Eligibility Designations and Applications for Waiver of Eligibility Requirements; Programs Under Parts A and F of Title III of the Higher Education Act of 1965, as Amended (HEA), and Programs Under Title V of the HEA, 72422-72426 [2015-29527]

Agencies

• DEPARTMENT OF EDUCATION

[Federal Register Volume 80, Number 223 (Thursday, November 19, 2015)]
[Notices]
[Pages 72422-72426]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-29527]


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DEPARTMENT OF EDUCATION


Eligibility Designations and Applications for Waiver of 
Eligibility Requirements; Programs Under Parts A and F of Title III of 
the Higher Education Act of 1965, as Amended (HEA), and Programs Under 
Title V of the HEA

AGENCY: Office of Postsecondary Education, Department of Education 
(Department).

ACTION: Notice.

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Overview Information

    Notice announcing process for designation of eligible institutions, 
and inviting applications for waiver of eligibility requirements, for 
fiscal year (FY) 2016.
    This notice applies to the following programs:
    1. Programs authorized under Part A, Title III of the HEA: 
Strengthening Institutions Program (Part A SIP), Alaska Native and 
Native Hawaiian-Serving Institutions (Part A ANNH), Predominantly Black 
Institutions (Part A PBI), Native American-Serving Nontribal 
Institutions (Part A NASNTI), and Asian American and Native

[[Page 72423]]

American Pacific Islander-Serving Institutions (Part A AANAPISI).
    2. Programs authorized under Part F, Title III of the HEA: 
Hispanic-Serving Institutions STEM and Articulation (Part F, HSI STEM 
and Articulation), Predominantly Black Institutions (Part F PBI), 
Alaska Native and Native Hawaiian-Serving Institutions (Part F ANNH), 
Native American-Serving Nontribal Institutions (Part F NASNTI) and 
Asian American and Native American Pacific Islander-Serving 
Institutions (Part F AANAPISI).
    3. Programs authorized under Title V of the HEA: Developing 
Hispanic-Serving Institutions (HSI) and Promoting Postbaccalaureate 
Opportunities for Hispanic Americans (PPOHA).
    Dates:
    Applications Available: December 1, 2015.
    Deadline for Transmittal of Applications: January 4, 2016.
    This year, the Department has instituted a process known as the 
Eligibility Matrix (EM), under which we will use information submitted 
by institutions of higher education (IHEs or institutions) to the 
National Center for Education Statistics (NCES) Integrated 
Postsecondary Education Data System (IPEDS) to determine which 
institutions meet the basic eligibility requirements for the programs 
authorized by Title III or Title V of the HEA listed above. We will use 
enrollment and fiscal data for the 2013-2014 academic year submitted by 
institutions to IPEDS to make eligibility determinations for FY 2016. 
Beginning December 1, 2015, an institution will be able to review the 
Department's decision on whether it is eligible for Title III or Title 
V grant programs through this process by examining its entry in the EM 
linked through the Department's Institutional Service Eligibility Web 
site at: https://www2.ed.gov/about/offices/list/ope/idues/eligibility.html.
    The EM is a read-only worksheet that lists all potentially eligible 
postsecondary institutions, as determined by the Department using the 
data described above. If the entry for your institution in the EM shows 
that your institution is eligible to apply for a grant for a particular 
program, and you plan to submit an application for a grant in that 
program, you will not need to apply for eligibility or for a waiver 
through the process described in this notice. Rather, you may print out 
the eligibility certification directly. However, if the EM does not 
show that your institution is eligible for a program in which you plan 
to apply for a grant, you must submit a waiver request as discussed in 
this notice.
    You may search the EM by institution name, IPEDS unit ID number, or 
OPE ID number. If you are inquiring about general eligibility, look up 
your institution's name under the SIP column. If you are inquiring 
about specific program eligibility, look under that program's column.
    If the EM does not show that your institution is eligible for a 
program, or if your institution does not appear in the EM, or if you 
disagree with the eligibility determination in the EM, you can apply 
for a waiver or reconsideration through the process described in this 
notice. The waiver application process is the same as in previous 
years; you will choose the waiver option on the Web site at https://opeweb.ed.gov/title3and5/ and submit your institution's waiver request.

Full Text of Announcement

I. Funding Opportunity Description

Purpose of Programs

    The Part A SIP, Part A ANNH, Part A PBI, Part A NASNTI, and Part A 
AANAPISI programs are authorized under Title III, Part A, of the HEA. 
The HSI and PPOHA programs are authorized under Title V of the HEA. The 
Part F, HSI STEM and Articulation, Part F PBI, Part F AANAPISI, Part F 
ANNH, and Part F NASNTI programs are authorized under Title III, Part F 
of the HEA. Please note that certain programs in this notice have the 
same or similar names as other programs that are authorized under a 
different statutory authority. For this reason, we specify the 
statutory authority as part of the acronym for certain programs.
    Under the programs discussed above, institutions are eligible to 
apply for grants if they meet specific statutory and regulatory 
eligibility requirements. An IHE that is designated as an eligible 
institution may also receive a waiver of certain non-Federal cost-
sharing requirements for one year under the Federal Supplemental 
Educational Opportunity Grant (FSEOG) program authorized by Part A, 
Title IV of the HEA and the Federal Work-Study (FWS) program authorized 
by section 443 of the HEA. Qualified institutions may receive the FSEOG 
and FWS waivers for one year even if they do not receive a grant under 
the Title III or Title V programs. An applicant that receives a grant 
from the Student Support Services (SSS) program that is authorized 
under section 402D of the HEA, 20 U.S.C. 1070a-14, may receive a waiver 
of the required non-Federal cost share for institutions for the 
duration of the grant. An applicant that receives a grant from the 
Undergraduate International Studies and Foreign Language (UISFL) 
program that is authorized under section 604 of the HEA, 20 U.S.C. 
1124, may receive a waiver or reduction of the required non-Federal 
cost share for institutions for the duration of the grant.

    Note: To qualify as an eligible institution under the grant 
programs listed in this notice, your institution must satisfy 
several criteria. For most of these programs, these criteria include 
those that relate to the enrollment of needy students and to core 
expenses (Core Expenses) per full-time equivalent student count 
(FTE) for a specified base year. The most recent data available for 
Core Expenses per FTE are for base year 2013-2014. In order to award 
FY 2016 grants in a timely manner, we will use this data to evaluate 
eligibility.

    Accordingly, all institutions interested in applying for a new 
grant under the Title III or Title V programs addressed in this notice 
or in requesting a waiver of the non-Federal cost share, must be 
designated as an eligible institution for FY 2016 before applying for a 
grant. Under the HEA, any IHE interested in applying for a grant under 
any of these programs must first be designated as an eligible 
institution. (34 CFR 606.5 and 607.5).

Eligible Applicants

    The eligibility requirements for the programs authorized under Part 
A of Title III of the HEA are in Sections 312 and 317-320 of the HEA 
(20 U.S.C. 1058, 1059d-1059g) and in the Department's implementing 
regulations at 34 CFR 607.2 through 607.5. The regulations may be 
accessed at: www.gpo.gov/fdsys/pkg/CFR-2001-title34-vol3/xml/CFR-2001-title34-vol3-part607.xml.
    The eligibility requirements for the programs authorized by Part F 
of Title III of the HEA are in Section 371 of the HEA (20 U.S.C. 
1067q). There are currently no specific program regulations for these 
programs.
    The eligibility requirements for the Title V HSI program are in 
Part A of Title V of the HEA and in 34 CFR 606.2 through 34 CFR 606.5. 
The regulations may be accessed at: www.gpo.gov/fdsys/pkg/CFR-2001-title34-vol3/xml/CFR-2001-title34-vol3-part606.xml.
    The requirements for the PPOHA program are in Part B of Title V of 
the HEA and in the notice of final requirements published in the 
Federal Register on July 27, 2010 (75 FR 44055), and in 34 CFR 606.2(a) 
and (b), and 606.3 through 606.5.

    Note: Section 312 of the HEA and 34 CFR 607.2-607.5 include most 
of the basic eligibility requirements for grant programs

[[Page 72424]]

authorized under Titles III and V of the HEA. Section 312(b)(1)(B) 
of the HEA provides that, to be eligible for these programs, an 
institution's average ''educational and general expenditures'' (E&G) 
per FTE undergraduate student must be less than the average E&G 
expenditures per FTE undergraduate student of institutions that 
offer similar instruction in that year.

    Since 2004, NCES has calculated Core Expenses per FTE of 
postsecondary institutions, a statistic similar to E&G per FTE. Both 
E&G per FTE and Core Expenses per FTE are based on regular operational 
expenditures of postsecondary institutions (excluding auxiliary 
enterprises, independent operations, and hospital expenses). They 
differ only in that E&G per FTE is based on fall undergraduate 
enrollment, while Core Expenses per FTE is based on 12-month 
undergraduate enrollment for the academic year.
    To avoid inconsistency in the data submitted to and produced by the 
Department, for the purpose of section 312(b)(1)(B) of the HEA, E&G per 
FTE will now be calculated using the same methodology as Core Expenses 
per FTE. Accordingly, with regard to this and future notices inviting 
applications, to calculate E&G per FTE for the purpose of determining 
institutional eligibility for programs under Part A and Part F of Title 
III and Title V of the HEA, the Department will apply the NCES 
methodology for calculating Core Expenses per FTE. Institutions 
requesting an eligibility waiver determination must use the Core 
Expenses per FTE data reported to IPEDS for the most currently 
available academic year, in this case academic year 2013-2014.
    Enrollment of Needy Students: For the Title III and V programs 
(excluding the PBI programs), an institution is considered to have an 
enrollment of needy students if: (1) At least 50 percent of its degree 
students received financial assistance under the Federal Pell Grant, 
FSEOG, FWS, or the Federal Perkins Loan programs; or (2) the percentage 
of its 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 offer similar instruction.
    To qualify under this latter criterion, an institution's Federal 
Pell Grant percentage for base year 2013-2014 must be more than the 
median for its category of comparable institutions provided in the 
2013-2014 Median Pell Grant and Core Expenses per FTE Student table in 
this notice. If your institution qualifies under the first criterion, 
where at least 50 percent of its degree students received financial 
assistance under one of several Federal student aid programs (the 
Federal Pell Grant, FSEOG, FWS, or the Federal Perkins Loan programs), 
but not the second criterion, where an institution's Federal Pell Grant 
percentage for base year 2013-2014 must be more than the median for its 
category of comparable institutions provided in the 2013-2014 Median 
Pell Grant and Core Expenses per FTE Student table in this notice, you 
must submit a waiver request including the requested data, which is not 
available in IPEDS.
    For the definition of ``Enrollment of Needy Students'' for purposes 
of the Part A PBI program, see section 318(b)(2) of the HEA, and for 
purposes of the Part F PBI program see section 371(c)(9)of the HEA.
    Core Expenses per FTE Student: For the Title III, Part A SIP; Part 
A ANNH; Part A PBI; Part A NASNTI; Part A AANAPISI; Title III, Part F 
HSI STEM and Articulation; Part F PBI; Part F AANAPISI; Part F ANNH; 
Part F NASNTI; HSI and PPOHA programs, an institution should compare 
its base year 2013-2014 Core Expenses per FTE student to the average 
Core Expenses per FTE student for its category of comparable 
institutions in the base year 2013-2014 Median Pell Grant and Average 
Core Expenses per FTE Student Table in this notice. The institution 
meets this eligibility requirement under these programs if its Core 
Expenses for the 2013-2014 base year are less than the average for its 
category of comparable institutions.
    Core Expenses are defined as the total expenses for the essential 
education activities of the institution. Core Expenses for public 
institutions reporting under the Governmental Accounting Standards 
Board (GASB) requirements include expenses for instruction, research, 
public service, academic support, student services, institutional 
support, operation and maintenance of plant, depreciation, scholarships 
and fellowships, interest, and other operating and non-operating 
expenses. Core Expenses for institutions reporting under the Financial 
Accounting Standards Board (FASB) standards (primarily private, not-
for-profit, and for-profit) include expenses for instruction, research, 
public service, academic support, student services, institutional 
support, net grant aid to students, and other expenses. For both FASB 
and GASB institutions, core expenses exclude expenses for auxiliary 
enterprises (e.g., bookstores, dormitories), hospitals, and independent 
operations. The following table identifies the relevant median Federal 
Pell Grant percentages for the base year 2013-2014 and the relevant 
Core Expenses per FTE student for the base year 2013-2014 for the four 
categories of comparable institutions:

------------------------------------------------------------------------
                                          Base year 2013- Base year 2013-
                                            2014 median    2014 average
           Type of institution              pell grant     core expenses
                                            percentage        per FTE
                                                              Student
------------------------------------------------------------------------
Two-year Public Institutions............              41         $11,768
Two-year Non-profit Private Institutions              60          16,169
Four-year Public Institutions...........              38          28,501
Four-year Non-profit Private                          38          35,543
 Institutions...........................
------------------------------------------------------------------------

    Waiver Information: IHEs that do not meet the needy student 
enrollment requirement or the Core Expenses per FTE requirement may 
apply to the Secretary for a waiver of these requirements, as described 
in sections 392 and 522 of the HEA, and the implementing regulations at 
34 CFR 606.3(b), 606.4(c) and (d), 607.3(b), and 607.4(c) and (d).
    IHEs requesting a waiver of the needy student enrollment 
requirement or the Core Expenses per FTE requirement must include in 
their application detailed information supporting the waiver request, 
as described in the instructions for completing the application.
    The regulations governing the Secretary's authority to waive the 
needy student requirement, 34 CFR 606.3(b)(2) and (3) and 607.3(b)(2) 
and (3), refer to ``low-income'' students or families. The

[[Page 72425]]

regulations at 34 CFR 606.3(c) and 607.3(c) define ``low-income'' as an 
amount that does not exceed 150 percent of the amount equal to the 
poverty level, as established by the U.S. Census Bureau.
    For the purposes of this waiver provision, the following table sets 
forth the low-income levels for various sizes of families:

                      2014 Annual Low-Income Levels
------------------------------------------------------------------------
                           Family income
                            for the 48
                            contiguous     Family income   Family income
   Size of family unit      States, DC,     for Alaska      for Hawaii
                           and outlying
                           jurisdictions
------------------------------------------------------------------------
1.......................         $11,670         $14,580         $13,420
2.......................          15,730          19,660          18,090
3.......................          19,790          24,740          22,760
4.......................          23,850          29,820          27,430
5.......................          27,910          34,900          32,100
6.......................          31,970          39,980          36,770
7.......................          36,030          45,060          41,440
8.......................          40,090          50,140          46,110
------------------------------------------------------------------------


    Note: We use the 2014 annual low-income levels because those are 
the amounts that apply to the family income reported by students 
enrolled for the fall 2013 semester. For family units with more than 
eight members, add the following amount for each additional family 
member: $4,060 for the contiguous 48 States, the District of 
Columbia, and outlying jurisdictions; $5,080 for Alaska; and $4,670 
for Hawaii.

    The figures shown under family income represent amounts equal to 
150 percent of the family income levels established by the U.S. Census 
Bureau for determining poverty status. The poverty guidelines were 
published by the U.S. Department of Health and Human Services in the 
Federal Register on January 24, 2014 (79 FR 3593). Information about 
``metropolitan statistical areas'' referenced in 34 CFR 606.3(b)(4) and 
607.3(b)(4) may be obtained at: www.census.gov/prod/2010pubs/10smadb/appendixc.pdf and www.census.gov/prod/2008pubs/07ccdb/appd.pdf.

Electronic Submission of Waiver Applications

    If your institution does not appear in the EM as one that is 
eligible for the program under which you plan to apply for a grant, you 
must submit an application for a waiver of the eligibility 
requirements. To request a waiver, you must upload a waiver narrative 
at: https://opeweb.ed.gov/title3and5/.
    Exception to the Electronic Submission Requirement: 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 documents to the 
Web site;
    and
     No later than two weeks before the waiver 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 prevents 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.
    Mail or fax your statement to: Don Crews, U.S. Department of 
Education, 1990 K Street NW., Room 6032, Washington, DC 20006-8513. 
Fax: (202) 502-7861.
    Your paper waiver application must be submitted in accordance with 
the mail or hand delivery instructions described in this notice.

Submission of Paper Applications by Mail

    If you qualify for an exception to the electronic submission 
requirement, you may mail (through the U.S. Postal Service or a 
commercial carrier) your application to the Department. You must mail 
the original and two copies of your application, on or before the 
application deadline date, to the Department at the following address: 
Don Crews, U.S. Department of Education, 1990 K Street NW., Room 6032, 
Washington, DC 20006-8513.
    You must show proof of mailing consisting of one of the following:
    (1) A legibly dated U.S. Postal Service postmark.
    (2) A legible mail receipt with the date of mailing stamped by the 
U.S. Postal Service.
    (3) A dated shipping label, invoice, or receipt from a commercial 
carrier.
    (4) Any other proof of mailing acceptable to the Secretary of the 
U.S. Department of Education.
    If you mail your application through the U.S. Postal Service, we do 
not accept either of the following as proof of mailing:
    (1) A private metered postmark.
    (2) A mail receipt that is not dated by the U.S. Postal Service.

    Note: The U.S. Postal Service does not uniformly provide a dated 
postmark. Before relying on this method, you should check with your 
local post office. We will not consider waiver applications 
postmarked after the application deadline date.

Submission of Paper Applications by Hand Delivery

    If you qualify for an exception to the electronic submission 
requirement, you (or a courier service) may deliver your paper 
application to the Department by hand. You must deliver the 
application, on or before the application deadline date, to the 
Department at the following address: Don Crews, U.S. Department of 
Education, 1990 K Street NW., Room 6032, Washington, DC 20006-8513.
    Hand delivered applications will be accepted daily between 8:00 
a.m. and 4:30 p.m., Washington, DC time, except Saturdays, Sundays, and 
Federal holidays.
    Applicable Regulations: (a) The Education Department General 
Administrative Regulations (EDGAR) in 34 CFR parts 74, 75, 77, 79, 80, 
82, 84, 86, 97, 98, and 99. (b) The OMB Guidelines to Agencies on 
Governmentwide Debarment and Suspension (Nonprocurement) in 2 CFR 180, 
as adopted and amended as regulations of the Department in 2 CFR

[[Page 72426]]

part 3485. (c) The Uniform Administrative Requirements, Cost 
Principles, and Audit Requirements for Federal Awards in 2 CFR part 
200, as adopted in 2 CFR part 3474. (d) The regulations for the Title 
III programs in 34 CFR part 607, and for the HSI program in 34 CFR part 
606. (e) The notice of final requirements for the PPOHA program, 
published in the Federal Register on July 27, 2010 (75 FR 44055).

    Note: There are no program-specific regulations for the Part A 
AANAPISI, Part A NASNTI, and Part A PBI programs or any of the Part 
F, Title III programs. Also, there have been amendments to the HEA 
since the Department last issued regulations for the programs 
established under Titles III and V of the statute. Accordingly, we 
encourage each potential applicant to read the applicable sections 
of the HEA in order to fully understand the eligibility requirements 
for the program for which they are applying.


    Note: The regulations in 34 CFR part 79 apply to all applicants 
except federally recognized Indian tribes.


    Note: The regulations in 34 CFR part 86 apply to IHEs only.

For Applications and Further Information Contact

    Christopher Smith or Jeffrey Hartman, Institutional Service, U.S. 
Department of Education, 1990 K Street NW., Room 6134, Request for 
Eligibility Designation, Washington, DC 20006-8513.
    You can contact these individuals at the following email addresses 
or phone numbers: Christopher.Smith@ed.gov, 202-219-7012, 
Jeffrey.Hartman@ed.gov, 202-502-7607.
    If you use a telecommunications device for the deaf or a text 
telephone, call the Federal Relay Service, toll free, at 1-800-877-
8339.
    Individuals with disabilities can obtain this document in an 
accessible format (e.g., braille, large print, audio tape, or compact 
disc) on request to one of the contact persons listed in this section.
    Electronic Access to This Document: The official version of this 
document is the document published in the Federal Register. Free 
Internet access to the official edition of the Federal Register and the 
Code of Federal Regulations is available via the Federal Digital System 
at: www.gpo.gov/fdsys. At this site you can view this document, as well 
as all other documents of this Department published in the Federal 
Register, in text or Adobe Portable Document Format (PDF). To use PDF 
you must have Adobe Acrobat Reader, which is available free at the 
site.
    You may also access documents of the Department published in the 
Federal Register by using the article search feature at: 
www.federalregister.gov. Specifically, through the advanced search 
feature at this site, you can limit your search to documents published 
by the Department.
    Delegation of Authority: The Secretary of Education has delegated 
authority to Jamienne S. Studley, Deputy Under Secretary, to perform 
the functions and duties of the Assistant Secretary for Postsecondary 
Education.

    Dated: November 16, 2015.
Jamienne S. Studley,
Deputy Under Secretary.
[FR Doc. 2015-29527 Filed 11-18-15; 8:45 am]
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