Application for Designation as an Eligible Institution

U.S. DEPARTMENT OF EDUCATION

Washington, DC 20202

Fiscal Year 2011

Application Package to Request

Designation as an Eligible Institution

Under the Following Title III and Title V Programs:

• Strengthening Institutions Program (SIP),

• American Indian Tribally Controlled Colleges and Universities (TCCU) Program,

• Alaska Native and Native Hawaiian-Serving Institutions (ANNH) Program,

• Developing Hispanic-Serving Institutions (HSI) Program,

• Hispanic Serving-Institutions (STEM and ARTICULATION) Program,

• Promoting Postbaccalaureate Opportunities for Hispanic Americans (PPOHA),

• Asian American and Native American Pacific Islander-Serving (AANAPISI) Program,

• Native American Serving Nontribal Institutions (NASNTI) Program,

• Predominantly Black Institutions (PBI) Program, and

• Waiver of the Non-Federal Cost-Share Requirement

CLOSING DATES:

[insert date] for Eligibility Designation and

[insert date] for Cost-Share Waiver

CFDA Number: 84.031H

OMB Number: 1840-xxxx, ED FORM 1049

EXPIRES: [insert date]

TABLE OF CONTENTS

Dear Applicant Letter 1

Eligibility Highlights 4

Before You Get Started 5

Instructions for Completing the Application

Part I Identity of Applicant Institution 8

Part II Institutional Enrollment 9

Part III Institutional Statistics 9

Part IV Specific Institutional Eligibility

Requirements 12

Part V Certification 20

APPENDICES

Application For Designation As An Eligible Institution

(ED Form 1049) 24

Federal Register Closing Date Notice Inviting

Applications 27

Dear Applicant:

We are pleased to provide the application package for fiscal year (FY) 2011 Designation as an Eligible Institution under the following Title III and Title V programs of the Higher Education Act of 1965, as amended.

• STRENGTHENING INSTITUTIONS PROGRAM (SIP);

• AMERICAN INDIAN TRIBALLY CONTROLLED COLLEGES AND UNIVERSITIES (TCCU) PROGRAM;

• ALASKA NATIVE AND NATIVE HAWAIIAN-SERVING INSTITUTIONS (ANNH) PROGRAM;

• DEVELOPING HISPANIC-SERVING INSTITUTIONS (HSI) PROGRAM;

• HISPANIC-SERVING INSTITUTIONS (STEM and ARTICULATION) PROGRAM;

• PROMOTING POSTBACCALAUREATE OPPORTUNITIES FOR HISPANIC AMERICANS (PPOHA);

• ASIAN AMERICAN AND NATIVE AMERICAN PACIFIC ISLANDER-SERVING INSTITUTIONS (AANAPISI) PROGRAM;

• NATIVE AMERICAN SERVING NONTRIBAL INSTITUTIONS (NASNTI) PROGRAM; and

• PREDOMINANTLY BLACK INSTITUTIONS (PBI) PROGRAM.

This application package includes the information and instructions that you need to apply for eligibility designation. Eligibility designation qualifies an institution of higher education (IHE) to apply for grants under the above Title III and Title V programs, provided the institution meets certain additional program specific eligibility requirements.

The purpose of these programs is to provide funds to eligible institutions of higher education to increase their self-sufficiency by improving their academic programs, institutional management, and fiscal stability.

In addition, this application package may be used by IHEs to apply for a waiver of certain non-Federal cost-share requirements under the following programs:

• FEDERAL WORK-STUDY (FWS) PROGRAM;

• FEDERAL SUPPLEMENTAL EDUCATIONAL OPPORTUNITY GRANTS (FSEOG) PROGRAM;

• TRIO STUDENT SUPPORT SERVICES (SSS) PROGRAM and;

• UNDERGRADUATE INTERNATIONAL STUDIES AND FOREIGN LANGUAGE (UISFL) PROGRAM.

IMPORTANT INFORMATION: You must read this package in its entirety before you begin to complete the application. Please make sure that you provide sufficient responses to ALL applicable questions and that you enter the correct data throughout the application. Providing accurate information is essential in expediting the eligibility process.

• All institutions interested in applying for a new FY 2011 Title III or Title V grant MUST apply for eligibility designation by [insert date]. You must reapply for eligibility EACH year that you wish to apply for a new grant award.

• IHEs currently receiving Title III or Title V funds do not need to apply for eligibility designation unless they intend to apply for a new grant. IHEs designated as historically Black colleges and universities are statutorily exempt from the non-Federal cost-share match requirement and do not need to apply for eligibility designation.

• FY 2011 applicants will report their required student head count figures based solely on their 2008 fall semester enrollment.

• To further assist you in determining the low-income levels of your students, we have included (in the Federal Register notice) the 2008 low-income figures, as determined by the Bureau of the Census. The term “low income individual” means an individual from a family whose taxable income for the preceding year did not exceed 150 percent of an amount equal to the poverty level established by the Bureau of the Census.

• To assist you with calculating your institution’s average educational and general (E&G) expenditures per Full Time Equivalent (FTE) student, the ED Form 1049 has been improved to calculate your institution’s E&G expenditures for you. See pages 12 and 13 for specific instructions.

• If you are interested only in obtaining a waiver of certain non-Federal cost-share requirements, you must apply for a waiver by the [insert date] closing date.

• If you are designated as an eligible institution, your waiver of the non-Federal cost-share requirement is effective for five consecutive years. You will need to request another waiver in 2016.

• If you are a current Title III or Title V grant recipient, you are already entitled to the cost-share waiver.

For FY 2011, all applications must be submitted electronically as described in this application package. If you wish to apply for a new grant, please make sure you submit the application by [insert date].

ONCE YOU HAVE SUBMITTED YOUR ELIGIBILITY APPLICATION USING THE CONTRACTOR’S WEB SITE, PLEASE PRINT A COPY OF YOUR SUBMISSION FOR YOUR RECORDS. THE DEPARTMENT WILL NOT BE ABLE TO PROVIDE COPIES.

If you need further assistance, please contact us at the telephone numbers or e-mail addresses cited in this application package.

Sincerely,

James E. Laws, Jr., Ed.D.

Director

Institutional Development and Undergraduate

Education Service

ELIGIBILITY HIGHLIGHTS

• Please notify the eligibility staff if your institution’s legal name has changed. This MUST be done in writing to the eligibility staff prior to applying for eligibility designation.

• You must apply for eligibility in your institution’s legal name. Also, if you are planning to submit an application for new funds, both applications (i.e., the eligibility application and the application for funding) MUST be in the same name or your application for funding will be rejected.

• To apply for a waiver of the non-federal cost share requirement, you MUST apply for eligibility. After you submit your eligibility application, the system will deem your status. If deemed ineligible, the system will then provide you with the following prompt: “Do you want to apply for a waiver?” Click “YES” and then upload your waiver narrative.

• The term “low income individual” means an individual from a family whose taxable income for the preceding year did not exceed 150 percent of an amount equal to the poverty level established by the Bureau of the Census.

• You will not be notified to submit your waiver narrative if you have forgotten to upload it at the time of submission.

• You are responsible for verifying and certifying the accuracy and completeness of the data you submit. We are unable to notify institutions of errors or omissions in their data.

• For your convenience, a SAVE button has been added to the submission page. When returning to the web-site, please remember to SUBMIT your application.

• On the homepage, you have the option to select which program(s) you are applying to for Designation as an Eligible Institution.

• Applicants can now print their eligibility designation letters from the eligibility website. The eligibility homepage will give dates that the letters can be printed.

• Only ineligible letters will be mailed to the contact person who submitted the eligibility application.

• Applications must be submitted by 12:00am Midnight, Washington, DC time on the closing dates with ALL supporting documentation.

BEFORE YOU GET STARTED

You must read this entire application package, study the eligibility application face sheet (ED Form 1049) and collect the required data before you attempt to complete the application on-line. This application package may be obtained using the “eligibility 2011” link, at either of the following Web sites:

http://www.ed.gov/programs/iduestitle3a/index.html

http://www.ed.gov/hsi

https://opeweb.ed.gov/title3and5/

You will need your institution's unique 8-digit identifier, referred to as the Office of Postsecondary Education Identification (OPE ID) number, in order to electronically retrieve and complete a valid eligibility application form. If your institution’s OPE ID number is not readily available, your business office or student financial aid office should have your OPE ID number. If not, contact our program office by calling our main number at 202-502-7777 or any one of the individuals listed below:

[email protected] or 202-219-7083

[email protected] or 202-502-7606

Periodically, throughout this application package, we refer to certain sections of program regulations. We anticipate that you will not need to read the program regulations because we have attempted to make these eligibility instructions all-inclusive. However, in the event you wish to check a regulation governing the Title III, Part A, Title V-HSI, HSI (STEM AND ARTICULATION), HSI Graduate Program, AANAPISI, PBI and the NASNTI you may do so at the following Web sites:

http://www.ed.gov/legislation/FedRegister/finrule/2001-4/121599a.html

http://www.ed.gov/about/offices/list/ope/idues/index.html

Only individual accredited institutions, including eligible branch campuses, may apply for designation as an eligible institution. The regulations at 34 CFR Part 606.2(a)(6) and 607.2(a)(4) outline the accrediting requirements. A higher education system, foundation or district may not apply on behalf of individual institutions. Submit data pertinent solely to your institution, no matter whether your institution normally maintains and submits data to the U. S. Department of Education as part of a single filing by a higher education system for all institutions within that system or by a district for all institutions within that district.

Designation As An Eligible Branch Campus

To be designated as an eligible branch campus, the branch campus must meet the needy student enrollment requirement, the educational and general (E&G) expenditures requirement, and the definition of a branch campus. The regulations at 34 CFR Part 606.7(b) and 34 CFR Part 607.7(e) define “branch campus” to mean a unit of a college or university that is geographically apart from the main campus and independent of that main campus. We consider a unit of a college or university to be independent of the main campus if the unit is permanent in nature, offers courses for credit and programs leading to an associate or bachelor’s degree, and is autonomous to the extent that it has its own faculty and administrative or supervisory organization and its own budgetary and hiring authority. If your institution is applying for eligibility as a branch campus, provide the eligibility data pertinent only to that particular campus.

The Government Paperwork Elimination Act (GPEA) of 1998 (P. L. 105-277) and the Federal Financial Assistance Management Improvement Act of 1999 (P. L. 106-107) encourage us to undertake initiatives to improve our grant processes. Enhancing the ability of individuals and entities to conduct business with us electronically is a major part of our response to these Acts. Therefore, we are taking steps to adopt the Internet as our chief means of conducting transactions in order to improve services to our customers and to simplify and expedite our business processes.

Note: Some of the procedures in these instructions for transmitting applications differ from those in the Education Department General Administrative Regulations (EDGAR) (34 CFR 75.102). Under the Administrative Procedure Act (5 U.S.C. 553), the Department generally offers interested parties the opportunity to comment on proposed regulations. However, these amendments make procedural changes only and do not establish new substantive policy. Therefore, under 5 U.S.C. 553(b)(A), the Secretary has determined that proposed rulemaking is not required.

If your institution does not meet the needy student enrollment requirement and/or the educational and general expenditures requirement(s), and you wish to request a waiver of one or both of these requirements, you must complete your designation application form and your waiver request narrative electronically by the [insert date] deadline if you are applying for a grant, or by the [insert date] deadline if you are only applying for a cost-share waiver.

We are requiring that all applications for institutional eligibility designation for FY 2011 be submitted electronically by going online to:

https://opeweb.ed.gov/title3and5/

You qualify for an exception to the electronic submission requirement, and may submit your application in paper format, if you are unable to submit an application electronically because –

• You do not have access to the internet; or

• You do not have the capacity to upload the data on-line; and

• No later than two weeks before the application deadline date (14 calendar days or, if the fourteenth calendar day before the application deadline date falls on a Federal holiday, the next business day following the Federal holiday), you mail or fax a written statement to the Department, explaining which of the two grounds for an exception prevent you from using the Internet to submit your application. If you mail your written statement to the Department, it must be postmarked no later than two weeks before the application deadline date. If you fax your written statement to the Department, we must receive the faxed statement no later than two weeks before the application deadline date.

Address and mail or fax your statement to: Darlene Collins, U.S. Department of Education, 1990 K Street, N.W., room 6033, Washington, DC 20006-8513. FAX: (202) 502-7861. Your paper application must be submitted in accordance with the mail or hand delivery instructions provided in the official notice published in the Federal Register.

IMPORTANT NOTE: After completing the form electronically, double check for accuracy and print a copy for yourself before submitting your application. When you press the submit button, the system will display a message confirming that you have successfully submitted your application. Save and print this confirmation as proof that you have submitted your application electronically. If you do not receive this confirmation, you should assume that we did not receive your application. Please contact Kelley Harris or Carnisia Proctor at 202-502-7777 or via email ([email protected]) immediately. Please do not wait until the last day to submit your application.

You are responsible for verifying and certifying the accuracy and completeness of the data you submit. We are unable to notify institutions of errors or omissions in their data.

INSTRUCTIONS FOR COMPLETING THE APPLICATION (ED Form 1049)

(ELECTRONIC SUBMISSION REQUIRED)

PART I – IDENTITY OF APPLICANT INSTITUTION

ITEM 1. INSTITUTION/CAMPUS OPE ID NUMBER

You will need your institution's unique 8-digit identifier, referred to as the Office of Postsecondary Education Identification (OPE ID) number, in order to electronically retrieve and complete a valid eligibility application form.

ITEM 2. NAME OF INSTITUTION/CAMPUS

Use your institution's complete name. If your institution is a branch campus, use the parent institution's name but follow it with the name of the branch campus (see definition of branch campus on page 5 of the application package). For example, you would cite the State University of New York, Brockport Campus.

Enter the name of the institution in the spaces provided.

If your institution's name has changed within the last two years, include the former name on the appropriate line provided in Part V of the eligibility application form.

ITEMS 3 THROUGH 6.

Self-explanatory.

ITEM 7. DATA UNIVERSAL NUMBERING SYSTEM (DUNS) NUMBER

Enter your institution’s DUNS number in the spaces provided.

DUNS Number: Dun and Bradstreet assigns your institution's 9-digit DUNS number. Your business office will likely know your institution’s DUNS number. If not, you can obtain it at no charge by calling 1-800-333-0505 or by completing a DUNS Number Request Form. You may obtain the form using the following Web site:

http://www.dnb.com

ITEM 8. TYPE OF INSTITUTION

Enter your institution's type: Identify the institution as either a 2-year or 4-year institution of higher education.

If your institution recently changed its status from 2-year to 4-year, identify the institution as 4-year.

If the institution offers both undergraduate and graduate education, identify it as a 4-year institution.

ITEM 9. CONTROL OF INSTITUTION

Identify the institution as either a private nonprofit institution or a public institution.

PART II - INSTITUTIONAL ENROLLMENT

ITEM 1. TOTAL INSTITUTIONAL ENROLLMENT (Fall 2008 Head Count)

Determine the institution's 2008 fall semester head count of enrolled undergraduate and graduate students.

Do not include foreign students who are not eligible to participate in Title IV need-based financial assistance programs.

Enter this number in the space provided.

ITEM 2. TOTAL MINORITY ENROLLMENT (Fall 2008 Head Count)

Determine the institution's 2008 fall semester head count of enrolled minority undergraduate and graduate students.

Do not include foreign students who are not eligible to participate in Title IV need-based financial assistance programs.

The regulations at 34 CFR Part 606.7(b) and Part 607.7(e) define minority student to mean a student who is Hispanic/Latino of any race, Alaska Native or American Indian, Asian, Black or African American, Native Hawaiian or Other Pacific Islander, White, Two or More Races.

Enter this number in the space provided.

PART III - INSTITUTIONAL STATISTICS

ITEM 1. NEEDY STUDENT REQUIREMENT

Fill out Part III, Items 1A through 1D, using the following instructions.

ITEM 1.A. FALL 2008 HEAD COUNT ENROLLMENT OF UNDERGRADUATE AND GRADUATE DEGREE STUDENTS

Determine the institution's total 2008 fall semester head count of undergraduate and graduate students who were enrolled in a degree program. The regulations at 34 CFR Part 606.7(b) and at 34 CFR Part 607.7(e) define ”degree student” to mean a student who enrolls at an institution for the purpose of obtaining the degree, certificate or other recognized educational credential offered by that institution. We consider the transcript that a student receives for the successful completion of a two-year transfer program to be an “other recognized educational credential.”

Do not include foreign students who are not eligible to participate in Title IV need-based assistance programs.

In determining the undergraduate student head count, include all undergraduate students who were enrolled in a program that result in the award of a bachelor’s degree. Include those enrolled in a two-year transfer program, and those enrolled in a two-year educational program that result in the award of an associate degree. Include those enrolled in a vocational or technical program of at least two years in length that result in the award of a certificate that testifies that the student qualifies to work as a technician or at the semiprofessional level in technological fields.

Enter the total in the space provided under Part III, Item 1.A.

ITEM 1.B. FALL 2008 RECIPIENTS OF TITLE IV NEED-BASED FINANCIAL ASSISTANCE

Determine the institution's total 2008 fall semester unduplicated student head count of degree students who received any of the following Title IV need-based assistance: Federal Pell Grant, Federal College Work Study, Federal Perkins Loan or Federal Supplemental Educational Opportunity Grant. To compute the unduplicated student head count, count each student who received Title IV need-based assistance, regardless of the number of need-based programs in which the student participated. If a student participates in multiple need-based programs, that student is to be counted only once.

Enter the total in the space provided under item Part III, Item 1.B.

ITEM 1.C. FALL 2008 ENROLLMENT OF HALF TIME, UP TO AND INCLUDING FULL-TIME, UNDERGRADUATE STUDENTS

Determine the institution's total 2008 fall semester undergraduate head count of students who were enrolled at least half time in degree programs at your institution.

Do not include foreign students who are not eligible for Title IV need-based financial assistance.

Enter the total in the space provided under Part III, Item 1.C.

ITEM 1.D. FALL 2008 PELL GRANT RECIPIENTS ONLY

Determine your institution's total 2008 fall semester undergraduate head count of students who received Pell Grants for the 2008-2009 academic term. Include Pell Grant recipients who were enrolled in a program on at least a half-time basis.

Enter the total undergraduate head count of Pell Grant recipients in the space provided under Part III, Item 1.D.

ITEM 2. EDUCATIONAL AND GENERAL (E&G) EXPENDITURES REQUIREMENT

Use the following instructions to complete items 2.A through 2.D.

ITEM 2.A. UNDERGRADUATE FULL-TIME EQUIVALENT, FALL 2008 ENROLLMENT

Determine your institution's full-time equivalent (FTE) 2008 fall semester enrollment of undergraduate students. The regulations at 34 CFR Part 606.7(b) and 34 CFR Part 607.7(e) describe how you are to calculate your full-time equivalent enrollment and the instructions below paraphrase those regulations.

Whatever the full-time load is at your institution, count a full-time undergraduate student as one FTE.

To determine the FTE for part-time undergraduate students, enter the total number of credit hours of all part-time undergraduate students. That number will automatically be divided by 12. The result is the FTE for part-time undergraduate students.

The system will then add the total (full-time plus part-time) undergraduate students. The result is the total number of undergraduate FTE equivalent FY 2008 enrollment.

NOTE: This number should not exceed the total institutional enrollment entered under Part II, Item 1.

ITEM 2.B. GRADUATE FULL-TIME EQUIVALENT 2008 FALL ENROLLMENT

Determine the institution's full-time equivalent 2008 fall semester enrollment of graduate students, if any, including both full-time and part-time students, as explained here.

Whatever the full-time load is at your institution, count a full-time graduate student as one FTE.

To determine the FTE for part-time graduate students, enter the total number of credit hours of all part-time graduate students. That number will automatically be divided by 12. The result is the FTE for part-time graduate students.

To calculate the total graduate FTE, add the FTE of full-time graduate students and the FTE of part-time graduate students, and then divide this total by a factor of 2.5. This final figure is the graduate FTE. The use of the 2.5 factor is required by the Department’s regulations at 34 CFR 606.4(a)(2) and 607.4(a)(2) to account for higher educational and general expenditures for graduate versus undergraduate students.

The system will then add the total (full-time plus part-time) graduate students. The result is the total number of graduate FTE equivalent FY 2008 enrollment.

ITEM 2.C. TOTAL EDUCATIONAL AND GENERAL EXPENDITURES

Determine the institution's E&G expenditures for 2008-2009. The regulations at 34 CFR Part 606.7(b) and 34 CFR Part 607.7(e) define E&G expenditures as the total amount expended by an institution of higher education for: instruction, research, public service, academic support (including library expenditures), student services, institutional support, scholarships and fellowships, operation and maintenance expenditures for physical plant, and any mandatory transfers which the institution is required to pay by law. In determining the institution's E&G expenditures, total these costs. Do not include Federal student financial aid.

Enter the total 2008-2009 E&G expenditures in the space provided under Part III, Item 2.C.

ITEM 2.D. AVERAGE EDUCATIONAL AND GENERAL EXPENDITURES PER FTE STUDENT

The system will calculate for you the institution's average E&G expenditures per FTE for 2008-2009.

PART IV. SPECIFIC INSTITUTIONAL ELIGIBILITY REQUIREMENTS

ITEM 1. NEEDY STUDENT REQUIREMENTS

Use the following calculations to determine whether your institution meets the needy student requirement in at least one of two possible ways.

YOUR INSTITUTION MEETS THE NEEDY STUDENT REQUIREMENT IF:

A. At least 50% of its 2008 fall semester, unduplicated student head count of undergraduate degree students received financial assistance under one or more of the following programs: Federal Pell Grant, Federal College Work-Study, Federal Perkins Loan or Federal Supplemental Educational Opportunity Grant Programs (Part III, 1B).

Or

B. The percentage of its 2008 fall semester, undergraduate degree students who were enrolled on at least a half-time basis and received Federal Pell Grants exceeded the median percentage of undergraduate degree students who were enrolled on at least a half-time basis and received Federal Pell Grants at comparable institutions that offered similar instruction (Part III, 1D).

ITEM 1. A. AT LEAST 50% OR MORE OF FALL 2008 DEGREE STUDENTS WERE RECIPIENTS OF NEED-BASED FINANCIAL SUPPORT

If your institution meets the needy student requirement because 50 percent or more of its 2008 fall semester, enrolled degree students received the above-mentioned Title IV need-based financial assistance, fill in the bubble next to Part IV, Item 1.A. If the percentage turns out to be less than 50%, leave the bubble blank next to Part IV, Item 1.A.

EXAMPLE: Needy Student Calculation (Bubble A)

To determine whether your institution meets the statutory needy student requirement for 2008-2009, divide the number of 2008 fall semester, Title IV recipients (Part III, Item 1.B) by the 2008 fall semester enrollment of degree students (Part III, Item 1.A). The result (Part III, 1.B., divided by Part III, 1.A) is the percentage of needy students enrolled in the institution for the base year. If the result is 50 percent or more, your institution meets the statutory needy student requirement threshold. The regulations at 34 CFR Part 606.3(a)(1) and at 34 CFR Part 607.3(a)(1) describe the needy student requirement.

Example

2008 fall semester enrollment (Part III, 1.A) = 800 degree students

2008 fall semester Title IV recipients (Part III, 1.B) = 600 students

Percentage of recipients of need-based financial support

= 75% (600 divided by 800)

The example institution meets the needy student requirement because 50 percent or more of its 2008 fall semester degree students received need-based financial support.

ITEM 1.B. THE PERCENTAGE OF FEDERAL PELL GRANT RECIPIENTS AT THE APPLICANT INSTITUTION EXCEEDED THE MEDIAN PERCENTAGE AT SIMILAR INSTITUTIONS.

If your institution meets the statutory needy student requirement because the percentage of its 2008 fall semester enrolled students that received Pell Grants exceeded the median Federal Pell Grant percentage for its category of institutions (see below), fill in the bubble next to Part IV, Item 1.B. If your percentage does not exceed the median Federal Pell Grant percentage for your category of institutions, leave the bubble blank next to Part IV, Item 1.B.

If the institution meets both Part IV, Items 1.A and 1.B, fill in the bubble next to Part IV, Item 1.A only.

EXAMPLE: Needy Student Calculation

(Bubble B)

To determine if your institution meets the statutory needy student requirement for 2008, divide the number of 2008 fall semester Pell Grant recipients (Part III Item 1.D) by the 2008 fall semester enrollment of half-time up to and including full-time degree seeking students (Part III Item 1.C). The result (Part III, 1.D, divided by Part III, 1.C) is the percentage of Pell Grant recipients enrolled in the institution for the base year. If this result exceeds the "Median Federal Pell Grant Percentage" for your category of institutions, your institution meets the statutory needy student requirement threshold.

Example

2008 fall semester enrollment of half-time to full-time degree students

(Part III, 1.C) = 600

2008 fall semester Pell Grant recipients (Part III, 1.D) = 250)

2008 Pell Grant percentage = 41.6% (250 divided by 600)

Here are the median Federal Pell Grant percentages or thresholds for base year 2008-2009:

For 2-year public institutions, the median = 25.85%

For 2-year non-profit private institutions, the median =35.81%

For 4-year public institutions, the median = 24.82%

For 4-year non-profit private institutions, the median = 25.53%

Since in our example, the institution’s Pell Grant percentage is greater than the median Pell Grant percentage for any category of institution, the example institution meets the needy student requirement.

ITEM 1.C. REQUESTING A WAIVER OF THE NEEDY STUDENT REQUIREMENT

If the institution does not meet the statutory needy student requirement, under either the Title IV need-based financial assistance 50% threshold or the appropriate Pell Grant threshold, you may request a waiver of this requirement. Before doing so, study below the seven possible options under which you may attempt to make your case that we grant you a waiver. These options correspond to the seven options listed in the regulations at 34 CFR Part 606.3(b) and 34 CFR Part 607.3(b).

Fill in the bubble corresponding to Part IV, Item 1.C, denoting that you are requesting a waiver.

After you review the seven possible options for requesting a waiver of the needy student requirement, select the option(s) that applies to your institution’s particular case. You may apply under more than one option if you wish.

Prepare a separate narrative, providing the required evidence that shows the chosen waiver option(s) does, indeed, apply to your particular institution. Following the instructions detailed below, the narrative must contain persuasive and compelling evidence. Mere statements of fact may not be enough to support your request. Provide supporting documentation (relevant studies, recent reports and/or data, etc.) to justify your request for a waiver. It is acceptable to upload photocopies of supporting documentation when addressing the waivers.

Needy Student Waiver Option #1, 34 CFR 606.3(b)(1) and 607.3(b)(1)

Provide evidence that the state provided more than 30 percent of your institution’s budget for the 2008-2009 base year,

AND

Provide evidence that your institution charged not more than $99.00 per student for tuition and fees for the 2008-2009 base year.

Please identify the resources provided by the state, citing specific dollar amounts. Also, show actual tuition and fees charged per student, and provide supporting documentation such as posted tuition and fees.

Needy Student Waiver Option #2, 34 CFR 606.3(b)(2) and 607.3(b)(2)

Provide evidence that at least 30 percent of the students served by your institution in the 2008-2009 base year were students from low-income families.

The regulations at 34 CFR Part 606.7(c) and 34 CFR 607.7(e) define a low income individual to be one from a family whose taxable income for the base year did not exceed 150% of an amount equal to the poverty level as determined by the Bureau of the Census. In the Federal Register Closing Date Notice, we stated the low-income figures for 2008.

Support your request by providing documentation (statistical and whole numbers baseline data) that verifies your claim that at least 30 percent of your enrolled students were from low-income families.

Needy Student Waiver Option #3, 34 CFR 606.3(b)(3) and 607.3(b)(3)

Provide evidence that your institution, in the base year, substantially increased the higher education opportunities for low-income students who were also educationally disadvantaged, or from groups underrepresented in postsecondary education, or were minority students. The program regulations at 34 CFR 606.7(b) and 607.7(e) define "educationally disadvantaged ", "minority student” and "underrepresented ".

Include ALL the following information:

l. A description of the student body characteristics, including the racial/ethnic composition and the number of low-income students, for the 2008-2009 base year.

2. The number of low-income students for the 2008-2009 base year that were also educationally disadvantaged, from groups underrepresented in postsecondary education, or minority students.

3. A description of the programs and services in place during the 2008-2009 base year that were specifically designed to increase the educational opportunities for the low income students who were also educationally disadvantaged, from groups underrepresented in higher education, or minority students.

4. A longitudinal progression detailing the number of these students served by the institution’s programs and services during the past five academic periods: 2004-2005, 2005-2006, 2006-2007, 2007-2008 and 2008-2009.

Needy Student Waiver Option #4, 34 CFR 606.3(b)(4) and 607.3(b)(4)

Provide evidence that your institution substantially increased the higher education opportunities in the 2008-2009 base year for individuals who resided in an area that is not included in a "metropolitan statistical area" (MSA) as defined by the Office of Management and Budget and who were unserved by other postsecondary institutions.

Include ALL of the following information:

1. The geographical areas of residence for enrolled students in the 2008-2009 base year including:

-- The percentage of enrolled students from MSAs; and

-- The percentage of enrolled students from locations outside an MSA.

2. A map or scale drawing showing the geographically isolated or rural nature of your institution’s location. Include its geographic relationship to the nearest other institution(s) of higher education and nearest MSA; and the mileage between the institution and other institutions and the nearest MSA.

3. A description of the geographic barriers and climatic and other conditions that limit the options of individuals to attend other institutions.

4. A brief longitudinal progression detailing the number of enrolled students served by the applicant institution during the past five academic periods: 2004-2005, 2005-2006, 2006-2007, 2007-2008 and 2008-2009 who resided in areas outside the boundaries of an MSA.

Needy Student Waiver Option #5, 34 CFR 607.3(b)(5)

Provide evidence that your institution is located on or within 50 miles of an American Indian reservation or of a substantial population of American Indians, and that the institution will substantially increase higher education opportunities for American Indians. In addressing "higher education opportunities for American Indians;” include both student enrollment and retention.

Include ALL the following information:

1. A map or scale drawing showing your institution's location in relation to the American Indian reservation or population center. Include the mileage between the institution and the reservation or population center.

2. A description of the student body characteristics for the 2008-2009 base year and the two academic years following the base year (2009-2010 and 2010-2011). Include the racial/ethnic composition and specifically identify the number and percentage of American Indian students by full-time and part-time status.

3. Describe the programs and services in place during the 2008-2009 base year and the two academic years following the base year (2009-2010 and 2010-2011) that were specifically designed to increase the higher educational opportunities for American Indians.

4. Describe your institution's plans to develop and implement programs and services specifically designed to increase the higher educational opportunities for American Indians.

5. Describe the institution's enrollment goals for American Indian students for the next three academic years (2009-2010, 2010-2011 and 2011-2012). Detail the institution's plans to meet these goals.

Needy Student Waiver Option #6, 34 CFR 607.3(b)(6):

Your institution meets the definition of a tribally controlled college or university as defined in section 2 of the Tribally Controlled College or University Assistance Act of 1978.

Needy Student Waiver Option #7, 34 CFR 607.3(b)(7):

Provide evidence that your institution will substantially increase higher education opportunities for Hispanic/Latino of any race, Alaska Native or American Indian, Asian, Black or African American, Native Hawaiian or Other Pacific Islander, White, Two or More. In addressing "higher education opportunities" include both student enrollment and retention.

Include ALL of the following information:

1. A description of the student body characteristics for the 2008-2009 base year and the two academic years following the base year (2009-2010 and 2010-2011). Include the racial/ethnic composition and specifically identify the number and the percentage for each racial/ethnic group listed above by full-time and part-time status.

2. Describe the programs and services in place during the 2008-2009 base year and the two academic years following the base year (2009-2010 and 2010-2011) that were specifically designed to increase the higher educational opportunities for one or more of the racial/ethnic groups listed above.

3. Describe the programs and services your institution is currently developing that are specifically designed to increase the higher educational opportunities for one or more of the racial/ethnic groups listed above. Include the projected date(s) for the implementation of these programs and services.

4. Describe your institution's enrollment goals for one or more of the racial/ethnic groups listed above for the next three academic years (2009-2010, 2010-2011 and 2011-2012). Explain in detail the institution's plans to meet these goals.

PART IV, ITEM 2. EDUCATIONAL & GENERAL EXPENDITURES REQUIREMENT

Your institution meets the E&G expenditures requirement if its average E&G expenditures per FTE student cited in Part III, Item 2.D, is less than the average E&G per FTE for the same category of institution. The average 2008-2009 E&G expenditures per FTE student for each category of institution is the following:

2- year public institution = $11,111 per FTE student

2- year non-profit private = $23,266 per FTE student

4- year public institution = $27,597 per FTE student

4- year non-profit private = $45,093 per FTE student

PART IV, ITEM 2.A

Darken bubble 2.A only if your institution’s 2008-2009 average E&G expenditures per FTE is less than the average E&G expenditures per FTE student for its category of institution.

PART IV, ITEM 2.B

Darken bubble 2.B if your institution exceeded the E&G expenditures threshold and you are requesting a waiver.

Write a justification for each waiver option you are requesting.

Instructions for Selecting Waiver Option(s) for the E&G Expenditures Requirement

Review all five waiver options provided below, and select the option(s) that applies to your institution’s particular case. You may request multiple options. You must submit a written justification with the eligibility application form for each option requested. The waiver option justification narrative must contain persuasive and compelling evidence that the specific waiver condition exists. Mere statements of fact may not be enough to support your request. Provide supporting documentation (relevant studies, recent reports and/or data, etc.) to justify your request for a waiver. It is acceptable to upload photocopies of supporting documentation when addressing the waivers.

E&G Waiver Option #1, 34 CFR 606.4(d)(1) and 607.4(d)(1)

Low student enrollment in the Fall 2008 distorted your institution’s E&G expenditures per FTE undergraduate student and the institution’s eligible designation is otherwise consistent with the purposes of the Title III or Title V program. Please show your institutions enrollment was low relative to the enrollment before the base year, and/or low relative to the enrollment after the base year.

Provide detailed evidence that supports your claim that low student enrollment in 2008 distorts your E&G expenditures. Show that enrollments in the years prior to and after 2008 were greater, citing specific numbers. Please include comparisons with similar IHEs.

E&G Waiver Option #2, 34 CFR 606.4(d)(2) and 607.4(d)(2)

Location of the institution in an unusually high cost-of-living area distorted your institution’s E&G expenditures per FTE undergraduate student and the institution’s eligible designation is otherwise consistent with the purposes of the Title III or Title V program. Provide documentation from a governmental source to substantiate the high cost of living in the area.

Cite recent statistics from local, state and/or national levels. Please include comparisons.

E&G Waiver Option #3, 34 CFR 606.4(d)(3) and 607.4(d)(3)

High-energy costs distorted your institution’s E&G expenditures per FTE undergraduate student and the institution’s eligible designation is otherwise consistent with the purposes of the Title III or Title V program. Provide documentation to substantiate the high costs.

Please show comparisons and include supporting documentation.

E&G Waiver Option #4, 34 CFR 606.4(d)(4) and 607.4(d)(4)

An increase in State funding that was part of a desegregation plan for higher education distorted your institution’s E&G expenditures per FTE undergraduate student and the institution’s eligible designation is otherwise consistent with the purposes of the Title III or Title V program.

Provide documentation to substantiate your request.

E&G Waiver Option #5, 34 CFR 606.4(d)(5) and 607.4(d)(5)

Operation of high cost professional schools; such as medical or dental schools, or high cost programs, such as technology or health science programs, distorted your institution’s E&G expenditures per FTE undergraduate student, and the institution’s eligible designation is otherwise consistent with the purposes of the Title III or Title V program.

Provide documentation to substantiate your request. Please include enrollment and cost comparisons.

E&G Waiver Option #6, 34 CFR 607.3(b)(6):

Your institution meets the definition of a tribally controlled college or university as defined in section 2 of the Tribally Controlled College or University Assistance Act of 1978.

PART V. CERTIFICATION

A duly authorized representative of the institution must check the box in Part V to certify that to the best of his or her knowledge and belief, all data in the application are true and correct and the applicant institution will comply with the required assurances. By checking this box and submitting this application, the applicant institution further certifies that they meet the accrediting requirements and, if applicable, meet the definition of a branch campus

APPENDICES

Application For Designation As An Eligible Institution

(ED Form 1049)

Federal Register Closing Date Notice Inviting Applications

UNITED STATES DEPARTMENT OF EDUCATION

WASHINGTON, D.C. 20202

APPLICATION FOR DESIGNATION AS AN ELIGIBLE INSTITUTION

FISCAL YEAR 2011

CFDA Number: 031H

To apply for grants under

Title III Programs (SIP), (TCCU), (ANNH), (AANAPISI), (NASNTI)

Title V Programs (HSI), (HSI-STEM and ARTICULATION), (PPOHA)

and the (PBI) Programs

Authority: 34 CFR Part 606 and 607 Programs

Important: You are required to provide the information requested

in order to obtain or retain a benefit.

Public 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. Public reporting burden for this collection of information is estimated to average 7 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 under USC 20, Section 301, the Higher Education Act of 1965, as amended. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the U.S. Department of Education, 400 Maryland Ave., SW, Washington, DC 20210-4537 or email [email protected] and reference the OMB Control Number 1840-0103. Note: Please do not return the completed Application for Designation As An Eligible Institution to this address.

* This form must be completed electronically.

Part I. Identity of Applicant Institution

1. Institution/Campus OPE ID Number:

2. Name of Institution/Campus Requesting:

3. Address (Street # or P.O. Box and Street Name, City, State, Zip):

4. Contact Person’s Name: (Last Name, First Name, Middle Initial):

5. Contact Person’s Title, Phone Number, Extension:

6. E-mail Address:

7. Data Universal Numbering System (DUNS Number):

8. Type (mark one): ( ) 2-Year Institution ( ) 4-Year Institution

9. Control (mark one): ( ) Private Non-Profit Institution ( ) Public Institution

Part II. Institutional Enrollment

1. Total Institutional Enrollment (Fall 2008 Head Count):

2. Total Minority Enrollment (Fall 2008 Head Count):

Part III. Institutional Statistics

1. Needy Student Requirement

A. Fall 2008 Head Count Enrollment of Undergraduate and Graduate Degree Students:

B. Fall 2008 Recipients of Title IV Need-Based Financial Assistance:

(Include Only Pell Grant, Supplemental Educational Opportunity Grant, College Work Study, and Perkins Loan)

C. Fall 2008 Enrollment of Half-Time up to and including Full-Time Undergraduate Students:

D. Fall 2008 Pell Grant Recipients:

2. Educational & General Expenditures Requirement (E&G)

A. Undergraduate Full-Time Equivalent Fall 2008 Enrollment

a. Total Full-Time Undergraduate Students:

b. Total Number of Credit Hours for all Part-Time Undergraduate Students:

B. Graduate Full-Time Equivalent Fall 2008 Enrollment:

a. Total Full-Time Graduate Students:

b. Total Number of Credit Hours for all Part-Time Graduate Students:

C. Total 2008-2009 Educational & General Expenditures (E&G):

D. Average 2008-2009 E&G per FTE = C/(A+B):

Part IV. Specific Institutional Eligibility Requirements

1. Needy Student Requirement (mark A, B. or C)

( ) A. According to the result, after dividing item 1B by item 1A in Part III of this form, at least 50% of Degree Students are recipients of Need-Based Financial Support; or

( ) B. According to the result, after dividing item 1D by item 1C in Part III of this form, our enrollment exceeds the pertinent threshold for Substantial Percentage of Students Receiving Pell Grants for the 2008-2009 year.

( ) C. Requesting Waiver (Section 607.3(b) and Section 606.3(b) option(s):

Fill in the bubble(s) needed and attach the narrative justification to this form.

AND

2. Educational & General Expenditures Requirement (mark A or B)

( ) A. The E&G expenditures per FTE Student are less than the pertinent threshold for base year 2008-2009.

( ) B. Requesting Waiver (Section 607.4(c) and (d) and Section 606.4(c) and (d) option(s):

Fill in the bubble(s) needed and attach the narrative justification to this form.

Part V. Certification

(Although this Certification requirement is waived for applicants submitting through the Internet,

the Department reserves the right to require a signed form on request.)

To the best of my knowledge and belief, all data in this application are true and correct. The governing body of the applicant has duly authorized this document and the applicant will comply with the required assurances. We meet the accrediting requirements and, if applicable, we meet the definition of a branch campus as defined in 34 CFR Part 606.7(b) and 34 CFR 607.7(e).

Authorized Representative's Typed Name and Title Date Authorized Representative's Signature

Phone Number Fax Number Former Name of Applicant Institution/Campus (if applicable)

Form Approved - OMB No. 1340-0103 Expiration Date: 02/28/2011

ED Form 1049 (Revised 11/99), Replaces ED Form 1049, Revised 8/95 which is obsolete.

Page 2 of 2