# Presentation: 604610

## Educational Opportunity Centers Program

**2005**
**Pre-Application Workshop**
**Washington, DC**
**July 12, 2005**

**Notes:**
Workshop Expectations:
We welcome each of you to our TRIO EOC Technical Assistance workshop.  We are glad you decided to join us and we will do our best to  supply you with the necessary information needed to become a successful grantee.

The purpose of the workshop is to provide guidelines and requirements needed in order to submit a new proposal under the TRIO Talent Search program.

The AM section of this workshop has been tailored for “new” applicants.  Current EOC grantees may find this elementary and perhaps boring – we do not apologize for that.

Department of Education staff cannot tell you how to specifically write your individual grant proposal, nor can we critique your drafts – please do not ask us to do so.

When you registered today, you should have received the following materials:
		(1) an agenda
		(2) a copy of the slides (slide info is not all inclusive)
		(3) a “draft” application
		(4) steps for using grants.gov
		(5) an evaluation form

Review Dear Applicant letter page 3

Review EOC Profile Sheet page 58	(takes the place of the abstract)

##        How Did We Get Here?

**       ****How Did We Get Here?**

- The **Federal TRIO Programs** are educational
- opportunity outreach programs designed to motivate
- and support students from disadvantaged backgrounds.
- TRIO consists of seven outreach and support programs targeted
-    to serve and assist low-income, first generation college, and
-      students with disabilities to progress through the academic
-         pipeline from middle school to post-baccalaureate programs.
**         ****Educational Opportunity Centers (EOC) Program** was the
-             fourth TRIO program created in 1972 under the Higher 	Education Act of 1964.  **EOC** programs provide counseling 	and information  on college admissions to qualified
-             adults who want to enter or continue a program
-             of postsecondary education.

**Notes:**
If you can, take a journey in your mind back to 1964.  I personally cannot because I was not born in 1964, but in my other life I was a HS History teacher so I might know a lil sumthin sumthin about 1964.

The US likes to think of itself as “the fairest of them all”.  We are known as the melting pot, home of free, land of the brave, and the land of opportunity.  However, in the 1964 there was not a lot of opportunity in the US.  The Vietnam War was escalating, the civil rights movement was in full swing and 20% of the US population was living below the poverty level.

In 1963 Lyndon B Johnson steps up as President after the death of John F. Kennedy.  In his first state of the union address, he declared a War on Poverty in 1964. 

This War on Poverty made poverty a national concern and President Johnson created a series of bills and acts that would reduce the poverty and improve the standards of living for the poor in America.     
Food Stamp Act 1964
Civil Rights Act 1964
Revenue Act 1964
Economic Opportunity Act 1964
Job Corps
Head Start 
Community Action Programs
Upward Bound
Higher Education Act 1965
Talent Search
SSS

## Slide 3

## TRIO Legislation Highlights

**Title IV – Higher Education Act of 1965, as amended**
**Chapter 1 – Federal TRIO Programs**
**Section 402A – 402H**
- Combinations of Eligible Entities
- Four or Five Year Grants
-  Minimum Funding Levels
- Rank-Order Funding
- Multiple Applications – Different Target Area or Target Schools
- Coordination with Other Programs for Disadvantaged Students
- 10 Technical Assistance Workshops
- Low-Income Documentation
- http://www.ed.gov/programs/trioeoc/legislation.html

**Notes:**
Higher Education Act of 1965, as amended is the law that governs all of the Federal TRIO programs.
Based on the legislation, we establish specific regulations for each program.

This slide highlights some of the provisions included in the law.  As you look at the list, remember that these “general provisions” are applicable to all of the TRIO programs.

You will find a copy of the Legislation in the application package, or on the website provided.

## Educational Opportunity Centers

**Regulations****Title 34 CFR – Part 644**
- No NEW changes or revisions to the EOC regulations.
- View or obtain a copy at the following website address:

**http://www.ed.gov/programs/trioeoc/legislation.html**

**Notes:**
Talent Search Program regulations can be found in Title 34 of the Code of Federal Regulations (CFR) in Part 644.

There is a copy of the regulations in your application package, or you can view a copy of the regs on the website provided.

## What’s NEW?

- Electronic Submission via Grants.gov
- 50-Page Limit
- Mandatory Objectives

**Notes:**
Grants.gov is the new way to submit your TS application. Not only is this a Department wide initiative, but it is a government wide initiatives.  Eventually all Education grants and other agency grants will will be done on grants.gov.  It is very important that you become familiar with this new process and we will share more information with you later in the day.  

50 page limit   Last year of is 100, this year it is 50 and the number will only go lower.  This is the wave of the future and the page limits will continue to get smaller.  This in an effort to streamline the information we receive and streamline the application process. 

Mandatory Objectives-  This year the Department has done you a HUGE favor!!!  We know that you all have been working hard and we wanted to lighten your load, so we have written all your objectives for you.  There are 4 mandatory EOC objectives.  The information is not completely new and not hard to grasp.   We will discuss these objectives in greater detail later this afternoon.

## Grantee Requirements

- Participant eligibility:
- Two-thirds low- income and first generation college student.
- Minimum 1,000 EOC participants per year
- Recordkeeping (participant files)
- Full-time project director unless a waiver is requested

**Notes:**
For those of you who will be successful in this competition, and we hope all of you will be, you will become a GRANTEE.  As a grantee there are certain requirements that you must meet in your TS program.

2/3 must be low income and first generation; the other 1/3 can be anyone who needs your program services.

Each new EOC program must serve a minimum of 1000 participants each year.  670 must be low income and first generation.

Each of the 600 participants must have a file.  There is certain documentation that must be in each file and we will discuss those things in a moment.

Each TS project should have a full time, 100%, director.  However, we know that some TRIO programs share directors, so if the director will be less than 100%, you must submit a waiver.  This waiver will go in your Plan of Operation.

## Low-Income Individual

- 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.
- The Federal Low-Income Levels are updated each year.
**http://www.ed.gov/about/offices/list/ope/trio/index.html#references**

**Notes:**
This definition of low income is a bit wordy, but each year the Census Bureau publishes the low income guidelines the US.  The low income level depends on how much money is coming into the household as well as how many people are living in the household.

Again the Department has taken the guess work out for you and we have provide the Low income guide for you.  There is one in your application package or you may look on our website.  The guides come out yearly around.  The our low-income re

## First Generation College Student

- An individual both of whose parents did not complete a baccalaureate degree; or
- 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.

## What Should Be in a Participant File?

**Proof of Student Eligibility:**
- -Proof of citizenship
- -Copy of W-2 or filed tax forms, or
- -Signed statement from parent to verify low-income status
- -Signed statement from parent to verify first generation status
**Needs Assessment**
- -Use intake forms, standardized test, interest inventory forms and other assessment tools to produce a documented needs assessment and a plan to meet that need.

**Notes:**
Larry wanted use to share this information because when we go out to do site visits a lot of grantees get in trouble because they do not have the correct documentation in their files.  

Remember all EOC participants must have a file.  This file is your proof that you are providing services to participants and using government funds to do what you said you would do. If you cannot provide that proof, your grant could be terminated.

Proof of citizenship-  Only US citizens can participate in the program.  A birth certificate or passport would show citizenship, but how many people really have those handy.  On your intake form you can simply has if they are a citizen, yes or no.  Nationally does not declare citizenship

Needs Assessment-  You have to show that the participant needs the services your provide.  Again you could produce an inventory form to list the services your provide and the student could check what applies.  Or in talking with the participant you can tell what they need and match it with what you provide.

## What Should Be in a Participant File?

**Services Provided**
- -List all services provided to and contacts made with each participant.  These services should be a part of the documented plan to meet the assessed needs of the participant.
**Educational Progress**
- -Document the objectives achieved by the participant.
**Participant files must be kept by the project for three years after the project performance end date.**
**Participant files should be kept in a locked, secure location.**

**Notes:**
Services Provided-  Services is plural, so more than one. Each time you make contact with a participant or provide a service, you need to document that information.  This further shows that you are providing said services and using the funds for their intended purpose.

Example:  You do a financial aid workshop for 100 students at Hill High School.  You send around a sign in sheet with name, address, phone number and SSN.  Can all these people be counted as participants.
Possibly
Contact each person for an initial session to get there eligibility information.
Set up a file for each person.   

Educational Progress- report cards, fasfa print out, or documented session.

## Program Goals

- To provide information regarding financial and academic assistance to pursue postsecondary programs
- To provide assistance in applying for admission to institutions which offer postsecondary programs

**Notes:**
Number one reason why students do not go to college is because they think they cannot afford it.  You have to show them that there are funds our there for postsecondary programs and show them what their postsecondary options are.

Participants who are not familiar with the college process will need help.  Help them fill out admissions applications

## EOCServices Provided

- Provide academic, career, and personal counseling
- Provide tutoring and mentoring services
- Prepare for college entrance examinations
- Completing college admissions and financial aid applications

## EOCServices Provided

- Provide activities designed for students with limited English proficiency.
- Provide assistance for secondary school re-entry or entry into a GED program or other alternative program.
- Provide public information campaigns and career workshops.

## Who is Eligible to Receive a Grant?

- An institution of higher education
- A public or private agency or organization
- A combination of institutions, agencies, or organizations (consortium)
- A secondary school under exceptional circumstances

**Notes:**
Anyone but an individual!

Secondary schools under exceptional circumstances:  The circumstances are that there is no institution, agency or organization capable of carrying out a TS program.  It doesn’t say willing to carry our or is carrying out, is says CAPABLE of carrying out.  You will not find too many secondary schools with a TS program.

## Who Can Be Served?

**Who Can Be Served?**

- U.S. citizens
- Permanent resident of the United States, Guam, Trust Territory of the Pacific Islands, Micronesia or Marshall Islands
- Individuals who are at least 19 years of age
- Any veteran, regardless of age

## Application Process

- Submit application on Grants.gov
- Prescreening
- A panel of three reviewers, who are not federal employees, will evaluate the application.
- The panel will prepare an evaluation of the application and assign points to each selection criteria.  The highest score an application may receive is 100.
- Scores from the three reviewers will be averaged to determine one numeric score for the application.

## Application Process

- Currently funded applicants are eligible to receive up to **15 Prior Experience (PE) ** points.  If applicable, PE points are added to the numeric score of the application to get a final score.
- Final scores are ranked in order, highest to lowest, on a funding slate.
- Applications are awarded down the funding slate until all funds are used.
- All awards are funded for four or five years.  Applications that score in the top 10% will receive a five year award.

## 2001 EOC Competition

- Applications Received:                 322
- Applications Funded:                    139
- 5 Year Awards:                               86
- First Time funded applicants:         57
- Cut off Score:                              99.67

**Notes:**
We called this the competition from Hell.  This was during the anthrax scare so we had to push the deadline back several times, we had people to submit more than one cause they were not sure if we got their application.  So, we had duplicate applications and schools with multiples applications.  We had to figure all that out and it was a mess!!!

## Questions and Answers

**Questions and Answers**

## Grant Writing Warnings

- Applicants may not use federal funds to prepare an application.
- This includes costs incurred to attend this pre-application workshop.
- Federal funds may not be used to lobby.
- Applicants who knowingly do business with someone who has been debarred faces the possibility of cost disallowances, grant termination, and suspension and debarment from federal government procurement and non-procurement transactions.
**http://www.epls.gov/epls/servlet/EPLSSearchMain/1**
**	**

## Selection Criteria 

**Selection Criteria **

_**Section**_**                **_**Maximum Points**_
- Need		24
- Objectives		8
- Plan of Operation		30
- Applicant/Community Support 	16
- Quality of Personnel	        	  9
- Evaluation Plan		8
- Budget                               _           __	__  5_
**	****                        ****Total****	****      100**

## Need for the ProjectMaximum 24 Points

-   Educational Opportunity Centers

## Need

- High number or percent of low-income families **AND**
- High number or percent with education below the baccalaureate level **AND**
- High need on the part of residents of the target area for further education and training from programs of postsecondary education in order to meet changing employment trends **AND**
- Unaddressed educational or socio-economic problems of adults

## Objectives  Maximum 8 Points

-   Educational Opportunity Centers

## Objectives 

**The Department has provided four Mandatory Objectives:**
**MUST** include all four Mandatory Objectives in your application
**MUST** provide the percentage at which your project proposes to achieve each Mandatory Objective.
**MUST** provide evidence to show why each  Mandatory Objective is ambitious, but attainable.
- The four Mandatory Objectives **MAY NOT** be changed or rewritten in any way
**YOU MAY** include other process and outcome objectives, but not required.  Points will not be added or subtracted if additional objectives are included.

## Objectives

- The Objective selection criteria is worth eight points.
- All eight** points** will be applied to whether or not your objectives are *ambitious but attainable within each budget period and the project period given the project funds and other resources*.
- Applicant must provide evidence to show why the percentage that your project proposes to achieve each objective is ambitious but attainable.

## Mandatory Objectives 

**    **
**1.  Enrollment in High School Equivalency Program:**
**        **__% of “non-college ready” project participants who enroll in a program leading to a high school equivalency certificate.** **
**      ****2.  Student Financial Aid:**
- __ % of “college ready” project participants will apply for financial aid during each budget period.
** ****3. Postsecondary Education Application for Admissions: **
- __ % of “college ready” participants will apply to postsecondary school during each budget period.

## Mandatory Objectives

**4. Postsecondary Education Enrollment:**
- __ % of “college ready” project participants will enroll in a program of  postsecondary education during each budget period (or during the next fall term).
_**College ready:**_ a participant who: 1) is a high school senior; 2) is enrolled in an alternative education program whose academic level is equivalent to a high school senior; 3) is a high school graduate; or 4) has obtained a high school equivalency certificate.
_**Enrolled:**_  a participant who has completed the registration requirements and who has started attending classes

## Plan of OperationMaximum 30 Points

-   Educational Opportunity Centers

## Plan of Operation

- Inform the target area of the goals, objectives, and the eligibility requirements for participation in the project
- Identify and select eligible participants without regard to race, color, national origin, gender, or disability
- Assess participant’s needs for services

## Plan of Operation

- Provide services to meet participants needs and achieving the objectives of the program
- Ensure efficient administration of the project including: management plan, organizational structure, and staff responsibilities

## General Education Provisions Act (GEPA)(GEPA - Section 427)

- Improving America’s Schools Act of 1994 (P.L. 103-382)
- Applies to all applicants seeking federal funding
- Six types of barriers identified:
- Race
- Gender
- National Origin
- Color
- Disability
- Age

## General Education Provisions Act (GEPA)(GEPA - Section 427)

- Carefully read the provisions included in the application booklet.
- Include in the Table of Contents.
- Address in “*Plan of Operation”*  section
- Must be presented as a separate narrative section.
- Must be succinct, clearly identifiable and brief.

## Applicant and Community Support Maximum 16 Points

-   Educational Opportunity Centers

## Applicant and Community Support 

- Describe the facilities, equipment, supplies, other in-kind and direct contributions committed by the applicant
- Describe the resources, other in-kind and direct contributions secured through written commitments from schools, community organizations, and others
- Summarize commitments in a list or chart
- Do NOT include letters of support or commitment in the application

## Quality of PersonnelMaximum 9 Points

-   Educational Opportunity Centers

## Quality of Personnel

- Describe the minimum qualifications required of the project director and major job responsibilities
- Describe the minimum qualifications required of the other project personnel and major job responsibilities
- Describe the applicant’s plan to employ personnel who have succeeded in overcoming barriers similar to those being served in the target population
- Do NOT include resumes or job descriptions in the application

## Evaluation PlanMaximum 8 Points

-   Educational Opportunity Centers

## Evaluation Plan

- Appropriately addresses the project’s objectives
- Uses specific and quantifiable methods to measure the success of the project:
- Formative: progress made toward achieving objectives
- Summative: achievements made at the end of the each program year
- Provides for the disclosure of unanticipated outcomes including unattained objectives and a plan to implement corrective measures.

## BudgetMaximum 5 Points

-   Educational Opportunity Centers

## Budget

**Budget**

- All **NEW** projects will receive a maximum of $220,000 for the first year.
- Current grantees will receive a maximum of $220,000 or 3 percent greater than current funding (whichever is greater).
- Provide a budget summary and budget narrative for the first year only.
- Cost must be reasonable in relation to the objectives.
- Refer to “Part III First Year Budget Guidance” in application booklet.

## Allowable Costs

- Transportation, meals, and, if necessary, lodging for participation in authorized activities
- Purchase of testing materials
- Fees for college admissions or entrance examinations if no waiver is available or if paid to a third party
- In-service training of project staff
- Rental of building space, if not available at the site and if space is not owned by the grantee
- Purchase of computer hardware, software, or other equipment if necessary to meet the objectives of the project

## Unallowable Costs

**Unallowable Costs**

- Tuition, stipends, and other forms of direct financial support for participants
- Fees for applying for financial aid
- Research not directly related to the evaluation or improvement of the project
- Construction, renovation, or remodeling of any facilities

## Questions and Answers

**Questions and Answers**

## Program Assurances 

- Two-thirds of students served must be low-income, first generation, potential college students
- Individuals receiving service from another EOC will not receive services under the proposed project
- Located in a setting accessible to the individuals proposed to be served by the project
- Will not use the EOC project to recruit students to the grantee institution

## Formatting 

**Formatting **

**Include a Table of Contents**
**Narrative section limited to  ****50**** pages**
**Page limit does not apply to:**
**Application Face Sheet**
**Table of Contents**
**EOC Profile Form**
**Budget Summary Form**
**Assurances**
**No Appendices**** **

## Formatting 

**Formatting **

**Double space**** all text in the application including titles and headings. ****Single space**** all text in charts, tables, figures graphs, footnotes, quotations, references, and captions.**
**Use a ****12 point**** sized Times New Roman font.**

## Exceptions for Electronic Submission

**You may qualify for an electronic submission waiver if:**
- 	-You do not have Internet access
- 	-You do not have the capacity to upload large documents to the Grants.gov system
**If you are submitting a waiver, you must:**
- -Mail or fax a written statement to the Department explaining your need for a waiver.
- -If mailing, your letter must be postmarked no later than two weeks before the application deadline date.

## Exceptions for Electronic Submission

**Submit all Electronic Submission Waivers to:**
**Geraldine Smith**
**US Department of Education**
**1990 K Street, NW, Room 7000**
**Washington, DC  20006-8510**
**202-502-7857 fax**

## Closing Date is NOT Met

**Applications ****WILL NOT**** Be Read if:**

**Closing Date is NOT Met**
**50 Page Limit is Exceeded**
**A Paper Copy is Submitted without a Waiver of Electronic Submission**

## Questions and Answers

**Questions and Answers**

## E-Application
Is  OUT!

**E-Application**
**Is  ****OUT****!**

**Grants.gov****is****IN!**

## What is Grants.gov? www.grants.gov

- A NEW e-government initiative in the President’s Management Agenda - one of 24 government-wide e-Gov initiatives.
- A NEW portal for all federal grant customers
- A NEW way to FIND, APPLY to grants online
- The FIND function is a single source for finding grant opportunities, that helps applicants locate and learn more about funding opportunities in a standardized manner
- The APPLY function is a single, secure and reliable source for applying for federal Grants online, simplifying the grant application process and reducing paperwork

**www.****grants****.gov**

##  Applying

- Benefits the Applicant
- Multiple Online help tools
- Confirmation messages online and via e-mail
- Collaboration possible by e-mailing Pure Edge package
- Uses downloadable electronic forms
- Work and save application offline and logon to submit
- Different from e-Application,  where the applicant worked, saved, and submitted online
- One-time registration process
- Can take five (5) or more days to complete
- E-Authentication – no faxing of forms to ED
- Register once and you can apply for all federal grants (not just ED)
- Future of electronic applications across the federal government

## Getting Ready for Grants.gov

- Watch for Grant Opportunities posted on Grants.gov
- The FIND function will have information on how to apply in the announcement
- The APPLY function will have a link to the application
- Review ED Federal Register notices and application instructions carefully
- Note the Due Date AND Time
- Note instructions for submission and whether electronic submission is optional or mandatory
- Register - Complete the “Get Started Steps” for Grants.gov
- Download the Pure Edge Viewer

## Tips to Submit Successfully

- Review Grants.gov submission procedures and tips
- Register early
- Do not wait for an opportunity to be published to register
- Begin working on an application while completing Get Started Steps
- Download the Pure Edge viewer from _[http://www.grants.](http://www.grants.gov/)__[gov](http://www.grants.gov/)_ to be able to download the application package
- Confirm registration steps are complete
- Review Application Notices & Instructions carefully
- Education accepts .doc, .rtf and .pdf file types
- Submit Early
- Submit with the correct DUNS number, the DUNS used in the Central Contractor Registry (CCR)
- Verify submission is OK

## Register Early:

- Grants.gov registration is a one-time process that may take five or more days to complete.
- You may begin working on your application while completing the registration process, but you cannot submit an application until all of the Get Started steps are complete.
- 	For detailed information on the Get Started Steps, please go to: _[http://www.grants.](http://www.grants.gov/GetStarted)__[gov](http://www.grants.gov/GetStarted)__[/](http://www.grants.gov/GetStarted)__[GetStarted](http://www.grants.gov/GetStarted)_

## REMEMBER:To Submit Early 

- Do not wait until the last day to submit your application.
- Grants.gov will put a date and time stamp on your application after it is fully uploaded.
- The time it takes to upload an application will vary depending on a number of factors including the size of the application and the speed of your Internet connection.
- 	**Important: If you start uploading your application before 4:30 Washington, D.C. time on the  application deadline date, and you do not finish uploading until after 4:30 pm, your application will be marked** late.

## REMEMBER:To Verify Your Submission

- Verify that Grants.gov and the Department of Education receive your Grants.gov submission on time and that it was validated successfully.
- To see the date and time your application was received, login to Grants.gov and click on the Check Application Status link.
- For a successful submission, the date and time received should be earlier than 4:30 pm on the deadline date, AND the application status should be: Validated, Received by Agency, or Agency Tracking Number Assigned.

## E-mail Confirmations 

- You will receive a series of confirmations both online and via e-mail about the status of your application.
- Do not rely solely on e-mail to confirm whether your application has been received timely and validated successfully_*** ***_

## MAC & Dial Up Tips

- Macintosh users
- Need a Windows Emulator to use Grants.gov
- Dial Up Internet Connections
- Uploading applications takes significantly longer than when using a high-speed connection, e.g. cable modem/DSL/T1
- Can take a few minutes to a few hours to complete your grant submission using a dial up connection (depends on the application size)
- Exception to mandatory submission
- See the Education submission procedures and tips and the Federal Register notice
- Determine if you will need an exception to submit a paper application early

## Important Application Issues

- If the date and time received is later than 4:30 p.m. Washington D.C. time on the closing date, your application is late.
- If your application has a status of “Received” it is still awaiting validation by Grants.gov.  Once validation is complete, the status will either change to “Validated” or “Rejected with Errors.”
- If the status is “Rejected with Errors,” your application has not been received successfully.
- Some of the reasons Grants.gov may reject an application
- may be found on the Grants.gov site: _[http://www.grants.](http://www.grants.gov/assets/ApplicationErrorTips.doc)__[gov](http://www.grants.gov/assets/ApplicationErrorTips.doc)__[/assets/](http://www.grants.gov/assets/ApplicationErrorTips.doc)__[ApplicationErrorTips](http://www.grants.gov/assets/ApplicationErrorTips.doc)__[.doc](http://www.grants.gov/assets/ApplicationErrorTips.doc)_.

## Don’t Forget

- You cannot submit an application until you have fully registered with Grants.gov.
- Do not wait until the last day to submit your application. If you start uploading your application before 4:30 p.m., Washington, D.C. time, on the application deadline date, and you do not finish uploading until after 4:30 p.m., your application will be marked late.
- Do not rely solely on e-mail to confirm whether your application has been received timely and validated successfully.
- The application status of a successful submission is: Validated, Received by Agency, or Agency Tracking Number Assigned.
- If the status is “Rejected with Errors,” your application has not been received successfully.

## Grants.gov Customer Support

- 1-800-518-4726