colleges and Universities to enable such institutions to improve and expand their capacity to serve Indian students.

(b) DEFINITIONS. – In this section:

(1) INDIAN. -- The term “Indian” has the meaning given the term in section 2 of the Tribally Controlled College or University Assistance Act of 1978.

(2) INDIAN TRIBE. -- The term “Indian tribe” has the meaning given the term in section 2 of the Tribally Controlled College or University Assistance Act of 1978.

(3) TRIBAL COLLEGE OR UNIVERSITY. -- The term “Tribal College or University” has the meaning give the term “tribally controlled college or university” in section 2 of the Tribally Controlled College or University Assistance Act of 1978, and includes an institution listed in the Equity in Educational Land Grant Status Act of 1994.

(4) INSTITUTION OF HIGHER EDUCATION.--The term “institution of higher education” means an institution of higher education as defined in section 101(a), except that paragraph (2) of such section shall not apply.

(c) AUTHORIZED ACTIVITIES.--

(1) IN GENERAL. --Grants awarded under this section shall be used by Tribal Colleges or Universities to assist such institutions to plan, develop, undertake, and carry out activities to improve and expand such institutions’ capacity to serve Indian students.

(2) EXAMPLES OF AUTHORIZED ACTIVITIES.--The activities described in paragraph (1) may include--

(A) purchase, rental, or lease of scientific or laboratory equipment for educational purposes, including instructional and research purposes;

(B) construction, maintenance, renovation, and improvement in classrooms, libraries, laboratories, and other instructional facilities, including purchase or rental of telecommunications technology equipment or services;

(C) support of faculty exchanges, faculty development, and faculty fellowships to assist in attaining advanced degrees in the faculty’s field of instruction;

(D) academic instruction in disciplines in which Indians are underrepresented;

(E) purchase of library books, periodicals, and other educational materials, including telecommunications program material;

(F) tutoring, counseling, and student service programs designed to improve academic success;

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(G) funds management, administrative management, and acquisition of equipment for use in strengthening funds management;

(H) joint use of facilities, such as laboratories and libraries;

(I) establishing or improving a development office to strengthen or improve contributions from alumni and the private sector;

(J) establishing or enhancing a program of teacher education designed to qualify students to teach in elementary schools or secondary schools, with a particular emphasis on teaching Indian children and youth, that shall include, as part of such program, preparation for teacher certification;

(K) establishing community outreach programs that encourage Indian elementary school and secondary school students to develop the academic skills and the interest to pursue postsecondary education; and

(L) other activities proposed in the application submitted pursuant to subsection (d) that--

(i) contribute to carrying out the activities described in subparagraphs (A) through (K); and (ii) are approved by the Secretary as part of the review and acceptance of such application.

(3) ENDOWMENT FUND.--

(A) IN GENERAL.-- A Tribal College or University may use not more than 20 percent of the grant funds provided under this section to establish or increase an endowment fund at the institution.

(B) MATCHING REQUIREMENT.-- In order to be eligible to use grant funds in accordance with subparagraph (A), the Tribal College or University shall provide matching funds, in an amount equal to the Federal funds used in accordance with subparagraph (A), for the establishment or increase of the endowment fund.

(C) COMPARABILITY. -- The provisions of part C regarding the establishment or increase of an endowment fund, that the Secretary determines are not inconsistent with this paragraph, shall apply to funds used under subparagraph (A).

(d) APPLICATION PROCESS--

(1) INSTITUTIONAL ELIGIBILITY.--To be eligible to receive assistance under this section, a Tribal College or University shall be an eligible institution under section 312(b).

(2) APPLICATION.-- Any Tribal College or University desiring to receive assistance under this section shall submit an application to the Secretary at such time, and in such manner, as the Secretary may by regulation reasonably require. Each such application shall include--

(A) a 5-year plan for improving the assistance provided by the Tribal College or University to Indian students, increasing the rates at which Indian secondary school students enroll in higher education, and increasing overall postsecondary retention rates for Indian students; and

(B) such enrollment data and other information and assurances as the Secretary may require to demonstrate compliance with paragraph (1).

(3) SPECIAL RULE.-- For the purposes of this part, no Tribal College or University that is eligible for and receives funds under this section may concurrently receive other funds under this part or part B.

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INSTRUCTIONS FOR COMPLETING AND TRANSMITTING THE APPLICATION

1. Project Abstract

Applicants are required to submit a one page single-spaced Project Abstract.

Please include in the Project Abstract the name of the institution, city, and purpose.

2. Profile Data Collection Form (Profile Form)

Applicants are required to answer questions 1-5 paying special attention to question 5. a.-e. This page is used to profile each applicant. It also addresses endowment funding, dual submission certification, and cooperative arrangements. The Profile Form also records the certifying data on each institution.

3. Program Budget (ED 524)

Provide the total costs you are requesting for each budget category for all activities for your project year.

4. Budget Narrative

Prepare a separate, detailed, budget narrative for each proposed activity. Demonstrate and justify that all costs are reasonable in today’s market and necessary to accomplish your activity objectives. Please pay particular attention in your justification to those (per item) costs exceeding $25,000, excluding salaries and fringe benefits. For each activity, provide itemized costs (in dollars), and a narrative justification to support your request for:

• Personnel

• Fringe Benefits

• Travel

• Equipment

• Supplies

• Contractual

• Construction

• Other

• Total

You must provide details so we can determine if the costs are allowable, necessary and reasonable.

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NOTE: The Title III, Part A, TCCU Program, CFDA 84.031T does not reimburse grantees for indirect costs they incur in carrying out a project funded under these programs. Therefore, applicants should not show any dollar amounts for indirect costs on either line 10 of the application budget form (ED 524) or in their budget narrative. Applicants should also be aware that un-reimbursed indirect costs under grants of this program may not be charged as direct cost items in the same award, used to satisfy matching or cost-sharing requirements, or charged to another Federal award.

Do not include a budget narrative (as a separate activity) for endowment investing.

5. Project Narrative

Provide description of activities to be funded. ( limited to five pages)

Review the program regulations (34 CFR 607.10 and 607.30) for guidance on which activities and costs are allowable. For example, you may not use your grant funds to:

- Recruit students,

- Carry out activities that are operational rather than developmental,

- Carry out student activities such as entertainment, cultural or social enrichment programs, student publications, social clubs or associations,

- Pay for organized fund raising,

- Cover indirect costs.

6. Required Information Form

Provide contact information for Project Director and President.

The application information required for the TCCU Program data collection must be e-mailed to the following address: [email protected] or faxed to 202-502-7861.

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