**Title III Part A, Strengthening Institutions Program**

# Pre-Application Technical Assistance Workshop: FY 2006 Presentation

This file contains the text from 38 Microsoft Powerpoint slides.

##### Slide 1

Cover page: Title III Part A, Strengthening Institutions Program,
Pre-Application Technical Assistance Workshop

##### Slide 2

Title III Strengthening Institutions Program Team A (staff)

Dr. Maria Carrington, Team Leader, 202-502-7548

Ms. Maxcine Garner, Program Assistant, 202-502-7573

Program Officers:

Ms. Allison Brown, 202-502-7611

Ms. Imogene Byers, 202-502-7672

Mr. Don Crews, 202-502-7574

Ms. Kelley Harris, 202-219-7083

Ms. Carolyn Johnson, 202-502-7659

Ms. Karen W. Johnson, 202-502-7642

Ms. Deborah Newkirk, 202-502-7591

Ms. Ellen Sealey, 202-502-7580

Mr. Mark Somerville, 202-502-7593

Fax: 202-502-7861

Program Web site: <http://www.ed.gov/programs/iduestitle3a/index.html>

##### Slide 3

Agenda:

1\. Title III, Part A -- Authority and Purpose

2\. Eligibility Requirements

3\. Types of Grants

4\. Selection Criteria

5\. Program Specific Allowable Activities

6\. Structure of the Application

7\. Grants.gov

###### Slide 4

Picture of the U.S. Department of Education seal

Title III Part A Programs:

-   Strengthening Institutions Program (SIP)

-   American Indian Tribally Controlled Colleges and Universities (TCCU)
    Program

-   Alaska Native and Native Hawaiian Serving Institutions (ANNH)
    Programs

###### Slide 5

Authority:

-   Higher Education Act of 1965, as amended. Part A, Strengthening
    Institutions Programs. 34 CFR Part 607 - Strengthening Institutions
    Program

-   EDGAR: 34 CFR Parts 74, 75, 77, 79, 82, 85 and 86

###### Slide 6

Purpose of Title III, Part A

The purpose of the Title III, Part A Programs is to provide grants to
eligible institutions of higher education to enable them to improve
their academic programs, institutional management, and fiscal stability,
in order to increase their self-sufficiency and strengthen their
capacity to make a substantial contribution to the higher education
resources of the Nation.

###### Slide 7

Eligibility Process:

-   Institutions of higher education (IHE) must first become designated
    as eligible to participate in the Title III and Title V programs.

-   Official notice published in the [Federal Register]{.underline} on
    December 16, 2005.

-   Closing dates for receipt of applications are February 24 and June
    15, 2006.

Eligibility Web site: <http://webprod.cbmiweb.com/title3and5/>

##### Slide 8

Eligibility Requirements:

To be eligible for a SIP grant, an institution must, among other
requirements --

-   Be accredited or pre-accredited by a nationally recognized
    accrediting agency or association;

-   Have a high enrollment of needy students; and

-   Have educational and general (E&G) expenditures per full-time
    equivalent (FTE) undergraduate student that are low in comparison
    with the average E&G expenditures of similar institutions.

##### Slide 9

Program Specific Eligibility Requirements

-   To be eligible for a TCCU grant:

    -   Institutions of higher education must be designated as a an
        American Indian Tribally Controlled College or University and
        identified in the Educational Land Grant Status Act of 1994

-   To be eligible for an ANNH grant, an institution must have:

    -   an enrollment of at least 20 percent Alaskan Native students; or

    -   an enrollment of at least 10 percent Native Hawaiian students

###### Slide 10

Changes to Eligibility Requirements:

-   Fall 2003 head count figures

-   2003 low-income guide

-   Base year for E&G expenditures is 2003-2004

-   Eligibility status valid for five consecutive years

-   TCCUs MUST apply for eligibility designation

##### Slide 11

Types of Grants:

-   Individual Development Grants (5 years)

-   Cooperative Arrangement Development Grants (5 years)

-   Construction/Renovation (1 year) TCCU applicants only

-   Renovation (1 year) ANNH applicants only

##### Slide 12

Individual Development Grants:

Support efforts designed to resolve institutional problems identified in
an applicant institution's Comprehensive Development Plan (CDP)

-   Design specific strategies

-   Carry out one or more activities

-   Activities can be unrelated

-   Identify the expected outputs and outcomes of each

-   Wait out period (except Tribal, Native Hawaiian, and Alaskan Native)

##### Slide 13

Cooperative Arrangements:

-   Arrangements that develop and share technological resources to
    enhance the partners' ability to serve the needs of low-income
    communities and/or minority populations, especially in rural areas.

-   Arrangements involving institutional partners from more than one
    university or college system.

##### Slide 14

Construction and Renovation Grants:

-   One-year construction grants are available for TCCU applicants only.
    Construction is considered developing new structures.

-   One-year renovation grants are available for ANNH applicants only.
    Renovation is repairs and remodeling of existing structures.

##### Slide 15

Selection Criteria

The seven evaluation areas are:

-   Comprehensive Development Plan (CDP)

-   Activity Objectives

-   Implementation Strategy

-   Key Personnel

-   Project Management Plan

-   Evaluation Plan

-   Budget

###### Slide 16

Format For Responding To The Selection Criteria:

-   Develop the Comprehensive Development Plan (CDP)

-   For EACH activity, respond to criteria "b through g."

NOTE: Distribute the costs of administering the grant in the budget of
each proposed ACTIVITY. (Estimate the costs of each activity.)

##### Slide 17

Quality of the Comprehensive Development Plan (CDP)

-   Are the institutional strengths, weaknesses, and problems clearly
    and comprehensively analyzed and did the analysis involve the
    institution's major constituencies?

1\. Identify strengths, problems, and weaknesses as related to academic
programs, fiscal stability, and institutional management using results
from, for example, a recent long range planning process, and/or recent
accreditation review.

2\. Analyze those problems to be addressed with proposed Title III
activities. Show analysis with data, reports, evaluations, and studies.

3\. Questions to be answered with description and analysis of problems
and/or weaknesses:

i\. Does the problem exist at my institution or on a national scope?

ii\. What is the cause of the problem and/or weakness?

iii\. Has enough analysis been conducted to suggest a probable solution?

-   Do not identify problems and/or weaknesses with words such as "lack
    of" or "need for." These words do not necessarily justify a problem
    or weakness.

4\. Describe in detail those involved in making the assessment, e.g.,
faculty, staff, students, community, industry, etc.

##### Slide 18

Institutional Goals

-   Are the goals realistic and well thought-out?

1\. Focus only on those goals that are to be specifically addressed with
Title III funds over the five-year period.\
\
2. Provide detailed comprehensive analyses of those goals and how they
are to be addressed through the proposed activities.

### 

##### Slide 19

Institutional Objectives

-   Are the objectives measurable and related to the institutional goals
    and will they contribute to the institution's growth and
    self-sufficiency?

1\. Focus on objectives related to the proposed activities.

2\. Provide measurable objectives, e.g., "increase the percent of
students returning for the second semester from 45 percent to 51
percent."

3\. Provide a timeframe for achieving objectives.

4\. Clearly discuss how objectives will contribute to growth and
self-sufficiency if achieved.

##### Slide 20

Institutionalization Plan

-   Is there a clear plan to institutionalize project achievements?

Describe realistic methods for institutionalization of the activities
during and after the grant period, e.g., personnel costs, proposed
endowments, equipment costs, operational costs, costs for upgrades, etc.

##### Slide 21

Activity Objectives (for each activity)

-   Quality of activity objectives

    -   Objectives realistic/measurable

> 1\. Provide short narrative to introduce activity
>
> 2\. Describe realistic objectives with performance indicators
>
> 3\. Define in measurable terms

-   Objectives related to the CDP

> 1\. Be sure objectives are directly related to the CDP and
> institutional goals
>
> 2\. Avoid process objectives. Words such as "to provide," "to
> develop," or "to establish" usually describe a task or process, not an
> outcome.

### 

##### Slide 22

Implementation Strategy (for each activity)

-   Quality of implementation strategy

    -   Is the strategy comprehensive?

> 1\. Describe clearly, comprehensively, and sequentially who will do
> what, and how the objective will be met.
>
> 2\. Describe methods to be used to perform tasks and expected results.

-   Is the rationale for the implementation strategy clear and supported
    by research for each activity?

> 1\. Give detailed information on why the method of implementation was
> chosen.
>
> 2\. Be specific as to why the method is the most effective
>
> 3\. Cite relevant studies to support chosen method

-   Are the activity timetables realistic?

1\. Provide realistic timeframes based on the objectives to be
completed, personnel assigned, and the participation of others. Describe
all.

##### Slide 23

Key Personnel (for each activity)

-   Quality of key personnel (as related to activity objectives)

    -   Experience and training

> 1\. Provide information on the experience of persons currently
> employed. (You may provide a resume, but it will be counted in the
> page limit.)
>
> 2\. Provide job qualifications for persons to be hired.
>
> 3\. Identify those persons YOU consider KEY to the project. All
> personnel may not be key to the project.

-   Time commitment

> 1\. Indicate time commitment for all key personnel in the narrative as
> well as in the budget narrative.
>
> 2\. Ensure that time commitment is realistic relative to the duties to
> be performed.

###### Slide 24

Project Management Plan (for each activity)

-   Quality of project management plan

    -   Are the procedures for managing the project likely to ensure
        effective and efficient project implementation?

> 1\. Be specific in describing procedures to monitor and manage the
> project.
>
> 2\. Specifics on procedures to be used by the project director for
> providing information about the project to key administrators to
> facilitate integration of project activities with on-going
> institutional activities

-   Are key personnel afforded sufficient authority to conduct the
    project effectively including access to the president or CEO?

> 1\. Provide information showing the line of authority.
>
> 2\. Address the project director's authority over activity directors
> and activity directors over subordinates.
>
> 3\. Address the relationship between the project director and the
> President (or designee), etc.

###### Slide 25

Evaluation Plan (for each activity)

-   Collect baseline data before the start of the project as a basis for
    measuring activity.

-   Plan should produce a valid assessment of implementation strategies.

-   Should result in annual, quantifiable evidence of attainment of
    objectives activities as well as goals outlined in the CDP.

-   Evaluator should be independent, but not necessarily external, and
    should assist in the initial preparation of the plan.

Quality of evaluation plan

-   Data elements/data collection

    -   identify data elements to be collected

    -   identify procedures for collecting data

    -   provide procedures for analyzing data using both formative
        (output) and summative (outcome) data

-   Data analyses

    -   provide detail information on the plan: who, what, when, how,
        etc.

    -   describe baseline indicators of progress to be used

Formative data versus summative data

-   

-   Formative: provide data (feedback) in order to improve
    implementation of the activity

-   Summative: provide data (qualitative or quantitative) on the results
    of implementing the activity

###### Slide 26

The Budget

Are the costs necessary and reasonable?

The budget includes: a summary budget for each activity; a detailed
budget for each activity; and an overall summary budget for the project.

The budget is used by the reader throughout the review of the
application. The budget is used by the program office to review
allowable and reasonable costs. Funds can be reduced.

###### Slide 27

Common Problems include: unsubstantiated statements of fact;
inconsistencies between the narrative and the budget; unrealistic
budgeting of salaries for key personnel; not addressing all components
within one criterion; and making assumptions.

###### Slide 28

Allowable and Unallowable Activities (Section 607.10 (b)(c))

Allowable and unallowable activities are listed in the application
booklet under Statute and Regulations:

-   Sections 311( c); 316( c); and Section 317 (c) - Web site at
    <http://www.ed.gov/about/offices/list/ope/idues/title3legislation.doc>

-   607.10 (Title III, Part A Programs). Web site at:
    <http://www.access.gpo.gov/nara/cfr/waisidx_05/34cfr607_05.html>

###### Slide 29

Application Submittal

-   Structure Of Application: Formatting

-   Grants.gov

###### Slide 30

Formatting

-   Include a Table of Contents

-   Narrative section limits:

    -   Individual Development Grants - 50 pages

    -   Construction and Renovation Grants - 35 pages

    -   Cooperative Arrangement Development Grants - 70 pages

-   Page limit does not apply to:

    -   Application Face Sheet

    -   Table of Contents

    -   ED Abstract Narrative Form

    -   Budget Narrative Attachment Form

    -   Assurances, Certifications, and Survey Forms

###### Slide 31

Formatting

-   Double space all text in the application except titles, headings,
    footnotes, quotations, references, captions, and all text in charts,
    tables and graphs.

-   Use font size 12.

###### Slide 32

Exceptions for Electronic Submission

You may qualify for an electronic submission waiver if:

-   You do not have access to the internet; or

-   You do not have the capacity to upload large documents to the
    Grants.gov system; AND

-   No later than two weeks before the application deadline date (14
    calendar days), you---

-   Mail or fax a written statement to the Department that, based on the
    two reasons for an exception, prevent you from using the internet.

###### Slide 33

Exceptions for Electronic Submission

Submit all requests for a waiver of the electronic submission to:

Dr. Maria Carrington

U.S. Department of Education

1990 K Street, N.W., Room 6033

Washington, DC 20006-8513

Fax: 202-502-7861

###### Slide 34

Most Frequently Asked Questions By Workshop Attendees

QUESTION: Can I apply for more than one five-year development grant?

ANSWER: No, you can submit only one application during a funding cycle.

QUESTION: Is a current Title V, Hispanic-Serving Institution (HSI)
grantee eligible to apply for and receive a Title III, Part A grant?

ANSWER: You may not receive a grant under any Title III, Part A program.
Further, a current HSI grantee may not give up its grant in order to
receive a grant under any Title III, Part A program.

QUESTION: What are some of the activities allowed under a development
grant project?

ANSWER: Refer to the Web link listed under allowable activities.

QUESTION: How many of the allowable activities may we propose to carry
out?

ANSWER: You may propose to carry out one or several activities. If you
decide to carry out more than one, they may be unrelated, may begin and
end on different dates, and they may vary in duration.

###### Slide 35

Frequently Asked Questions (continued)

QUESTION: Are there mandatory page limits?

ANSWER: Yes. The mandatory page limits are as follows:

-   Fifty (50) pages for individual development grant applications under
    the SIP, TCCU, and ANNH programs;

-   Seventy (70) pages for cooperative development grant applications;
    and

-   Thirty-five (35) pages for construction (under TCCU) and renovation
    (under ANNH) grant applications.

**NOTE: An application that exceeds the mandatory page limit will be
rejected.**

QUESTION: Exactly what pages will be included in the page count?

ANSWER: Refer and adhere to the specific instructions provided for each
type of grant application that is published in the official notice in
the Federal Register.

###### Slide 36

Frequently Asked Questions (continued)

QUESTION: Are there specific font types and sizes that must be used?

ANSWER: Yes. See the official notice published in the Federal Register.

QUESTION: Are we required to submit an electronic application?

ANSWER: Yes. All applications MUST be submitted electronically using
Grants.gov. The Web site address is: <http://www.grants.gov/>.

QUESTION: How do we address costs associated with Project Management?

ANSWER: Costs associated with Project Management should be distributed
among the proposed activities.

QUESTION: What is meant by "operational?"

ANSWER: Operational for the Title III, Part A grant refers to costs
associated with the daily operations of the institution.

###### Slide 37

Frequently Asked Questions (continued)

QUESTION: What is considered as office furniture?

ANSWER: Office furniture is identified as desks, file cabinets, etc.,
specifically purchased to furnish any office outside of the project
director's office. Desks, chairs, etc., for academic space, such as
computer labs, learning centers, etc., are not included in the
definition of office furniture for this program.

NOTE: Refer to the program application booklet for more frequently asked
questions as well as questions specific to the Endowment Building
Activity.

###### Slide 38

Are There Any Questions?\
\
Please contact the staff person assigned to your specific state from the
attached directory.

\[End of slides\]