U.S. DEPARTMENT OF EDUCATION

Office of Postsecondary Education

Washington, DC 20006-8510

![](media/image1.wmf){width="2.9868055555555557in"
height="2.9868055555555557in"}

Fiscal Year 2008

**APPLICATION FOR GRANTS UNDER THE**

**TRAINING PROGRAM FOR FEDERAL TRIO PROGRAMS**

**(CFDA NUMBER: 84.103A)**

**Form Approved: OMB No. 1840-0125, Expiration Date:**

**CLOSING DATE: Month XX, 2008**

**TABLE OF CONTENTS**

[**Dear Applicant** 2](#section)

[**Competition Highlights** 4](#competition-highlights)

[**Introduction** 6](#introduction)

[**Supplemental Information** 7](#supplemental-information)

[**Closing Date Notice** 11](#closing-date-notice)

[**Absolute Priorities for Fiscal Year
2008**](#authorizing-legislation-and-regulations) **33**

**Part III-A Training Program
Profile...............................................................................37**

[**Authorizing Legislation and
Regulations**](#__RefHeading___Toc175639958) **38**

**Expectations for Successful Applicants
......................................................................51**

[Instructions For Completing The Application Package
51](#instructions-for-completing-the-application-package)

[Instructions For Project Narrative
56](#instructions-for-project-narrative)

> *Insert date*

Dear TRIO Training Program Applicant:

Thank you for your interest in applying for a grant under the Training
Program for Federal TRIO Programs (Training Program). The Training
Program provides grants to enable staff and leadership personnel
employed in, participating in, or preparing for employment in projects
funded under the Federal TRIO Programs to receive training in topics
relevant to their responsibilities.

This letter and the "Competition Highlights" section note some of the
requirements for applying for a grant under the fiscal year (FY) 2008
competition. You should review the entire application package carefully
before preparing and submitting your application.

We are requiring that applications for FY 2008 grants under the Training
Program be submitted electronically using Grants.gov. If you have not
already registered with Grants.gov, we strongly urge you to register as
soon as possible since the registration process can take up to two
weeks. We also urge you to consider the following extremely important
administrative factors if you are planning to apply for this program:

> 1\. The initial preparation for your grant submission should include a
> thorough review of the information about how to apply through
> Grants.gov included in the application package. Grants.gov is
> accessible through its portal page at:
>
> [http://www.grants.gov](http://www.grants.gov/)

2.  We strongly recommend that you [submit your application 2-3 days
    prior to the closing date]{.underline}. The time it takes to upload
    an application will vary depending on your application and the speed
    of your Internet connection. The application submission process must
    be completed prior to the deadline for transmittal of applications.

3.  In order to submit successfully, you must remember to provide the
    DUNS number on your application that was used when your organization
    registered with the CCR (Central Contractor Registry.)

After you electronically submit your application, [you will first
receive an e-mail from Grants.gov]{.underline} acknowledging the date
and time at which your application was received. [You will
receive]{.underline} [a second e-mail from Grants.gov]{.underline} that
will state that your application has been validated OR that your
application was rejected with errors. If your application is validated,
[you will receive a third e-mail]{.underline} from the Department of
Education (ED) with an assigned PR/Award number, which

is an ED-specified number that is unique to your application. **The
third confirmation by e-**

**mail, with a PR/Award number assigned, is the e-mail that verifies
that your application was submitted on time by the closing date. This
may take several days.**

The Notice Inviting Applications (Notice), published in the [Federal
Register]{.underline}, contains specific information governing all of
the requirements for applying. You are reminded that the document
published in the [Federal Register]{.underline} is the official
document, and that you should not rely upon any information that is
inconsistent with the guidance contained within the official document.

Finally, we would like to share with you the importance of ensuring that
your application includes a strong evaluation plan. The peer reviewers
will be instructed to look closely at the potential of Training Program
applicants to successfully reach their individual project goals which
are driven by the performance indicators for the Training Program. The
evaluation plan should not only include formative and summative
measures, but also, address the use of appropriate controls and
techniques that provide for independent evaluation. The evaluation plan
should shape the development of the project from the beginning of the
grant period and provide benchmarks for the monitoring of progress and
measurement of that progress throughout the grant award period. You
should pay close attention to the information provided in the
Instructions for Project Narrative section of this application regarding
the development of your evaluation activity.

Thank you for your interest in the Training Program; we look forward to
receiving your application.

> Sincerely,
>
> Deputy Assistant Secretary

Higher Education Programs

## 

# COMPETITION HIGHLIGHTS

1\. **Training Program applications must be submitted electronically
using Grants.gov**

**unless you qualify for one of the exceptions to the electronic
submission requirement**.

The requirements for obtaining an exception to the electronic submission
have changed, and

are included in the Notice. If you think you may need an exception you
are urged to review

the requirements promptly.

2\. Applications submitted late will not be accepted. The Department of
Education (Department)

is required to enforce the established deadline to ensure fairness to
all applicants. No

changes or additions to an application will be accepted after the
deadline date. Please note

that Grants.gov does not allow applicants to "un-submit" applications.
If you discover that

changes or additions are needed once your application has been accepted
and validated by the

Department, you must "re-submit" the application. You should know that
if the Department

receives duplicate applications, we will accept and process the
application with the latest

"date/time received" validation. Go to the Grants.gov portal page for
more information:

[http://www.grants.gov](http://www.grants.gov/)

3\. In consultation with the TRIO community, the Department has already
determined the need

for training in various topics (absolute priorities). Thus, it is not
necessary for applicants to

respond to the "Need" selection criterion in their applications. Each
eligible application will

receive 25 points in the evaluation process for the "Need" selection
criterion.

4\. There are four absolute priorities for the FY 2008 competition.
These priorities were chosen

from the legislation and regulations for the Training Program and
further developed to

respond to the articulated training needs of personnel employed in
Federal TRIO Programs'

projects. You will find more information on the selection criteria and
application review

process in this application package. Also, see the section on "Absolute
Priorities for Fiscal

Year 2008" for a more thorough discussion of the absolute priorities.

**[NOTE]{.underline}**: Applicants should indicate the priority under
which they are applying in Box 15, "Descriptive Title of Applicant's
Project," of the SF 424. This will ensure that the readers clearly know
under which priority each application should be considered.

5\. As you develop your proposals, we ask you to carefully consider the
specific

content that you will provide through your curriculum and the expertise
and knowledge

expected of the trainers that you will identify. As appropriate for the
specific priority, trainers

should have knowledge and expertise in serving TRIO-eligible students as
well as success in

training adults. If you receive a Training Program grant, you will be
required to submit your

training materials for our review prior to their use. At that time, we
will look for high quality

trainings that include opportunities for the participants to gain
knowledge, skills, and

resources that support the goals under the priority for which you were
awarded a grant. See

the section in this package called "Expectations for Successful
Applicants" for more

information.

6\. All applicants must complete the new Part III-A Training Program
Profile form. The

Training Program Profile contains two standardized objectives. All
applicants are required to

propose the percentage or number -- which is indicted on the form \-- at
which each of these

objectives will be met. Applicants may not modify, amend or delete any
of these objectives.

Complete instructions for submitting the form are included in the Part
III-A instructions.

7\. All applicants must provide a Part III-B one-page abstract. Complete
instructions for

> submitting this form are included in the Instructions for Completing
> the Application Package (Part III-B instructions).

8\. Information on the Training Program is accessible at the
Department's Web site at:

<http://www.ed.gov/programs/triotrain/index.html>.

# INTRODUCTION 

# TRAINING PROGRAM FOR FEDERAL TRIO PROGRAMS

**AUTHORIZATION**

Title IV, Part A, Subpart 2, Section 402G of the Higher Education Act of
1965, as amended.

**PROGRAM REGULATIONS**

> 34 CFR part 642 Training Program for Federal TRIO Programs

**PURPOSE**

> Provides Federal financial assistance to train the staff and
> leadership personnel employed in, or preparing for employment in,
> Federal TRIO Program projects.

**ELIGIBLE APPLICANTS**

> The following are eligible to apply for a grant to carry out a
> Training Program project:

(a) Institutions of higher education.

(b) Public and private nonprofit agencies and agencies.

ACTIVITIES FUNDED UNDER THIS PROGRAM

(a) A Training Program project trains the staff and leadership personnel
    of Federal TRIO Program projects to enable them to more effectively
    operate those projects.

(b) A Training Program project may include conferences, internships,
    seminars, workshops, and the publication of manuals designed to
    improve the operations of Federal TRIO Program projects.

(c) Each year, one or more Training Program projects must provide
    training for new project directors.

(d) Each year, one or more Training Program projects must offer training
    covering the following topics:

    1.  The legislative and regulatory requirements for operating
        Federal TRIO Programs.

    2.  Assisting students to obtain adequate student financial
        assistance from programs authorized under Title IV of the Act,
        as well as from other sources.

    3.  The design and operation of model Federal TRIO Program projects.

# SUPPLEMENTAL INFORMATION

> The following information supplements the information provided in the
> "Dear Applicant" letter and the [Notice]{.underline}.

1.  **Estimated Funding and Project Period**

    -   Estimated Available Funds for FY 2008: \$4,000,000

    -   Estimated Range of Awards: \$300,000 - \$450,000 per year

    -   Estimated Average Size of Awards: \$425,000

    -   Estimated Number of New Awards: 8 - 12

    -   Project Period for New Awards: Up to 24 months

> The U.S. Department of Education is not bound by these estimates

2.  Training Program Priorities

Each application must clearly identify a specific absolute training
priority and must address each of the topics listed under that specific
priority.

> Priority 1. Training to improve: recordkeeping; reporting student and
> project performance; and the evaluation of project performance in
> order to design and operate a model TRIO project.
>
> Priority 2. Training on: budget management and the legislative and
> regulatory requirements for operation of the Federal TRIO Programs.
>
> Priority 3. Training on: assessment of student needs; proven retention
> and graduation strategies; and the use of educational technology in
> order to design and operate a model TRIO project.
>
> Priority 4. Training on: student financial aid and college and
> university admissions policies and procedures.

**3. Intergovernmental Review of Federal Programs**

> Intergovernmental Review of Federal Programs was issued to foster an
> intergovernmental partnership and to strengthen federalism by relying
> on state and local processes for the coordination and review of
> proposed Federal financial assistance.
>
> Applicants must contact the appropriate State Single Point of Contact
> to find out about, and to comply with, the State\'s process under
> Executive Order 12372. A listing of the Single Point of Contact for
> each State may be viewed at:
> [http://www.whitehouse.gov/OMB/grants/spoc.html]{.underline}.

4.  **Applicant Funding**

> The Department is often unable to award the full amount of funds
> requested. Applicants should pay close attention to the "Award
> Information" section of the [Notice]{.underline}. The Department will
> not fund any application at an amount exceeding the applicable maximum
> award level.

5.  **Evaluation of Applicants for Awards**

A three-member panel of non-federal reviewers evaluates each
application. Each reviewer assigns points for each selection criterion
and prepares evaluation comments.

**7. Selection Criteria**

> The selection criteria in 34 CFR part 642 are used to evaluate
> applications. The selection criteria and maximum possible points are
> included in the application package.

**8. Notice to Successful Applicants**

The Department's Office of Legislation and Congressional Affairs will
inform the Congress regarding applications approved for new TRIO
Training Program grants. Successful applicants will receive award
notices by mail shortly after the Congress is notified. No funding
information will be released before the Congress is notified.

**9. Notice to Unsuccessful Applicants**

Unsuccessful applicants will be notified in writing following the notice
to successful applicants.

> **10. Annual Performance Report Requirements**
>
> If you receive a FY 2008 new grant award, you will be required to
> submit annual performance reports during the two-year funding cycle
> using the Education Department's e-Reports function. This online
> system collects narratives and data about funded projects to enable
> program specialists to determine if a grantee is making substantial
> progress toward meeting approved project objectives. The e-Reports
> system is accessible at: [http://e-Grants.gov](http://e-Grants.gov/),
> then select e-Reports.

**11. Contact Information.**

**[For Training program-related questions and assistance, please
contact]{.underline}:**

Program Specialist: Jane Wrenn

Address: Federal TRIO Programs

U.S. Department of Education

1990 K Street, N.W., Suite 7000

Washington, D.C. 20006-8510

Telephone: (202) 502-7600

Fax: (202) 502-7857

E-mail Address: <jane.wrenn@ed.gov>

**[For Grants.gov-related questions and assistance, please
contact]{.underline}**:

Support Desk: Grants.gov Support Desk

Telephone: (800) 518-4726

Hours: Monday -- Friday, 7:00 A.M. -- 9:00 P.M. Eastern Time

# CLOSING DATE NOTICE

44000-01-U

DEPARTMENT OF EDUCATION

Office of Postsecondary Education

Overview Information

Training Program for Federal TRIO Programs (Training Program)

Notice inviting applications for new awards for fiscal year (FY)
2008**.**

Catalog of Federal Domestic Assistance (CFDA) Number: 84.103A

[Dates]{.underline}:

Applications Available: *Insert date*.

Deadline for Transmittal of Applications: *Insert date*.

Deadline for Intergovernmental Review: *Insert date*.

Full Text of Announcement

I. Funding Opportunity Description

[Purpose of Program]{.underline}: The Training Program provides grants
to train staff and leadership personnel employed in, participating in,
or preparing for employment in, projects funded under the Federal TRIO
Programs to improve the operation of projects funded under the Federal
TRIO Programs.

[Priorities]{.underline}: In accordance with 34 CFR 75.105(b)(2)(iv) and
34 CFR 75.105(b)(2)(ii), these priorities are from section 402G(b)

of the Higher Education Act of 1965, as amended (HEA), and the
regulations for this program (34 CFR 642.34). Annually, each successful
applicant must provide at least one training session on each requisite
topic listed within a specific priority that is tailored to the needs of
TRIO staff with less than two years of TRIO project experience, and,
annually, must provide training to at least 325 participants, unless we
specify another number of participants.

Each application must clearly identify the specific priority number for
which a grant is requested, and must address each of the topics listed
under that specific priority. An application for a grant under a
specific priority should not include information concerning any other
priority. Each application also must identify how the applicant will
meet the requirement to provide at least one training session tailored
to the needs of new TRIO staff, annually.

For example, an application for a grant under Priority 1 must address
only training to improve recordkeeping, reporting student and project
performance, and evaluation of project performance as a means for
designing and operating a model TRIO project, and must describe how the
applicant will provide at least one training session on each of these
topics that is geared to the needs of new TRIO staff, annually.

[Absolute Priorities]{.underline}: For FY 2008, these priorities are
absolute priorities. Under 34 CFR 75.105(c) (3), we consider only
applications that meet these priorities. These priorities are:

[Priority 1]{.underline}. Training to improve: recordkeeping; reporting
student and project performance; and the evaluation of project
performance in order to design and operate a model TRIO project.

Number of expected awards: 2-3.

Maximum award amount: \$450,000.

[Priority 2]{.underline}. Training on: budget management and the
legislative and regulatory requirements for operation of the Federal
TRIO Programs.

Number of expected awards: 2-3.

Maximum award amount: \$400,000.

[Priority 3]{.underline}. Training on: assessment of student needs;
proven retention and graduation strategies; and the use of educational
technology in order to design and operate a model TRIO project.

Number of expected awards: 2-3.

Maximum award amount: \$450,000.

[Priority 4]{.underline}. Training on: student financial aid and college
and university admissions policies and procedures.

Number of expected awards: 1-2.

Maximum award amount: \$400,000.

[Maximum number of applications for a priority]{.underline}: An

applicant may submit only one application for a grant under each
priority. If an applicant submits more than one application under a
specific priority, we will accept only the application with the latest
"date/time received" validation and we will reject all other
applications.

[Program Authority]{.underline}: 20 U.S.C. 1070a-11 and 1070a-17.

[Applicable Regulations]{.underline}: (a) The Education Department

General Administrative Regulations (EDGAR) in 34 CFR parts 74, 75, 77,
79, 80, 81, 82, 84, 85, 86, 97, 98 and 99.

\(b\) The regulations for this program in 34 CFR part 642.

[Note]{.underline}: The regulations in 34 CFR part 79 apply to all
applicants except federally recognized Indian tribes.

[Note]{.underline}: The regulations in 34 CFR part 86 apply to
institutions of higher education only.

II\. Award Information

[Type of Award]{.underline}: Discretionary grants.

[Estimated Available Funds]{.underline}: The Administration has
requested \$828,000,000 for FY 2008 Federal TRIO Programs, of which we
intend to use an estimated \$4,000,000 for the Training Program
competition.

[Estimated Range of Awards]{.underline}: \$300,000 - \$450,000.

[Estimated Average Size of Awards]{.underline}: \$425,000.

[Maximum Award]{.underline}: We will reject any application that
proposes a budget exceeding the maximum amount listed for each of the
four absolute priorities, listed below, for a single budget period of 12
months:

-   Priority 1: \$450,000;

-   Priority 2: \$400,000;

-   Priority 3: \$450,000; and

-   Priority 4: \$400,000.

    The Assistant Secretary for Postsecondary Education may change the
    maximum amount through a notice published in the [Federal
    Register]{.underline}.

    To be consistent with the goal of serving all regions of the country
    as provided in 34 CFR 642.33, successful applicants will be expected
    to provide training to at least 325 participants, annually, unless
    we specifically approve another number.

[Estimated Number of Awards]{.underline}: 8-12.

[Note]{.underline}: The Department is not bound by any estimates in this
notice.

[Project Period]{.underline}: Up to 24 months.

## III. Eligibility Information

1\. [Eligible Applicants]{.underline}: Institutions of higher education
and other public and private nonprofit institutions and organizations.

> 2\. [Cost Sharing or Matching]{.underline}: This program does not
> require cost sharing or matching.

3\. [Other]{.underline}: An applicant may submit only one application
for a grant under each priority. Each application must clearly identify
the specific priority number for which a grant is requested, and must
address each of the topics listed under that specific priority. An
application for a grant under a specific priority should not include
information concerning any other priority.

Each successful applicant also must provide at least one training
session on each listed topic in a specific priority that is tailored to
the needs of new TRIO project directors and TRIO staff with less than
two years of TRIO project experience. An applicant must identify how the
applicant will meet the requirement to provide at least one training
session tailored to the needs of new TRIO staff, annually.

To be consistent with the goal of serving all regions of the country as
provided in 34 CFR 642.33, successful applicants will be expected to
provide training to at least 325 participants, unless we specifically
approve another number.

IV\. Application and Submission Information

1\. [Address to Request Application Package]{.underline}: Jane Wrenn,
U.S. Department of Education, 1990 K Street, NW., suite 7000,
Washington, DC 20006-8510. Telephone: (202) 502-7600 or by e-mail:
TRIO@ed.gov.

If you use a telecommunications device for the deaf (TDD), call the
Federal Relay Service (FRS), toll free, at 1-800-877-8339.

Individuals with disabilities may obtain a copy of the application
package in an alternative format (e.g., Braille, large print, audiotape,
or computer diskette) by contacting the program contact person listed in
this section.

2.  [Content and Form of Application Submission]{.underline}:

Requirements concerning the content of an application, together with the
forms you must submit, are in the application package for this program.

Page Limit: Part III, the application narrative is where you, the
applicant, address the selection criteria and priorities that reviewers
use to evaluate your application. You must limit Part III, the program
narrative, to the equivalent of no more than 50 pages, using the
following standards:

-   A "page" is 8.5" x 11", on one side only, with 1" margins at the
    top, bottom, and both sides. Page numbers and an identifier may be
    within the 1" margin.

-   Double space (no more than three lines per vertical inch) all text
    in the application narrative, including titles, headings, footnotes,
    quotations, references, captions and all text in charts, tables, and
    graphs.

-   Use a font that is either 12 point or larger or no smaller than 10
    pitch (characters per inch).

-   Use one of the following fonts: Times New Roman, Courier, Courier
    New, or Arial. Applications submitted in any other font (including
    Times Roman and Arial Narrow) will not be accepted.

The page limit does not apply to Part I, the application for federal
assistance face sheet (SF 424); Part II, the budget information summary
form (ED Form 524); Part III-A, the program profile form; Part III-B,
the one-page narrative form; and Part IV, the assurances and
certifications. The page limit also does not apply to a table of
contents. If you include any attachments or appendices, these items will
be counted as part of Part III, the program narrative, for purposes of
the page limit requirement. You must include your complete response to
the selection criteria and priorities in Part III, the program
narrative.

We will reject your application if-

-   You apply these standards and exceed the page limit;

or

-   You apply other standards and exceed the equivalent

of the page limit.

3\. [Submission Dates and Times]{.underline}:

Applications Available: *Insert date*.

Deadline for Transmittal of Applications: *Insert date*.

Applications for grants under this program must be submitted
electronically using the Grants.gov Apply site
([Grants.gov](http://www.grants.gov/)). For information (including dates
and times) about how to submit your application electronically or in
paper format by mail or hand delivery if you qualify for an exception to
the electronic submission requirement, please refer to Section IV. 6.
[Other Submission Requirements]{.underline} in this notice.

We do not consider an application that does not comply with the deadline
requirements.

Individuals with disabilities who need an accommodation or auxiliary aid
in connection with the application process should contact the person
listed under [For Further Information Contact]{.underline} in section
VII in this notice. If the Department provides an accommodation or
auxiliary aid to an individual with a disability in connection with the
application process, the individual's application remains subject to all
other requirements and limitations in this notice.

Deadline for Intergovernmental Review: *Insert date*.

4\. [Intergovernmental Review]{.underline}: This program is subject to
Executive Order 12372 and the regulations in 34 CFR part 79. Information
about Intergovernmental Review of Federal Programs under Executive Order
12372 is in the application package for this program.

5\. [Funding Restrictions]{.underline}: We specify unallowable costs in
34 CFR 642.

6\. [Other Submission Requirements]{.underline}: Applications for grants
under this program must be submitted electronically unless you qualify
for an exception to this requirement in accordance with the instructions
in this section.

a\. [Electronic Submission of Applications]{.underline}.

Applications for grants under the Training Program --- CFDA Number
84.103A - must be submitted electronically using the Grants.gov Apply
site at: [http://www.grants.gov](http://www.grants.gov/). Through this
site, you will be able to download a copy of the application package,
complete it offline, and then upload and submit your application. You
may not e-mail an electronic copy of a grant application to us.

We will reject your application if you submit it in paper format unless,
as described elsewhere in this section, you qualify for one of the
exceptions to the electronic submission requirement [and]{.underline}
submit, no later than two weeks before the application deadline date, a
written statement to the Department that you qualify for one of these
exceptions. Further information regarding calculation of the date that
is two weeks before the application deadline date is provided later in
this section under [Exception to Electronic Submission
Requirement]{.underline}.

You may access the electronic grant application for the Training Program
at: http://www.grants.gov. You must search for the downloadable
application package for this program by the CFDA number. Do not include
the CFDA number's alpha suffix in your search.

Please note the following:

-   When you enter the Grants.gov site, you will find information about
    submitting an application electronically through the site, as well
    as the hours of operation.

-   Applications received by Grants.gov are time and date stamped. Your
    application must be fully uploaded and submitted, and must be
    date/time stamped by the Grants.gov system no later than 4:30 p.m.,
    Washington, DC time, on the application deadline date. Except as
    otherwise noted in this section, we will not consider your
    application if it is date/time stamped by the Grants.gov system
    later than 4:30 p.m., Washington, DC time, on the application
    deadline date. When we retrieve your application from Grants.gov, we
    will notify you if we are rejecting your application because it was
    date/time stamped by the Grants.gov system after 4:30 p.m.,
    Washington, DC time, on the application deadline date.

-   The amount of time it can take to upload an application will vary
    depending on a variety of factors including the size of the
    application and the speed of your Internet connection. Therefore, we
    strongly recommend that you do not wait until the application
    deadline date to begin the submission process through Grants.gov.

-   You should review and follow the Education Submission Procedures for
    submitting an application through Grants.gov that are included in
    the application package for this program to ensure that you submit
    your application in a timely manner to the Grants.gov system. You
    can also find the Education Submission Procedures pertaining to
    Grants.gov at:

[http://e-Grants.ed.gov/help/GrantsgovSubmissionProcedures.pdf](http://e-Grants.ed.gov/help/  GrantsgovSubmissionProcedures.pdf).

-   To submit your application via Grants.gov, you must complete all the
    steps in the Grants.gov registration

***process(see <http://www.grants.gov/GetStarted>). These steps include
(1) registering your organization, (2) registering yourself as an
Authorized Organization Representative (AOR), and (3) getting authorized
as an AOR by your organization. Details on these steps are outlined in
the Grants.gov 3-Step Registration Guide (see http://www*.**

***grants.gov/assets/GrantsgovCoBrandBrochure8X11.pdf). You also must
provide on your application the same D-U-N-S Number used with this
registration. Please note that the registration process may take five or
more business days to complete, and you must have completed all
registration steps to allow you to successfully submit an application
via Grants.gov.***

-   ***You will not receive additional point value because***

***you submit your application in electronic format, nor will we
penalize you if you qualify for an exception to the electronic
submission requirement, as described elsewhere in this section, and
submit your application in paper format.***

-   ***You must submit all documents electronically including all
    information typically included on the Application for Federal
    Assistance (SF 424), Budget Information\--Non-Construction Programs
    (ED 524), and all necessary assurances and certifications. You must
    attach any narrative sections of your application as files in a .DOC
    (document), .RTF (rich text), or .PDF (Portable Document) format. If
    you upload a file type other than the three file types specified
    above or submit a password protected file, we will not review that
    material.***

-   ***Your electronic application must comply with any page limit
    requirements described in this notice.***

-   ***After you electronically submit your application,***

    you will receive an automatic acknowledgment from Grants.gov that
    contains a Grants.gov tracking number. The Department will retrieve
    your application from Grants.gov and send you a second confirmation
    by e-mail that will include a PR/Award number (an ED-specified
    identifying number unique to your application).

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-   We may request that you provide us original signatures on forms at a
    later date.

[Application Deadline Date Extension in Case of Technical Issues with
the Grants.gov System]{.underline}: If you are prevented from
electronically submitting your application on the application deadline
date because of technical problems with the Grants.gov system, we will
grant you an extension until 4:30 p.m., Washington, DC time, the
following business day to enable you to transmit your application
electronically, or by hand delivery. You also may mail your application
by following the mailing instructions as described elsewhere in this
notice. If you submit an application after 4:30 p.m., Washington, DC
time, on the deadline date, please contact the person listed elsewhere
in this notice under [For Further Information Contact]{.underline}, and
provide an explanation of the technical problem you experienced with
Grants.gov, along with the Grants.gov Support Desk Case Number (if
available). We will accept your application if we can confirm that a
technical problem occurred with the Grants.gov system and that that
problem affected your ability to submit your application by 4:30 p.m.,
Washington, DC time, on the application deadline date. The Department
will contact you after a determination is made on whether your
application will be accepted.

[Note]{.underline}: Extensions referred to in this section apply only to
the unavailability of or technical problems with the Grants.gov system.
We will not grant you an extension if you failed to fully register to
submit your application to Grants.gov before the deadline date and time,
or if the technical problem you experienced is unrelated to the
Grants.gov system.

[Exception to Electronic Submission Requirement]{.underline}: 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 through the Grants.gov system because----

-   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]{.underline}

-   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: Eileen S. Bland, U.S.
Department of Education, 1990 K Street, NW., suite 7000, Washington, DC
20006--8510. FAX: (202) 502-7857.

Your paper application must be submitted in accordance with the mail or
hand delivery instructions described in this notice.

b\. [Submission of Paper Applications by Mail]{.underline}.

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 applicable following
address:

[By mail through the U.S. Postal Service]{.underline}:

U.S. Department of Education

::: Definition-Term
Application Control Center
:::

Attention: (CFDA Number 84.103A)

400 Maryland Avenue, SW.

Washington, DC 20202-4260

or

[By mail through a commercial carrier]{.underline}:

U.S. Department of Education

Application Control Center -- Stop 4260

Attention: (CFDA Number 84.103A)

7100 Old Landover Road

Landover, MD 20785-1506

Regardless of which address you use, 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, or

\(4\) 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, or

\(2\) A mail receipt that is not dated by the U.S. Postal Service.

If your application is postmarked after the application deadline date,
we will not consider your application.

[Note]{.underline}: 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.

c\. [Submission of Paper Applications by Hand Delivery]{.underline}.

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 original and
two copies of your application, by hand, on or before the application
deadline date, to the Department at the following address:

U.S. Department of Education

Application Control Center

Attention: (CFDA Number 84.103A)

550 12th Street, SW.

::: Definition-Term
Room 7041, Potomac Center Plaza
:::

Washington, DC 20202-4260

The Application Control Center accepts hand deliveries daily between
8:00 a.m. and 4:30 p.m., Washington, DC time, except Saturdays, Sundays,
and Federal holidays.

[Note for Mail or Hand Delivery of Paper Applications]{.underline}: If
you mail or hand deliver your application to the Department:

\(1\) You must indicate on the envelope and --- if not provided by the
Department --- in Item 4 of the Application for Federal Education
Assistance (SF 424) the CFDA number -- and suffix letter, if any -- of
the competition under which you are submitting your application.

\(2\) The Application Control Center will mail a grant application
receipt acknowledgment to you. If you do not receive the grant
application receipt acknowledgment within 15 business days from the
application deadline date, you should call the U.S. Department of
Education Application Control Center at (202) 245-6288.

V. Application Review Information

1\. [Selection Criteria]{.underline}: The selection criteria for this
program competition are in 34 CFR 642.31 and listed in the application
package.

[Note]{.underline}: For the FY 2008 competition, the Secretary has
identified "Need" for training projects through the selection of four
absolute priorities. Therefore, the Secretary will consider that an
applicant has satisfied the "Need" criterion listed in 34 CFR 642.31(f)
by applying for a grant under one of these priorities, and applicants do
not have to address this criterion. The application package contains
instructions on addressing the remaining selection criteria.

2.  [Review and Selection Process]{.underline}: A panel of non-

federal readers will review each application in accordance with the
selection criteria, pursuant to 34 CFR 642.30(a). The individual scores
of the readers will be added and the sum divided by the number of
readers to determine the reader score received in the review process. In
accordance with 34 CFR 642.32, the Secretary will award prior experience
points to applicants that have conducted a Training Program project
within the last three fiscal years, based on their documented
experience. Prior experience points, if any, will be added to the
application's averaged reader score to determine the total score for
each application.

Pursuant to section 402A(c)(3) of the HEA, the Secretary will not make
awards in the order of the scores received by the application in the
review process and adjusted for prior experience. Instead, within each
specific absolute priority for which a grant is requested, the Secretary
will select an application for funding in the order of the reader score
received by the application in the review process.

Within each specific priority, if there are insufficient funds to fund
all applications at the next reader score, the Secretary will use the
reader score received by the application in the review process, adjusted
for prior experience, to make awards. In the event a tie still exists,
the Secretary will select for funding the applicant that has the
greatest capacity to provide training in all regions of the Nation in
order to assure accessibility to the greatest number of prospective
training participants, consistent with 34 CFR 642.33.

VI\. Award Administration Information

1\. [Award Notices]{.underline}: If your application is successful, we
notify your U.S. Representative and U.S. Senators and send you a Grant
Award Notice (GAN). We may notify you informally, also.

If your application is not evaluated or not selected for funding, we
notify you.

2.  [Administrative and National Policy Requirements]{.underline}:

    We identify administrative and national policy requirements in the
    application package and reference these and other requirements in
    the [Applicable Regulations]{.underline} section in this notice.

    We reference the regulations outlining the terms and conditions of
    an award in the [Applicable Regulations]{.underline} section in this
    notice and include these and other specific conditions in the GAN.
    The GAN also incorporates your approved application as part of your
    binding commitments under the grant.

    3\. [Reporting]{.underline}: At the end of your project period, you
    must submit a final performance report, including financial
    information as directed by the Secretary. If you receive a
    multi-year award, you must submit an annual performance report that
    provides the most current performance and financial expenditure
    information as directed by the Secretary under 34 CFR 75.118. The
    Secretary may also require more frequent performance reports under
    34 CFR 75.720(c). For specific requirements on reporting, please go
    to

    http://www.ed.gov/fund/grant/apply/appform/appforms.html

4\. [Performance Measures]{.underline}: The success of the Training
Program is measured by its cost-effectiveness, based on the percentage
of TRIO personnel receiving training each year, and by the percentage of
those receiving training who rate the training as highly useful. All
grantees will be required to submit an annual performance report
documenting their success in training TRIO personnel, including the
average cost per trainee and the trainees' evaluations of the
effectiveness of the training provided.

VII\. Agency Contacts

[For Further Information Contact]{.underline}: Jane Wrenn**,** if
unavailable, contact Eileen S. Bland, U.S. Department of Education, 1990
K Street, NW., suite 7000, Washington, DC 20006-8510. Telephone: (202)
502-7600 or by e-mail: TRIO@ed.gov

***If you use a TDD, call the FRS, toll free, at 1-800-877-8339.***

***VIII Other Information***

[Alternative Format]{.underline}: Individuals with disabilities can
obtain this document and a copy of the application package in an
alternative format (e.g., Braille, large print, audiotape, or computer
diskette) on request to the program contact person listed in this
section.

[Electronic Access to This Document]{.underline}: You may view this
document, as well as all other documents of this Department published in
the [Federal Register]{.underline}, in text or Adobe Portable Document
Format (PDF) on the Internet at the following site:
www.ed.gov/news/fedregister

To use PDF you must have Adobe Acrobat Reader, which is available free
at this site. If you have questions about using PDF, call the U.S.
Government Printing Office (GPO), toll free, at 1-888-293-6498; or in
the Washington, DC area at (202) 512-1530.

[Note]{.underline}: The official version of this document is the
document published in the [Federal Register]{.underline}. Free Internet
access to the official edition of the [Federal Register]{.underline} and
the Code of Federal Regulations is available on GPO Access at:
[www.gpoaccess.gov/nara/index.html](http://www.gpoaccess.gov/nara/index.html)

Dated:

> [/signed/\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}

Diane Auer Jones

[Assistant Secretary]{.underline}

> [for Postsecondary Education]{.underline}.

# Absolute Priorities for FY 2008

The Department will fund projects under the Training Program that
provide training for staff and leadership personnel employed in,
participating in, or preparing for employment in the Federal TRIO
Programs. The Secretary has identified the content of the trainings to
be held, listed under the following four (4) absolute priorities for
this competition. The Notice published in the [Federal
Register]{.underline} has additional information on the FY 2008
competition. Applicants should indicate the priority under which they
are applying in Box 15, "Descriptive Title of Applicant's Project," of
SF 424.

NOTES:

1)  Applicants must identify and provide the position requirements and
    qualifications of experts who have proven knowledge and expertise in
    serving TRIO-eligible students.

2)  Applicants must show evidence of having researched and identified
    training methods for adults that have had proven success.

3)  Applicants must demonstrate how they will provide at least one
    training session for new TRIO project directors.

4)  Applicants must demonstrate how they will meet the objectives set
    forth in the Part III-A Training Program Profile form.

## **Absolute Priority #1**

**Recordkeeping; reporting of student and project performance; and the
evaluation of project performance in order to design and operate a model
TRIO project.**

Trainings conducted under this priority must emphasize and support the
importance of using data to improve project performance. Applicants must
articulate how they will assist participants with collecting data that
will meet the program's standardized objectives; analyzing the data;
reporting the data to the Department; evaluating the project through the
data; and using the information gained from the data to improve the
project's success in meeting its program specific objectives.

## **Recordkeeping and Reporting**

-   Applicants must have a working knowledge of each TRIO program's
    objectives in order to assist participants with identifying
    effective ways to collect, record and analyze the data that will
    serve to meet each TRIO program's objectives.

-   The trainings must provide TRIO personnel with effective strategies
    for reporting student and project performance to the Department.

-   Applicants must have a working knowledge of the Department's
    performance reporting requirements for each TRIO program. Applicants
    must propose to conduct trainings on those annual requirements as
    follows: in year one of the grant cycle, train half of the total
    participants to be served during the term of the grant; and in year
    two of the grant cycle train the other half of the total
    participants to be served during the term of the grant.

## **Evaluation**

-   The trainings must provide TRIO personnel with information and
    resources on how to conduct formative and summative evaluations in
    order to improve the performance of the project staff and the
    project as a whole.

## **Absolute Priority #2**

**Budget management and the legislative and regulatory requirements for
operation of the Federal TRIO Programs.**

Trainings conducted under this priority must provide participants with
an understanding of the connection between program management and the
legislative and regulatory requirements governing their TRIO projects.
Applicants must understand how the TRIO legislation, regulations, OMB
Circulars, and Departmental policies should shape the budget and program
management practices of project personnel.

## **Budget Management**

-   Applicants must emphasize how to develop and improve budget
    management through internal controls and financial management with
    special emphasis placed on the relevant OMB Circulars. Trainings
    must cover checks and balances designed to ensure that grant funds
    are used only for eligible expenses and that no one person controls
    the authorization and disbursement of grant funds. Trainings must
    also cover conflicts of interest provisions and the grantee's
    obligations as a fiduciary.

## **Legislative and Regulatory Requirements**

-   Applicants must have a working knowledge of the legislation and
    regulations that govern TRIO programs, including the Education
    Department General Administration Regulations (EDGAR), OMB
    Circulars, and policy statements issued by the Department.
    Applicants should propose trainings that will provide participants
    with examples of practical applications of the governing rules for
    each program and TRIO programs as a whole.

-   Applicants may propose to conduct trainings for institutional teams
    in order to assist them in understanding the legislation and
    regulations governing the TRIO programs; and, to assure that
    institutional representatives from other departments at the host
    institutions, along with TRIO directors and staff, understand the
    expectations, rights, and responsibilities of institutions and
    agencies that agree to sponsor TRIO grants.

-   Emphasis should be placed on:

    -   Providing a history of the legislative purpose of TRIO programs
        in order to highlight the importance of adherence to the
        programs' legislation and regulations;

    -   Determining participant eligibility;

    -   Understanding the difference between allowable and non-allowable
        costs;

    -   Learning how to prevent and resolve audit disputes; and

    -   Examining ways to coordinate TRIO programs with other programs
        for disadvantaged students.

######### Absolute Priority #3

**Assessment of student needs; proven retention and graduation
strategies; and the use of educational technology in order to design and
operate a model TRIO project.**

## 

Applicants must propose trainings that will provide TRIO personnel with
proven strategies for retaining students and supporting them through
graduation. Trainings must include substantive information on the use of
educational technology as a program strategy to serve TRIO students and
meet the goals of retention and graduation.

## 

## **Needs Assessment**

-   Trainings must teach the participants how to assess the needs of
    their students and how to tailor counseling and support to the
    specific needs of each student.

## **Retention and Graduation Strategies** 

-   Applicants must emphasize the importance of **strategies** that take
    into account the diverse cultural backgrounds of TRIO participants
    and the trainings must take into consideration the diverse needs of
    TRIO students, whether they are adults, second language learners, or
    non-traditional TRIO students, including veterans.

-   Identified strategies must have proven results in supporting TRIO
    projects or projects serving TRIO-eligible students with
    demonstrated growth in retention and graduation rates.

## **Educational Technology**

-   Applicants must address different ways that TRIO personnel can use
    technology to both manage their project and provide services to
    students, with an emphasis on services to students that utilize
    educational technology.

```{=html}
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-   Applicants must have a proven track record of providing training in
    educational technology and their ability to tailor trainings to
    participants' varied skill levels and knowledge.

> **Absolute Priority #4**

**Student financial aid and college and university admissions policies
and procedures.**

Applicants must address how they will train TRIO personnel to understand
and obtain the information and skills needed to assist TRIO students in
obtaining adequate financial aid, and understanding college and
university entrance requirements in order to enroll in institutions of
higher education. The Department is especially interested in applicants
that have proven experience and knowledge regarding how to meet the
needs of, and how to help create opportunities for, non-traditional
students.

## **Student Financial Aid** 

-   Trainings under this priority must give particular attention to how
    projects can work with financial aid offices to provide students
    sufficient financial assistance to meet his or her full financial
    need while limiting the students' loan burden to a manageable level.

-   Applicants must be able to train participants on the appropriate use
    of the grant aid provision in the Student Support Services program.

## **Admissions Policies and Procedures**

-   Trainings must help participants understand the variety of college
    and university admissions policies and procedures. The trainings
    must also provide participants the information and skills that will
    allow them to access the policies and procedures of different
    institutions, and also allow them to best help TRIO students
    navigate the diverse processes of different institutions.

-   Applicants should give attention to how projects can help a student
    interested in enrolling in a graduate program secure graduate
    fellowships or assistantships.

# Part III-A Training Program Profile

**[Instructions]{.underline}**: **All** applicants must complete this
page. The completed page must be attached to the Other Attachments Form
in the application package in Grants.gov (as either a .doc, .rtf, or
.pdf document) in the application. **DO NOT MODIFY OR AMEND THE CONTENTS
OF THIS PAGE.**

Institution/Organization (Legal Name)

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Address where the project will be located/headquartered:

Street:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

City:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

State: \_\_\_\_\_\_\_\_\_ Zip Code: \_\_\_\_\_\_\_\_\_\_

Applicants currently funded under the Training Program must provide
their current award number for the corresponding priority, located in
Item 5 of the current Grant Award Notification document. *(Applicants
that have not received an award under the priority should leave this
blank.)*
**P103A06**\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

***Program Objectives:***

Please fill in the proposed number or percent -- as indicated - for each
objective. Note: these same objectives must be used in the Part III
Program Narrative section of your application, and may not be revised in
your narrative discussion of proposed objectives or proposed evaluation.

**Total number** of Training Program participants to be trained each
year: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**\_\_\_\_\_\_\_\_\_\_\_\_%** of Training Participants that evaluated
the training as benefiting them in increasing their qualifications and
skills in meeting the needs of disadvantaged students.

**\_\_\_\_\_\_\_\_\_\_\_\_%** of Training Participants that evaluated
the training as benefiting them in increasing their knowledge and
understanding of the Federal TRIO Programs.

## 

# AUTHORIZING LEGISLATION AND REGULATIONS

Authorizing Legislation:

**Title IV, Part A, Subpart 2 of the Higher Education Act of 1965, as
amended:**

**CHAPTER 1---FEDERAL TRIO PROGRAMS SEC. 402A.**

**20 U.S.C. 1070a--11**

**PROGRAM AUTHORITY; AUTHORIZATION OF APPROPRIATIONS.**

\(a\) GRANTS AND CONTRACTS AUTHORIZED. ---The Secretary shall, in
accordance with the provisions of this chapter, carry out a program of
making grants and contracts designed to identify qualified individuals
from disadvantaged backgrounds, to prepare them for a program of
postsecondary education, to provide support services for such students
who are pursuing programs of postsecondary education, to motivate and
prepare students for doctoral programs, and to train individuals serving
or preparing for service in programs and projects so designed.

\(b\) RECIPIENTS, DURATION, AND SIZE. ---

\(1\) RECIPIENTS. ---For the purposes described in subsection (a), the
Secretary is

> authorized, without regard to section 3709 of the Revised Statutes (41
> U.S.C. 5), to make grants to, and contracts with, institutions of
> higher education, public and private agencies and organizations,
> combinations of such institutions, agencies and organizations, and in
> exceptional circumstances, secondary schools, for planning,
> developing, or carrying out one or more of the services assisted under
> this chapter.
>
> \(2\) DURATION. ---Grants or contracts made under this chapter shall
> be awarded for a period of 4 years, except that---
>
> \(A\) the Secretary shall award such grants or contracts for 5 years
>
> to applicants whose peer review scores were in the highest 10 percent
> of scores of all applicants receiving grants or contracts in each
> program competition for the same award year;
>
> \(B\) grants made under section 402G shall be awarded for a period of
> 2 years; and
>
> \(C\) grants under section 402H shall be awarded for a period
> determined by the Secretary.
>
> \(3\) MINIMUM GRANTS. ---Unless the institution or agency requests a
> smaller amount, individual grants under this chapter shall be no less
> than---
>
> \(A\) \$170,000 for programs authorized by sections 402D and 402G;
>
> \(B\) \$180,000 for programs authorized by sections 402B and 402F; and
>
> \(C\) \$190,000 for programs authorized by sections 402C and 402E.

\(c\) PROCEDURES FOR AWARDING GRANTS AND CONTRACTS. ---

> \(1\) APPLICATION REQUIREMENTS. ---An eligible entity that desires to
> receive a grant or contract under this chapter shall submit an
> application to the Secretary in such manner and form, and containing
> such information and assurances, as the Secretary may reasonably
> require.

\(2\) PRIOR EXPERIENCE. ---In making grants under this chapter, the
Secretary shall consider each applicant's prior experience of service
delivery under the particular program for which funds are sought. The
level of consideration given the factor of prior experience shall not
vary from the level of consideration given such factor during fiscal
years 1994 through 1997, except that grants made under section 402H
shall not be given prior experience consideration.

\(3\) ORDER OF AWARDS; PROGRAM FRAUD. ---

> \(A\) Except with respect to grants made under sections 402G and 402H
> and as provided in subparagraph (B), the Secretary shall award grants
> and contracts under this chapter in the order of the scores received
> by the application for such grant or contract in the peer review
> process required under paragraph (4) and adjusted for prior experience
> in accordance with paragraph (2) of this subsection.
>
> \(B\) The Secretary is not required to provide assistance to a program
> otherwise eligible for assistance under this chapter, if the Secretary
> has determined that such program has involved the fraudulent use of
> funds under this chapter.

\(4\) PEER REVIEW PROCESS. ---

> \(A\) The Secretary shall ensure that, to the extent practicable,
> members of groups underrepresented in higher education, including
> African Americans, Hispanics, Native Americans, Alaska Natives, Asian
> Americans, and Native American Pacific Islanders (including Native
> Hawaiians), are represented as readers of applications submitted under
> this chapter. The Secretary shall also ensure that persons from urban
> and rural backgrounds are represented as readers.
>
> \(B\) The Secretary shall ensure that each application submitted under
> this chapter is read by at least three readers who are not employees
> of the Federal Government (other than as readers of applications).
>
> \(5\) NUMBER OF APPLICATIONS FOR GRANTS AND CONTRACTS. ---The
> Secretary shall not limit the number of applications submitted by an
> entity under any program authorized under this chapter if the
> additional applications describe programs serving different
> populations or campuses.

\(6\) COORDINATION WITH OTHER PROGRAMS FOR DISADVANTAGED

> STUDENTS. --- The Secretary shall encourage coordination of programs
> assisted under this chapter with other programs for disadvantaged
> students operated by the sponsoring institution or agency, regardless
> of the funding source of such programs. The Secretary shall not limit
> an entity's eligibility to receive funds under this chapter because
> such
>
> entity sponsors a program similar to the program to be assisted under
> this chapter, regardless of the funding source of such program. The
> Secretary shall permit the Director of a program receiving funds under
> this chapter to administer one or more additional programs for
> disadvantaged students operated by the sponsoring institution or
> agency, regardless of the funding sources of such programs.
>
> \(7\) APPLICATION STATUS. ---The Secretary shall inform each entity
> operating programs under this chapter regarding the status of their
> application for continued funding at least 8 months prior to the
> expiration of the grant or contract. The Secretary, in the case of an
> entity that is continuing to operate a successful program under this
> chapter, shall ensure that the startup date for a new grant or
> contract for such program immediately follows the termination of the
> preceding grant or contract so that no interruption of funding occurs
> for such successful reapplicants. The Secretary shall inform each
> entity requesting assistance under this chapter for a new program
> regarding the status of their application at least 8 months prior to
> the proposed startup date of such program.

\(d\) OUTREACH. ---

> \(1\) IN GENERAL. ---The Secretary shall conduct outreach activities
> to ensure that entities eligible for assistance under this chapter
> submit applications proposing programs that serve geographic areas and
> eligible populations which have been underserved by the programs
> assisted under this chapter.
>
> \(2\) NOTICE. ---In carrying out the provisions of paragraph (1), the
> Secretary shall notify the entities described in subsection (b) of the
> availability of assistance under this subsection not less than 120
> days prior to the deadline for submission of applications under this
> chapter and shall consult national, State, and regional organizations
> about candidates for notification.
>
> \(3\) TECHNICAL ASSISTANCE. ---The Secretary shall provide technical
> training to applicants for projects and programs authorized under this
> chapter. The Secretary shall give priority to serving programs and
> projects that serve geographic areas and eligible populations which
> have been underserved by the programs assisted under this chapter.
> Technical training activities shall include the provision of
> information on authorizing legislation, goals and objectives of the
> program, required activities, eligibility requirements, the
> application process and application deadlines, and assistance in the
> development of program proposals and the completion of program
> applications. Such training shall be furnished at conferences,
> seminars, and workshops to be conducted at not less than 10 sites
> throughout the United States to ensure that all areas of the United
> States with large concentrations of eligible participants are served.
>
> \(4\) SPECIAL RULE. ---The Secretary may contract with eligible
> entities to conduct the outreach activities described in this
> subsection.

\(e\) DOCUMENTATION OF STATUS AS A LOWINCOME INDIVIDUAL. ---

> \(1\) Except in the case of an independent student, as defined in
> section 480(d), documentation of an individual's status pursuant to
> subsection (g)(2) shall be made by providing the Secretary with---
>
> \(A\) A signed statement from the individual's parent or legal
> guardian;
>
> \(B\) Verification from another governmental source;
>
> \(C\) A signed financial aid application; or
>
> \(D\) A signed United States or Puerto Rico income tax return.
>
> \(2\) In the case of an independent student, as defined in section
> 480(d), documentation of an individual's status pursuant to subsection
> (g)(2) shall be made by providing the Secretary with---
>
> \(A\) A signed statement from the individual;
>
> \(B\) Verification from another governmental source;
>
> \(C\) A signed financial aid application; or
>
> \(D\) A signed United States or Puerto Rico income tax return.

\(f\) AUTHORIZATION OF APPROPRIATIONS. ---For the purpose of making
grants and contracts under this chapter, there are authorized to be
appropriated \$700,000,000 for fiscal year 1999, and such sums as may be
necessary for each of the 4 succeeding fiscal years. Of the amount
appropriated under this chapter, the Secretary may use no more than one
half of 1 percent of such amount to obtain additional qualified readers
and additional staff to review applications, to increase the level of
oversight monitoring, to support impact studies, program assessments and
reviews, and to provide technical assistance to potential applicants and
current grantees. In expending these funds, the Secretary shall give
priority to the additional administrative requirements provided in the
Higher Education Amendments of 1992, to outreach activities, and to
obtaining additional readers. The Secretary shall report to Congress by
October 1, 1994, on the use of these funds.

\(g\) DEFINITIONS. ---For the purpose of this chapter:

> \(1\) FIRST GENERATION COLLEGE STUDENT. ---The term ''first-generation
> college student'' means---
>
> \(A\) An individual both of whose parents did not complete a
> baccalaureate degree; or
>
> \(B\) In the case of any individual who regularly resided with and
> received support from only one parent, an individual whose only such
> parent did not complete a baccalaureate degree.
>
> \(2\) LOW-INCOME INDIVIDUAL. ---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 determined by using criteria of poverty established by
> the Bureau of the Census.
>
> \(3\) VETERAN ELIGIBILITY. ---No veteran shall be deemed ineligible to
> participate in any program under this chapter by reason of such
> individual's age who---
>
> \(A\) served on active duty for a period of more than 180 days, any
> part of which occurred after January 31, 1955, and was discharged or
> released therefrom under conditions other than dishonorable; or
>
> \(B\) served on active duty after January 31, 1955, and was discharged
> or released therefrom because of a service connected disability.
>
> \(4\) WAIVER. ---The Secretary may waive the service requirements in
> subparagraph (A) or (B) of paragraph (3) if the Secretary determines
> the application of the service requirements to a veteran will defeat
> the purpose of a program under this chapter.

**Sec. 402G HIGHER EDUCATION ACT OF 1965 SEC. 402G. 20 U.S.C. 1070a--17
STAFF DEVELOPMENT ACTIVITIES.**

\(a\) SECRETARY'S AUTHORITY. ---For the purpose of improving the
operation of the programs and projects authorized by this chapter, the
Secretary is authorized to make grants to institutions of higher
education and other public and private nonprofit institutions and
organizations to provide training for staff and leadership personnel
employed in, participating in, or preparing for employment in, such
programs and projects.

\(b\) CONTENTS OF TRAINING PROGRAMS. ---Such training shall include
conferences, internships, seminars, workshops, and the publication of
manuals designed to improve the operation of such programs and projects
and shall be carried out in the various regions of the Nation in order
to ensure that the training opportunities are appropriate to meet the
needs in the local areas being served by such programs and projects.
Such training shall be offered annually for new directors of projects
funded under this chapter as well as annually on the following topics
and other topics chosen by the Secretary:

> \(1\) Legislative and regulatory requirements for the operation of
> programs funded under this chapter.
>
> \(2\) Assisting students in receiving adequate financial aid from
> programs assisted under this title and other programs.

\(3\) The design and operation of model programs for projects funded
under this chapter.

> \(4\) The use of appropriate educational technology in the operation
> of projects assisted under this chapter.

\(c\) CONSULTATION. ---Grants for the purposes of this section shall be
made only after

consultation with regional and State professional associations of
persons having special knowledge with respect to the needs and problems
of such programs and projects.

Training Program Regulations:

**TITLE 34\--EDUCATION**

**CHAPTER VI\--OFFICE OF POSTSECONDARY EDUCATION, DEPARTMENT OF
EDUCATION**

**PART 642-TRAINING PROGRAM FOR FEDERAL TRIO PROGRAMS**

::: Definition-Term
**Subpart A - General**
:::

Sec.

642.1 Training Program for Federal TRIO Programs.

642.2 Eligible Applicants.

642.3 Eligible Participants.

642.4 Regulations that apply to the Training Program.

642.5 Definitions that apply to the Training Program.

**Subpart B -- What Kinds of Projects Does the Secretary Assist Under
This Program?**

642.10 Activities the Secretary Assists Under the Training Program.

**Subpart C -- \[Reserved\]**

**Subpart D -- How Does the Secretary Make a Grant?**

642.30 How the Secretary evaluates an application for a new award.

642.31 Selection criteria the Secretary uses.

642.32 Prior experience.

642.33 Geographic distribution.

642.34 Priorities for funding.

**Subpart E -- What Conditions Must Be Met by a Grantee?**

642.40 Allowable Costs.

642.41 Nonallowable costs.

AUTHORITY: 20 U.S.C. 1070a-11 and 1070a-17, unless otherwise noted.

SOURCE: 47 FR 17788, Apr. 23, 1982, unless otherwise noted.

**Subpart A - General**

§ 642.1   Training Program for Federal TRIO Programs.

The Training Program for Federal TRIO Programs---referred to in these
regulations as the Training Program---provides Federal financial
assistance to train the staff and leadership personnel employed in, or
preparing for employment in, Federal TRIO Program projects.

(Authority: 20 U.S.C. 1070a--17)

\[58 FR 51519, Oct. 1, 1993\]

##### § 642.2   Eligible applicants {#eligible-applicants .unnumbered}

The following are eligible to apply for a grant to carry out a Training
Program project:

\(a\) Institutions of higher education.

\(b\) Public and private nonprofit agencies and organizations.

(Authority: 20 U.S.C. 1070a--17)

\[47 FR 17788, Apr. 23, 1982, as amended at 58 FR 51519, Oct. 1, 1993\]

#####  {#section-4 .unnumbered}

##### § 642.3   Eligible participants. {#eligible-participants. .unnumbered}

The following are eligible for training under this program:

\(a\) Leadership personnel and full and part-time staff members of
projects under the Federal TRIO Programs.

\(b\) Individuals preparing for employment as staff or leadership
personnel in projects under the Federal TRIO Programs.

(Authority: 20 U.S.C. 1070a--17)

\[47 FR 17788, Apr. 23, 1982, as amended at 58 FR 51519, Oct. 1, 1993\]

#####  {#section-5 .unnumbered}

##### § 642.4   Regulations that apply to the Training Program. {#regulations-that-apply-to-the-training-program. .unnumbered}

The following regulations apply to the Training Program:

\(a\) The Education Department General Administrative Regulations
(EDGAR) as follows:

\(1\) 34 CFR part 74 (Administration of Grants to Institutions of Higher
Education, Hospitals, and Nonprofit Organizations).

\(2\) 34 CFR part 75 (Direct Grant Programs).

\(3\) 34 CFR part 77 (Definitions that Apply to Department Regulations).

\(4\) 34 CFR part 79 (Intergovernmental Review of Department of
Education Programs and Activities).

\(5\) 34 CFR part 82 (New Restrictions on Lobbying).

\(6\) 34 CFR part 85 (Governmentwide Debarment and Suspension
(Nonprocurement) and Governmentwide Requirements for Drug-Free Workplace
(Grants)).

\(7\) 34 CFR part 86 (Drug-Free Schools and Campuses).

\(b\) The regulations in this part 642.

(Authority: 20 U.S.C. 1070a--11 and 1070--17)

\[47 FR 17788, Apr. 23, 1982, as amended at 58 FR 51519, Oct. 1, 1993\]

#####  {#section-6 .unnumbered}

##### § 642.5   Definitions that apply to the Training Program. {#definitions-that-apply-to-the-training-program. .unnumbered}

\(a\) Definitions in EDGAR. The following terms used in this part are
defined in 34 CFR part 77:

Applicant

Application

Award

Budget

EDGAR

Equipment

Facilities

Fiscal year

Grant

Grantee

Nonprofit

Private

Project

Project period

Public

Secretary

State

Supplies

\(b\) *Definitions that apply to this part*. The following definitions
apply to this part:

*Act* means the Higher Education Act of 1965, as amended.

*Federal TRIO Programs* means the Upward Bound, Training, Student
Support Services, Educational Opportunity Centers, and Ronald E. McNair
Postbaccalaureate Achievement Programs.

(Authority: 20 U.S.C. 1001 *et seq.,* 1070a-11, 1070--17, 1088, 1141,
and 1144a)

*Institution of higher education* means an educational institution as
defined in section 481, 1201(a), or 1204 of the Act.

*Leadership personnel* means project directors, coordinators, and other
individuals involved with the supervision and direction of projects
under the Federal TRIO Programs.

\[47 FR 17788, Apr. 23, 1982, as amended at 54 FR 7737, Feb. 22, 1989;
57 FR 9005, Mar. 13, 1992; 58 FR 51519, Oct. 1, 1993\]

#####  {#section-7 .unnumbered}

##### Subpart B---What Kinds of Projects Does the Secretary Assist Under This Program? {#subpart-bwhat-kinds-of-projects-does-the-secretary-assist-under-this-program .unnumbered}

##### § 642.10   Activities the Secretary assists under the Training Program. {#activities-the-secretary-assists-under-the-training-program. .unnumbered}

\(a\) A Training Program project trains the staff and leadership
personnel of Federal TRIO Program projects to enable them to more
effectively operate those projects.

\(b\) A Training Program project may include conferences, internships,
seminars, workshops, and the publication of manuals designed to improve
the operations of Federal TRIO Program projects.

\(c\) Each year, one or more Training Program projects must provide
training for new project directors.

\(d\) Each year, one or more Training Program projects must offer
training covering the following topics:

\(1\) The legislative and regulatory requirements for operating Federal
TRIO Programs.

\(2\) Assisting students to obtain adequate student financial assistance
from programs authorized under Title IV of the Act, as well as from
other sources.

(2) The design and operation of model Federal TRIO Program projects.

(Authority: 20 U.S.C. 1070a-17)

\[58 FR 51519, Oct. 1, 1993\]

#####  {#section-8 .unnumbered}

##### Subpart C \[Reserved\] {#subpart-c-reserved .unnumbered}

##### Subpart D---How Does the Secretary Make a Grant? {#subpart-dhow-does-the-secretary-make-a-grant .unnumbered}

##### § 642.30   How the Secretary evaluates an application for a new award. {#how-the-secretary-evaluates-an-application-for-a-new-award. .unnumbered}

\(a\) The Secretary evaluates an application on the basis of the
criteria in §642.31.

\(1\) The Secretary awards up to 100 points for these criteria.

\(2\) The maximum possible score for each complete criterion is
indicated in the parentheses next to the heading of that criterion.

\(b\) In addition, for applicants that have conducted a Training Program
project within the three fiscal years prior to the fiscal year for which
the applicant is applying, the Secretary considers the experience of the
applicant on the basis of §642.32.

(Authority: 20 U.S.C. 1070d, 1070d-1d)

#####  {#section-9 .unnumbered}

##### § 642.31   Selection criteria the Secretary uses. {#selection-criteria-the-secretary-uses. .unnumbered}

The Secretary uses the criteria in paragraphs (a) through (f) of this
section to evaluate applications:

\(a\) *Plan of operation.* (20 points) (1) The Secretary reviews each
application for information that shows the quality of the plan of
operation for the project.

\(2\) The Secretary looks for information that shows---

\(i\) High quality in the design of the project;

\(ii\) An effective plan of management that insures proper and efficient
administration of the project;

\(iii\) A clear description of how the objectives of the project relate
to the purpose of the program;

\(iv\) The way the applicant plans to use its resources and personnel to
achieve each objective; and

\(v\) A clear description of how the applicant will provide equal access
and treatment for eligible project participants who are members of
groups that have been traditionally underrepresented, such as---

\(A\) Members of racial or ethnic minority groups;

\(B\) Women;

\(C\) Handicapped persons; and

\(D\) The elderly.

\(b\) *Quality of key personnel.* (20 points) (1) The Secretary reviews
each application for information that shows the qualifications of the
key personnel the applicant plans to use on the project.

\(2\) The Secretary looks for information that shows---

\(i\) The qualifications of the project director;

\(ii\) The qualifications of each of the other key personnel to be used
in the project;

\(iii\) The time that each person referred to in paragraphs (b)(2)(i)
and (ii) of this section plans to commit to the project; and

\(iv\) The extent to which the applicant, as part of its
nondiscriminatory employment practices, encourages applications for
employment from persons who are members of groups that have been
traditionally underrepresented, such as---

\(A\) Members of racial or ethnic minority groups;

\(B\) Women;

\(C\) Handicapped persons; and

\(D\) The elderly.

\(3\) To determine the qualifications of a person, the Secretary
considers evidence of past experience and training, in fields related to
the objectives of the project, as well as other information that the
applicant provides.

\(c\) *Budget and cost effectiveness.* (10 points) (1) The Secretary
reviews each application for information that shows that the project has
an adequate budget and is cost effective.

\(2\) The Secretary looks for information that shows---

\(i\) The budget for the project is adequate to support the project
activities; and

\(ii\) Costs are reasonable in relation to the objectives of the
project.

\(d\) *Evaluation plan.* (10 points) (1) The Secretary reviews each
application for information that shows the quality of the evaluation
plan for the project.

\(2\) The Secretary looks for information that shows methods of
evaluation that are appropriate for the project and, to the extent
possible, are objective and produce data that are quantifiable.

\(e\) *Adequacy of resources.* (15 points)

\(1\) The Secretary reviews each application for information that shows
that the applicant plans to devote adequate resources to the project.

\(2\) The Secretary looks for information that shows---

\(i\) The facilities that the applicant plans to use are adequate; and

\(ii\) The equipment and supplies that the applicant plans to use are
adequate.

\(f\) *Need.* (25 points) (1) The Secretary reviews each application for
information that shows a need for a Training Program project.

\(2\) The Secretary looks for information that shows---

\(i\) The extent to which the proposed training addresses a specific
need not addressed by other training projects available to Federal TRIO
Programs personnel;

\(ii\) The extent to which the proposed training addresses a significant
training need in the region(s) to be served; and

\(iii\) The extent to which the proposed training addresses needs that
are consistent with the topics required by statute and other topics
chosen as priorities by the Secretary as authorized under §642.34.

(Authority: 20 U.S.C. 1070a--11 and 1070a--17)

\[47 FR 17788, Apr. 23, 1982, as amended at 58 FR 51519, Oct. 1, 1993\]

**Effective Date Note:** At 58 FR 51519, Oct. 1, 1993 in §642.31,
paragraph (f)(2)(i) was amended by removing "Special Programs" and
adding "Federal TRIO Programs" in their place, and (f)(2)(iii) was
revised. This section contains information collection and recordkeeping
requirements and will not become effective until approval has been given
by the Office of Management and Budget.

#####  {#section-10 .unnumbered}

##### § 642.32   Prior experience. {#prior-experience. .unnumbered}

(a)(1) The Secretary gives priority to each applicant that has conducted
a Training Program project under title IV-A-4 of the Higher Education
Act within the three fiscal years prior to the fiscal year for which the
applicant is applying.

\(2\) To determine the number of priority points to be awarded each
eligible applicant, the Secretary considers the applicant\'s prior
experience of service delivery in accordance with paragraphs (b) and (c)
of this section.

(b)(1) The Secretary may add from one to eight points to the point score
obtained on the basis of the selection criteria in §642.31, based on the
applicant\'s success in meeting the administrative requirements and
programmatic objectives of paragraph (c) of this section.

\(2\) The maximum possible score for each criterion is indicated in the
parentheses preceding the criterion.

\(c\) The Secretary---based on information contained in one or more of
the following: Performance reports, audit reports, training site visit
reports, evaluations by participants, project evaluation reports, the
previously funded application, the negotiated program plan(s), and the
application under consideration---looks for information that shows---

\(1\) (2 points) The extent to which the project has served the number
and kinds of training participants it was funded to serve;

\(2\) (2 points) The extent to which participants benefited from
training in areas such as---

\(i\) Increased qualifications and skills in meeting the needs of
disadvantaged students; and

\(ii\) Increased knowledge and understanding of the Federal TRIO
Programs;

\(3\) (2 points) The extent to which the applicant has achieved other
goals and objectives as stated in the previously funded application or
negotiated program plan; and

\(4\) (2 points) The extent to which the applicant has met the
administrative requirements---including recordkeeping, reporting, and
financial accountability---under the terms of the previously funded
award.

(Authority: 20 U.S.C. 1070a--11)

\[47 FR 24973, June 8, 1982, as amended at 58 FR 51520, Oct. 1, 1993\]

#####  {#section-11 .unnumbered}

##### § 642.33   Geographic distribution. {#geographic-distribution. .unnumbered}

The Secretary, to the greatest extent possible, awards grants for
Training Program projects that will be carried out in all of the regions
of the Nation in order to assure accessibility to prospective training
participants.

(Authority: 20 U.S.C. 1070a--17)

#####  {#section-12 .unnumbered}

##### § 642.34   Priorities for funding. {#priorities-for-funding. .unnumbered}

\(a\) The Secretary, after consultation with regional and State
professional associations of persons having special knowledge with
respect to the training needs of Special Programs personnel, may select
one or more of the following subjects as training priorities:

\(1\) Basic skills instruction in reading, mathematics, written and oral
communication, and study skills.

\(2\) Counseling.

\(3\) Assessment of student needs.

\(4\) Academic tests and testing.

\(5\) College and university admissions policies and procedures.

\(6\) Student financial aid.

\(7\) Cultural enrichment programs.

\(8\) Career planning.

\(9\) Tutorial programs.

\(10\) Retention and graduation strategies.

\(11\) Support services for persons of limited proficiency in English.

\(12\) Support services for physically handicapped persons.

\(13\) Strategies for preparing students for doctoral studies.

\(14\) Project evaluation.

\(15\) Budget management.

\(16\) Personnel management.

\(17\) Reporting student and project performance.

\(18\) Coordinating project activities with other available resources
and activities.

\(19\) General project management for new directors.

\(20\) Legislative and regulatory requirements for the operation of
programs.

\(21\) The design and operation of model programs for projects funded
under the Federal TRIO Programs.

\(b\) The Secretary annually funds training on the subjects listed in
paragraphs (a)(6), (19), (20), and (21) of this section.

\(c\) The Secretary may consider an application for a Training Program
project that does not address one of the established priorities if the
applicant addresses another significant training need in the local area
being served by the Federal TRIO Programs.

(Authority: 20 U.S.C. 1070a--11 and 1070a--17)

\[54 FR 7737, Feb. 22, 1989, as amended at 58 FR 51520, Oct. 1, 1993\]

#####  {#section-13 .unnumbered}

##### Subpart E---What Conditions Must Be Met by a Grantee? {#subpart-ewhat-conditions-must-be-met-by-a-grantee .unnumbered}

##### § 642.40   Allowable costs. {#allowable-costs. .unnumbered}

Allowable project costs may include the following costs reasonably
related to carrying out a Training Program project:

\(a\) Rental of space, if space is not available at a sponsoring
institution and if the space is not owned by a sponsoring institution.

\(b\) Printing.

\(c\) Postage.

\(d\) Purchase or rental of equipment if approved in writing by the
Secretary.

\(e\) Consumable supplies.

\(f\) Transportation costs for participants and training staff.

\(g\) Lodging and subsistence costs for participants and training staff.

\(h\) Transportation costs, lodging and subsistence costs and fees for
consultants, if any.

\(i\) Honorariums for speakers who are not members of the staff or
consultants to the project.

\(j\) Other costs that are specifically approved in advance and in
writing by the Secretary.

(Authority: 20 U.S.C. 1070a--11 and 1070a--17)

#####  {#section-14 .unnumbered}

##### § 642.41   Nonallowable costs. {#nonallowable-costs. .unnumbered}

Costs that may not be charged against a grant under this program include
the following:

\(a\) Research not directly related to the evaluation or improvement of
the project.

\(b\) Construction, renovation, or remodeling of any facilities.

\(c\) Stipends, tuition fees, and other direct financial assistance to
trainees other than those participating in internships.

(Authority: 20 U.S.C. 1070a--11 and 1070a--17)

######## 

# Expectations for Successful Applicants

## **I. Project Directors' Meeting**

> All successful applicants will be required to attend a Training
> Project Directors' Meeting in Washington, D.C., shortly after the
> award of the grants. The purpose of this meeting will be to clarify
> the purpose of the trainings under each priority and the expectations
> that the Department has for its grantees. Applicants should include
> funds for travel to D.C. to attend this one-day meeting in the budget
> section of their proposal.

**II**. **Coordinating Trainings**

We anticipate awarding at least two and possibly three grants under some
of the priorities. As a result, we want to ensure that trainings do not
overlap and are located and scheduled at times and places that will
allow as many participants as possible to attend. Successful applicants
will be asked to coordinate with the Lead Training Program specialist.
Any necessary changes to the dates or locations must also be shared as
soon as possible. TRIO personnel depend upon the Department to
disseminate and maintain timely information on the trainings; therefore,
we need to make sure that the information we do provide is accurate.

**III. Training for new directors**

The Department expects each grantee to provide at least one training
session for new\
TRIO Program project staff, specifically for new TRIO Program project
directors.

IV\. Training Materials

> Successful applicants or FY 2008 Training Program grantees will be
> asked to share their training materials with the Lead Training Program
> specialist at least six weeks prior to their first scheduled training.
> The Department will review the materials in an attempt to make sure
> that trainings will enhance the knowledge, skills, and available
> resources of the TRIO personnel who participate in the trainings based
> on the needs and objectives of the TRIO programs.

Materials to be reviewed will include the following:

-   An agenda with trainers and topics identified,

-   A detailed curriculum, including the resources and materials that
    will be used; and

-   An evaluation that will produce qualitative as well as quantitative
    data and analysis.

The training materials should answer the following questions:

-   What content knowledge can participants expect to gain?

-   What will the participants learn how to do?

-   What will participants take with them in the form of resources?

-   What will participants learn about successful practices and lessons
    learned from other TRIO projects?

-   How will the needs of TRIO personnel with varying levels of
    experience be met?

-   Is the length of time for the training appropriate to cover the
    material while also being sensitive to the time, budget, and
    workload constraints of TRIO personnel?

-   How will the training address different learning styles through the
    presentation styles and use of different media?

> The Department expects each Training Program grantee to design
> trainings that address the following three areas at every training
> session: knowledge, skills, and resources. Additionally, grantees
> should include information on follow-up activities if they plan to
> conduct any.
>
> **Knowledge**
>
> Each training should have explicit goals for participants to attain
> content knowledge. The content should:

-   Address all components of the funded priority;

-   Address the needs of the programs as they relate to the funded
    training priority (see detail under Absolute Priorities section);

-   Support projects' achievement of the programs' objectives;

-   Be appropriate for the varied experience levels of the participants;
    and

-   Be new and different if you are a prior grantee and have requested
    funds for content and format development and innovation.

> **Skills**
>
> Each training should provide participants with opportunities to
> develop skills and attain new content knowledge that will enable them
> to better serve students. Participants should have opportunities that
> include:

-   Demonstrations of skills;

-   Learning how projects might apply these skills; and

-   Time to apply and begin to develop these skills.

**Resources**

Materials offered to participants should:

-   Be easy to use, easy to access;

-   Be constructed to make accessing the information easier for the
    participant than if he or she had to find the information him or
    herself; and

-   Provide opportunities for participants' sharing of ideas.

**V. Reporting Requirements**

Each successful grantee must agree to collect data and maintain records
over the course of the grant period. The Department has established the
following performance indicators for the Training Program through which
the success of the program is measured: (1) cost-effectiveness, based on
the percentage of TRIO personnel receiving training each year; and (2)
the percentage of those receiving training who rate the training as
highly useful. As part of the annual performance report, grantees must
report the number of participants they served as well as the names of
the participants' projects and

institutions. The Department will collect this and other grant
information annually, or twice during the grant period of Training
grantees.

Additionally, grantees are required to communicate with the assigned
program specialist when they seek a change in key personnel, the
objectives of the project, or the scope of the project. In general, when
uncertain, it's always best to communicate with the assigned program
specialist to verify compliance and appropriate grant management.

# INSTRUCTIONS FOR COMPLETING THE APPLICATION PACKAGE

The Training Program application consists of the following four parts:

[]{.mark}

**Part I:** **SF 424 Form**

> Application for Federal Assistance (SF 424) and Department of
> Education Supplemental Information for SF 424

**[\*Notes:]{.underline}**

-   Applicants must complete the SF 424 form first because some of the
    information you provide here is automatically inserted into other
    sections of the Grants.gov application package.

-   Please do not attach any narratives supporting files, or application
    components to the Standard Form (SF 424). Although the form accepts
    attachments, the Department of Education only will review
    materials/files attached to the forms listed below.

**Part II:** **ED Form 524**

> Department of Education Budget Information Non-Construction Programs
> (ED Form 524)

**Part III:** **Attachments**

Program Narrative \-- [Project Narrative Attachment Form]{.underline}

> Training Program Profile Form (Part III-A) \-\-- [Other Attachments
> Form]{.underline}

Project Abstract (Part III-B)-- [ED Abstract Attachment
Form]{.underline}

[]{.mark}

**[NOTE]{.underline}**: In Grants.gov, applicants will find a list of
*Mandatory Documents* which includes all of the required forms,
assurances, and the [Project Narrative Attachment Form]{.underline}, the
[ED Abstract Attachment Form]{.underline}, and the [Other Attachments
Form]{.underline}.

The [Project Narrative Attachment Form]{.underline} (found in the
Grants.gov application package) is where applicants will attach their
***Part III -- Program Narrative*** responses to the selection criteria
that will be used to evaluate applications submitted for this
competition. **This section has a strict page limit of 50 pages,**
excluding a *Table of Contents*. **Please see the Notice for detailed
information on page limits**. You should include a *Table of Contents*
for your application as the first pages of this section. The *Table of
Contents* will not count against the 50 pages you are allowed for your
response to the selection criteria.

The ***Part III-A Training Program Profile Form*** should be attached to
the application using the [Other Attachments Form]{.underline} (found in
the Grants.gov application package.) You may not change the wording of
the standard objectives.

The ***Part III-B Project Abstract*** should be a one-page abstract and
should be attached to the [ED Abstract Attachment Form]{.underline}.
This one-page abstract, which may be single-spaced, will not count
against the 50 pages you are allowed for your response to the selection
criteria.

**\* All attachments must be in .DOC, .RTF, or .PDF format. Other types
of files will not be accepted.**

**Part IV:** **Assurances, Certifications, and Survey Form** \--
Applicants must complete the following assurances and certifications
included in

> the application package:

-   ED GEPA 427 Form

-   Assurances for Non-Construction Programs (SF 424B)

-   Grants.gov Lobbying Form (ED Form 80-0013)

-   Disclosure of Lobbying Activities (SF-LLL)

-   Survey on Ensuring Equal Opportunity for Applicants

# INSTRUCTIONS FOR PROJECT NARRATIVE

The following information supplements the information provided in the
"Dear Applicant" letter, "Highlights of Key Changes," and the Notice.

> []{.mark}

**A. Criteria for Funding**

> All applications for grants under the Training Program will be
> evaluated as new submissions according to the selection criteria
> listed in the program regulations (34 CFR 642.31).

[]{.mark}

> In accordance with 34 CFR 642.32, the Secretary will award prior
> experience points to applicants that have conducted a TRIO Training
> Program project within the last three fiscal years (2004-05, 2005-06
> and 2006-07), based on their documented experience. Prior experience
> points, if any, will be added to the application's averaged reader
> score to determine the total score for each application and will be
> used in funding decisions as defined in the Notice and Section E,
> Selection of Grantees.

**The *Program Narrative* is to be attached to the [Project Narrative
Attachment Form]{.underline} in the application package in Grants.gov.**

> Before preparing the *Program Narrative*, applicants should review the
> "Dear Applicant" letter, Highlights, Notice, program statute, and
> program regulations for specific guidance and requirements. Note that
> applications will be evaluated according to the specific selection
> criteria specified in the Notice and this package.
>
> The Secretary evaluates an application on the basis of the broad
> criteria in 34 CFR 642.31 of the Training Program regulations as
> identified in this application (see the Authorizing Legislation and
> Regulations). The *Program Narrative* should provide, in detail, the
> information that addresses each selection criteria. The maximum
> possible score for each category of selection criterion is indicated
> in parenthesis.
>
> You must limit the *Program Narrative* to 50 pages, [double-spaced in
> 12-point font or larger or no smaller than 10 pitch]{.underline}, and
> number the pages consecutively. The narrative should be written
> concisely. Only the required information should be submitted. If
> appendices or other supplemental materials are included, they will
> count as part of the 50-page limit. Please refer to the Notice (see
> Content and Form of Application Submission) in this application for
> additional application submission requirements.
>
> To facilitate the review of the application, provide responses to each
> of the following selection criteria in the following order:

1.  [PROJECT DESIGN]{.underline}

    A.  Plan of Operation (34 CFR 642.31(a)) (20 points)

    B.  Evaluation Plan (34 CFR 642.31(d)) (10 points)

    C.  [RESOURCES]{.underline}

> A. Adequacy of Resources (34 CFR 642.31(e)) (15 points)
>
> B. Quality of Key Personnel (34 CFR 642.31(b)) (20 points)

D.  [BUDGET]{.underline} (34 CFR 642.31(c)) (10 points)

> **Total Maximum Score for Selection Criteria 75 points**

**[The following guidance may assist you in addressing each of the
selection criteria]{.underline}:**

**[Need]{.underline}**: In consultation with the TRIO community, the
Department has already determined the need for training in various
topics (see the section on absolute priorities). Thus, it is not
necessary for applicants to respond to the "Need" selection criterion in
their applications. Each eligible application will be awarded 25 points
in the evaluation process for the "Need" selection criterion.

**[Plan of Operation]{.underline}**: This part of the application should
provide information on who, what, when and how the project will provide
services to meet the goals and objectives. See the discussion on the
absolute priorities for more information on addressing this criterion.

**[Evaluation Plan]{.underline}**: A strong evaluation plan should be
included and should be used, as appropriate, to shape the development of
the project from the beginning of the grant period. The evaluation plan
should include benchmarks to monitor progress toward meeting specific
project objectives based on the program's performance indicators.
Specifically, the plan should identify the individual or organization
that has agreed to serve as evaluator for the project and describe the
qualifications of the evaluator. The plan should describe the evaluation
design, indicating: (1) what types of data will be collected; (2) when
various types of data will be collected; (3) what methods will be used;
(4) what instruments will be developed and when; (5) how the data will
be analyzed; (6) when reports and outcomes will be available; and (7)
how the applicant will use the information collected through evaluation
to monitor progress of the funded project and to provide accountability
information both about success at the initial training site and
effective strategies for replication in other settings. Applicants are
encouraged to devote an appropriate level of resources to project
evaluation. [The use of an outside evaluator is not
required.]{.underline}

**[Quality of Key Personnel]{.underline}**: The minimum qualifications
must be identified for all project personnel positions. The minimum
educational qualifications should include the type of degree required
and the acceptable field(s) of study. The type and minimum amount of
work-related experience should also be described for each position.
Experts identified for the project must have documented knowledge and
expertise in serving TRIO-eligible students as well as documented
knowledge and expertise in training adults.

**[Adequacy of Resources]{.underline}**: This section should provide
information that shows that the proposed budget will provide the
resources necessary to successfully carry out the proposed trainings.
Applicants should demonstrate here how the proposed resources would
enable them to carry out the proposed trainings in the most
cost-effective manner possible.

**[Budget]{.underline}**: In response to this criterion, applicants must
provide a detailed, itemized budget (ED Form 524) and a detailed budget
narrative for the first-year (12-months) budget period, only. The budget
narrative is to be included in the *Program Narrative* to be attached to
the [Project Narrative Attachment Form]{.underline} in the application
package downloaded from Grants.gov. Additional budget instructions are
cited in the instructions entitled "First Year Budget and Budget Summary
Form (ED Form 524) Instructions" on the following pages.

B. Formatting

[]{.mark}

> [Double-space all text]{.underline} in the application, including
> titles and headings, and all text in charts, tables, graphs,
> footnotes, quotations, references, and captions. Applicants may use
> one of the following fonts: *Times New Roman, Courier, Courier New* or
> *Arial*, [only]{.underline}. Applications submitted in any other font
> (including *Times Roman* and *Arial Narrow*) will not be accepted.
> Applicants must use a size 12 point font or larger or no smaller than
> 10 pitch, only.
>
> Include a *Table of Contents*: it will not be counted toward your
> 50-page limit. Appendices and attachments should [not]{.underline} be
> included, as these items [will be]{.underline} counted as part of the
> 50-page limit.
>
> Include a *one-page Project Abstract* (attached to the [ED Abstract
> Attachment Form.]{.underline}). The *Project Abstract* will not be
> counted toward your 50-page limit. The Abstract may be single-spaced,
> using one of the allowable fonts, but it [may not exceed one-page in
> length]{.underline}
>
> Applicants are encouraged to include an identifying header or footer
> that contains the applicant's name and the page numbers. Applicants
> may use the one-inch (1") margin at either the top or bottom of each
> page for this header or footer. The pages must be numbered in
> consecutive order.
>
> The [Program Narrative Attachment Form]{.underline} is limited to 50
> pages. This section will include the discussion of the selection
> criteria. The page limit does not apply to:
>
> Application Face Sheet (Application for Federal Assistance Form -- SF
> 424)
>
> Table of Contents
>
> Project Abstract (Part III-B)
>
> Budget Summary Form (ED Form 524)
>
> Training Program Profile Form (Part III-A)
>
> Assurances and Certifications
>
> ED GEPA 427 Form
>
> The Notice contains specific instructions on page limits.

C. Length of New Award

> Applicants for new awards may apply for two years (24 months) of
> funding.

**D. Evaluation of Applications for Awards**

> A panel of three non-federal readers will review each application in
> accordance with the selection criteria. Each reviewer will prepare a
> written evaluation of the information presented in the program
> narrative section of the application and assign points for each
> selection criterion.

**E. Selection of Grantees**

> The individual scores of the readers will be added and the sum divided
> by three to determine the reader score received in the review process.
>
> Pursuant to §402A(c)(3) of the Higher Education Act of 1965, as
> amended, the Secretary will not make awards in the order of the scores
> received by the applications in the review process and adjusted for
> prior experience. Instead, within each specific absolute priority for
> which a grant is requested, the Secretary will select applications for
> funding in rank order of the reader scores received by the
> applications in the review process. Within each specific priority, if
> there are insufficient funds to fund all applications at the next
> reader score, the Secretary will use the total score, the
> application's reader score plus prior experience points, to make
> awards.
>
> [NOTE]{.underline}: Applicants should indicate the priority under
> which they are applying in Box 15, "Descriptive Title of Applicant's
> Project," of SF 424.

F. Applicant Funding

> The Department is often unable to award the full amount of funds
> requested. Applicants should pay close attention to the "Maximum
> Award" section of the Notice. The Department will reject any
> application that proposes a budget exceeding the maximum amount
> specified for in the Notice for the priority selected.

G. Notice to Successful Applicants

> The Department's Office of Legislation and Congressional Affairs will
> inform the Congress regarding applicants who are approved for new
> Training Program grants. Successful applicants will receive award
> notices by mail shortly after the Congress is notified. No funding
> information will be released before the Congress is notified.

H. Notice to Unsuccessful Applicants

> Unsuccessful applicants will be notified in writing following the
> notice to successful applicants.