Grantee Manual Revised for GAO

Data collection period: Early October 1, 2007 to December 31, 2007

Report due date: December 31, 2007

U.S. Department of Education

Institutional Development and Undergraduate Education Services (IDUES)

Annual Performance Report Manual

Updated to reflect requirements of GAO-09-300

U.S. Department of Education

Institutional Development and Undergraduate Education Services (IDUES)

Annual Performance Report Manual

Table of Contents

Introduction 3

Technical Notes 4

Getting Started 6

Grant Identification 7

Section 1 – Executive Summary 10

Section 2 – Institutional Profile 11

Section 3 – Activities, Focus, and Outcomes 12

Section 4 – Project-Status and Budget 26

Submission and Certification Process 31

Introduction

Grantee/IDUES Partnership

The new web-based Annual Performance Reporting (APR) system reflects the strength of the partnership between IDUES and the grantee community. Specifically, IDUES led an extensive grantee and community consultation to ensure that the APR would acknowledge the diverse institutions served by Title III and V.

Early on, IDUES worked with outside consultants to visit institutions so that the preliminary content and data collection would reflect the diversity of the institutions we serve. A paper prototype of the system (and later an electronic skeleton) was generated using information from these site visits and the program legislation. Through a series of regional meetings and teleconferences, the paper prototype and web-based skeleton of the system were made available to the grantee community for comment. Grantee suggestions and concerns were considered and, where appropriate, incorporated into next iterations of the APR. IDUES staff also solicited comment and feedback from national associations and college/university Presidents.

Reducing Reporting Burden

The new APR reduces your burden by allowing you to enter data in web-forms, which provide a great deal of the necessary context for your information. This reduces the amount of contextual information you need to write during the annual reporting process. Burden is further reduced by the APR’s interactive generation of the appropriate process and outcome-reporting templates.

In addition, through an agreement with the National Center for Education Statistics (NCES), an institution's most recently reported Integrated Postsecondary Education Data System (IPEDS) data will be automatically populated into the Institutional Profile (section 2) of the APR in order to reduce data entry burden. The exception is for branch campuses that do not report IPEDS data for their individual branch campus. In such instances, the grantee will have to enter data manually, using information from the college's Institutional Research Office. More information on IPEDS can be found on the NCES website at http://www.nces.ed.gov/ipeds/.

The APR Should Continue to Evolve

We expect that there will be system enhancements to make the APR more efficient and user friendly. IDUES staff and grantees will discuss proposed enhancements on an on-going basis.

Technical Notes

Due Date: December 31, 2007

The APR system will close on December 31, 2007. Completing the APR by the due date is critical since the APR data are needed to report to Congress for the annual Government and Performance and Results Act (GPRA) report on the Title III and Title V Program effectiveness. Note: You should not wait until the due date to submit your APR since there may be some component of the APR that was not completed and the system will not let you submit until all required components are complete.

Reporting Period: 10/01/2006 to 9/30/2007

The reporting period is the same throughout the report. All data and outcomes that you include in this report must only reflect results obtained during the reporting period and only as a result, either in whole or in part, of your Title III or Title V funds.

Contacting IDUES

You can contact your program officer directly for questions. If necessary you can also call the general IDUES phone number at 202-502-7777 or send an email to the general IDUES email at IDUES.information@ed.gov and the IDUES staff will direct your question appropriately. Please include the name of the program you are in, your institution name, and state in subject line of your email.

Contacting Caliber

You can contact the contractor for the APR system for technical questions on the APR system. The contractor will be responding to questions within one day in most cases. The phone number 1-800-963-6155 and the email is IDUESTechSupport@icfcaliber.com.

Who should complete the report?

We recommend that the Project Directors responsible for the administration of the grant complete the APR because the Project Director has ultimate oversight of the Title III and V grant. In the case of cooperative grants, the Project Director at the lead institution (or fiscal agent) should also be responsible for completing the APR coordinating the data from all the partner institutions.

Who has access to the reporting system?

IDUES will provide the grant’s Project Director as listed in our records only one password for accessing the APR system. The Project Director must make the decision whether or not to share the password with other grant staff. Keep in mind that only one person can log into the system with the password at a time, otherwise you may lose the data that is being entered into the APR system.

What if my institution has more than one grant?

Your institution is expected to complete a separate report for each Title III or V award currently administered at your institution. For example, if your institution is the recipient of an Individual Development Grant, as well as the fiscal agent for a Cooperative Development Grant, your institution should complete one report for each grant.

Navigating the System

Yellow Tabs

At the top of each screen there are yellow tabs, which provide additional information, features, and/or instructions. Special note: Hit the save button before you move to any of the yellow tabs in order to make sure that your data will be saved.

• About APR - Provides a brief overview of the APR and its main features.

• Privacy - Articulates the U.S. Department of Education's privacy policy.

• Home – This tab will take you to the first page of the APR so you can navigate to any of the four sections of the report.

• Reports - Provides access to downloading and printing blank forms of the APR, as well as a grantee's completed APR in Rich Text Format (RTF).

• Glossary - Defines key terms in the APR. Terms found in the glossary are hyperlinked throughout the APR.

• Technical Support - Provides assistance on selected help topics in completing the major sections of the APR. It also provides information on how to get technical support via email, telephone and frequently asked questions from the contractor (Caliber) as well as the IDUES program office during the data collection period.

• Logout – The logout tab will immediately log you out of the system without confirming that is what you want to do.

Hyperlinks

Throughout the APR, some terms have been hyperlinked in order to provide a link to a definition in the glossary. In some cases links will also provide additional instructions for the section. Special note: Hit the “Save Page” button before you use a hyperlink in order to make sure that your data will be saved.

Saving Data

Each data entry page has “Save Page” and “Next Page” buttons located on the bottom. Both of these buttons will save the data you have entered on that page. In addition to saving your data, the “Next Page” button will move you to the next page of the APR and save data entered to that point. Special note: Hit the “Save Page” button frequently while in the APR system in order to avoid losing data due to power failures or Internet connection interruptions.

Moving Between Sections

The left hand navigation bar will let you move to any of the four sections of the APR as needed—by clicking on the specific section link, you will be taken to the beginning of that section, and all data will be saved in the process. Additionally, there is a small hyperlink at the bottom of each APR page that says, “Back.” You may use this link to move backward in the APR. You should note, however, that if you do not hit the SAVE button, data entered will be lost. Use this link and the left navigation tabs rather than the Internet Browser ‘Back ’ function in the browser’s tool bar to avoid loosing data. Special note: You do not need to complete the APR sequentially; however, you do have to set up your activities in section three before completing section four.

Warning

We strongly suggest that you use the navigation tools provided within the APR system to the greatest extent possible. Using the “Back” and “Forward” function in your browser’s tool bar may cause unexpected difficulties with saving your data and may log you out of the system.

Drafting and Formatting Text Responses

We recommend that you draft your long responses in a word processing program in order to use the spell check feature of that program. The APR system does not have a spell check feature. Once you have drafted and spell checked your response you can “cut and paste” from that program into the on-line APR system.

Please note that, like other on-line systems, the APR system will not accept some of the automatic formatting features available in word processing programs. You should avoid; automatic numbering features, bullets, and tables. In addition, symbols and tabs will not translate into the on-line system. Therefore you should format your responses using only manually entered numbered lists or bullet indicators, manually entered returns, and manually entered spaces.

Downloading and Printing

• Under the yellow “Report” tab you can: Download and print a blank version of the report to serve as a guide for subsequent electronic data entry. We recommend that you print out the blank forms of the APR in order to determine which questions in sections 1 and 3 that you will answer before you start entering data in the on-line system. You can also use the print out to delegate the collection of data and information from other sources at your institution in advance of entering data in the on-line system.

• Download and print a copy of the completed APR in order to check for completeness and accuracy before you submit the APR. You will also want to save an electronic copy on your computer using the “Save as” option under the “File” menu for your records and for the next APR submission.

Getting Started

Preparation before you start

Gather all the information and materials that you will need for the report

• Your original application and any changes that have been approved by the program office

• Expenditure information for the reporting period

• Budget information for the reporting period and for the next grant year

• Data from your institution’s Fall 2006 IPEDS (Integrated Postsecondary Education Data System) reports, including the Postsecondary Completion Survey, the Fall Enrollment Survey, and the Institutional Characteristics Survey [Your Institutional Research Office or your institution’s System or Central Office should be able to provide you with your institution’s IPEDS report].

• Previous performance reports (interim and annual performance reports)

• Evaluation, process, and outcome data relevant to the reporting period

Login

The URL for the homepage is https://www.iduesapr.org

BECAUSE THIS IS A SECURE WEBSITE, YOU MUST TYPE HTTPS PRECEDING THE REMAINDER OF THE URL

To login you will be required to enter three (3) elements:

1. Your institution's Unit ID number

2. Your grant PR Award Number

3. Your APR password

Where can you find your Login information?

You have been provided login information, your unique password, Unit ID, and PR Award Number in the APR announcement letter that was sent via email. You may also get the information in the following ways:

• Unit ID: The Unit ID number is your institution’s IPEDS identification number. Your Institutional Research Office or your institution’s System or Central Office can provide you with the number. If you cannot identify the person on your campus who submits your IPEDS data, you can try contacting the IPEDS Help Desk at their toll free number (1-877-225-2568) they may be able to determine your institution’s Unit ID number.

• Grant PR Award Number: The PR award number is a unique number associated with your grant award and can be found on your “Grant Award Notification.” An example PR award number is: PO31A010001.

• APR password: Each Project Director will be provided a single password for the APR by email. If you lose your password or did not receive it, contact your program officer for assistance.

Re-entering the System

You will need to follow the same login procedures using the same three elements each time you re-enter the system.

Grant Identification

Accurate completion of this portion of the APR is critical since the information provided determines the system generated pathway for your specific Title III or V program and associated data entry questions.

Confirming the information

Once you have completed this section you will be asked to confirm the information by hitting the “Information is Correct” button or you will be given a chance to “Change Information”. Once you have confirmed the information with the “Information is Correct” button you will not be able to make changes to your answers in this section. Please take the time to check your information before you confirm since you will have to contact the contractor (ICF-Caliber) in order to get this section reset if you made an error and have already hit the “Information is Correct” button.

1. Contact Information

The system requires the name, title, telephone number and email address of the individual completing the report. As mentioned earlier we recommend that this individual be the grant's Project Director. Even though several different people will contribute to completing the APR, please enter the contact information for the person who can answer questions concerning the APR.

2. Identifying the Grant Program

Select the correct Title III or Title V program from the list provided. Select only one.

• Title III, Part A

• Title III, Part A, Section 316 American Indian Tribally Controlled College or University (TCU)

• Title III, Part A, Section 317 Native Hawaiian-Serving Institution (NHSI) and Alaska-Native Serving Institution (ANSI)

• Title III, Part B Historically Black College or University (HBCU)

• Title III, Part B, Section 326 Historically Black Graduate Institution (HBGI)

• Title III, Part E Minority Science and Engineering Improvement Program (MSEIP)

• Title V Hispanic-Serving Institutions (HSI)

3. Indicating the Type and Control of the Institution

Please identify the type and control of the grant institution (2-year, 4-year, Graduate/Professional, public or private). In the case of cooperative development arrangements, you should identify the type and control of the lead institution.

4. Minority Serving Institutions - Title III-A and Title III-E (MSEIP) only

Indicate your "Minority Serving Institution" status or select "None of the above" if this is not relevant to your institution.

5. Identifying the Grant Year

Indicate which year of your grant you were in during the reporting period.

4. Indicating Individual and Cooperative Grant Status

Title III-A, III-B, and Title V only - Indicate whether the project is an "Individual Development Grant" or a "Cooperative Development Grant."

If you have a Cooperative Development Grant, you must provide information on your partner institution(s): the name of partner institution(s), contact person at the partner institution(s), and the telephone and email for the contact person at the partner institution(s).

Title III-E (MSEIP) only - Indicate whether the project is an Institutional, Cooperative, Special Local, Special Pre-College, or Special Service project.

If applicable, provide information on partnering entities in the appropriate table such as; institutions of higher education, professional organizations, groups, or societies. Regardless of the type of partnering entity, users will indicate the name of partner(s), contact person at the partnering institution, telephone and email for the contact person at the partner(s).

5. Branch Campus Status (not applicable to MSEIP grants)

"If you are a branch campus of a larger institution, how do you report IPEDS data for your individual campus?"

This question of the Grant Identification section inquires into your status as a branch campus and how your institution submits its IPEDS (Integrated Postsecondary Education Data System) reports. Some grantees function as "branch campuses" of a larger institutional system. In many cases, these branch campuses do not report IPEDS data individually. Instead, campus-specific IPEDS data is included in the system-wide data. Your answer to this question will tell the APR system whether or not your IPEDS data is available to be downloaded into the system. More information on IPEDS can be found on the NCES website at http://www.nces.ed.gov/ipeds/.

Option 1My branch campus IPEDS data is included in the institution-wide survey.

If you select Option 1 above, you will be required to complete the Institutional Profile section manually. The APR will not be able to search for and upload your branch campus IPEDS data into the system automatically because it is not available. You will need a copy of your data from your institution’s Fall 2006 IPEDS reports, including the Postsecondary Completion Survey, the Fall Enrollment Survey, and the Institutional Characteristics Survey. Your Institutional Research Office or your institution’s System or Central Office should be able to provide you with your institution’s IPEDS report.

Option 2- My branch campus reports IPEDS data individually.

Some branch campuses report individual IPEDS data to NCES. If you select this option, the APR will be able to search for and upload your branch campus IPEDS data into the system automatically, as long as your institution submitted its Fall 2005 IPEDS data to NCES. In this case you will only need to check the accuracy of the data. If you have any changes or corrections to the uploaded data you can manually make changes in the APR system.

Option 3 'I am not part of a branch campus system. This item does not apply to me.'

If you select this option, the APR will be able to search for and upload your institution’s IPEDS data into the system automatically, as long as your institution submitted its Fall 2006 IPEDS data to NCES. In this case you will only need to check the accuracy of the data. If you have any changes or corrections to the uploaded data you can manually make changes in the APR system.

Section 1 - Executive Summary

What is the Executive Summary?

The Executive Summary allows you to "tell the story" of your grant’s impact at your institution. During extensive grantee outreach activities, ED program staff heard the grantee community's need to place project goals and outcomes in an institutional context. ED has responded to this need by designing open-ended questions. This section allows you to report on successes and challenges that cannot be articulated purely through quantitative responses. Each response is limited to 250 words.

All grantees will be required to answer two standard open-ended questions. In addition, grants that involve partnerships with other entities will also answer an additional question about the partnership.

After completing the required items, you must select two or more of the five additional open-ended questions. The five additional questions will be listed below the required questions. Place a check mark in the boxes to the left of each additional question you wish to complete. Select the “Next Page” button. The response boxes for the optional questions you selected will be generated.

Drafting and Formatting Text Responses

We recommend that you draft your long responses in a word processing program in order to use the spell check feature of that program. The APR system does not have a spell check feature. Once you have drafted and spell checked your response you can “cut and paste” from that program into the on-line APR system.

Please note that, like other on-line systems, the APR system will not accept some of the automatic formatting features available in word processing programs. You should avoid; automatic numbering features, bullets, and tables. In addition, symbols and tabs will not translate into the on-line system. Therefore you should format your responses using only manually entered numbered lists or bullet indicators, manually entered returns, and manually entered spaces.

Section 2 – Institutional Profile

What is the Institutional Profile?

This section provides some institutional context for your Title III or Title V projects (e.g., student enrollment by race/ethnicity; student enrollment by age and gender; degrees and certificates awarded by race/ethnicity and gender). Data is collected from IPEDS (Integrated Postsecondary Education Data System), which is collected annually by the Department of Education's National Center for Education Statistics (NCES). More information on IPEDS can be found on the NCES website at http://www.nces.ed.gov/ipeds/.

Automatic data population

Through an agreement with NCES, available IPEDS data will be automatically uploaded into this section of the APR. The most recent and available IPEDS data will be uploaded into the tables. For this data collection period it is the Fall 2006 IPEDS survey.

Please note that data on students who are Pell Grant recipients is not currently collected by IPEDS and will have to be entered manually (MSEIP and HBGI grantees will not need to enter Pell grant data). In addition, data on student enrollment for MSEIP grantees must be entered manually since this program focuses on science and engineering students only.

Please note that the APR will not audit for mathematical errors—you are responsible for ensuring that the data is correct. If pre-loaded or manually entered data is incorrect, it can be modified in the APR by typing over the numbers in the field.

Branch campuses of larger institutional systems

In cases where institutions are part of a branch campus system that does not report for individual campuses, the data will need to be manually entered. When data must be entered manually, you should report data as of October 15, 2006 (or your Fall 2006 data).

Institutional Profile Tables Completed by Program Type

Institution - Program Type	Section 2 - Institutional Profile Tables
	Enrollment by Race/Ethnicity	Enrollment by Age/Gender	Awards/ Degrees Conferred	Degrees Awarded by Race/Ethnicity/ Discipline	Levels of Graduate/ Professional Degrees Awarded by Race/Ethnicity	Student Enrollment in Science Education Programs by Race/Ethnicity/ Gender/Discipline	Accreditation
2-Year							
4-Year							
HBGI	1						
MSEIP	2					

Section 3 - Activities, Focus, and Outcomes

What is the Activities, Focus and Outcomes section?

In this section you will be relating your grant activity costs to the legislative language for your particular Title III or Title V program. For most of this section you will be reporting on each activity separately. You should use the original activity structure of your application, incorporating any changes that have been approved by the program office to your original grant application.

Reporting Period: 10/01/2006 to 9/30/2007

The reporting period is the same throughout the report. All data and outcomes that you include in this report must only reflect results obtained during the reporting period and only as a result, either in whole or in part, of your Title III or Title V funds.

Getting started

Step 1: Select “Activity Main Page”

Step 2: On line 1, enter the total expenditures for the entire grant project including

all activities, endowment, and management costs. The figure you provide should

reflect actual expenses during the period in order to get your results and outcomes –

planned or delayed expenses should not be included. In some cases the

expenditures for the reporting period may be different than your GAPS records.

On line 2, enter the total dollars spent specifically on project management and evaluation costs.

On line 3, enter the total number of grant activities carried out during the reporting period.

Once you click on NEXT PAGE, the APR will generate a calculated figure on line 4. (Note: You will NOT see this figure unless you go back to the total expenditures page.) The figure on line 4 will represent total expenditures minus project management/evaluation costs from the total expenditures. Use the figure on line 4 to report on grant activities in Section 3.

Note: do not include the dollar symbol or commas when entering dollar amounts, as these symbols will cause system errors. $450,275.50 should be expressed simply as: 450275.50

Step 3: Select "Enter New Activity."

There are two special notes concerning this section:

1. Special note on endowment: Please treat your endowment building component as a separate activity even if it was not labeled as such in the original application.

2. Special note on management/evaluation budgets: Many of your applications have a separate management and evaluation budget, almost as a separate activity itself. If this is the case – just for this section of the APR - we are asking that you distribute the management costs into the LAA categories in Step 4 of the grants Activity page. Thus expenditures for ALL reported grant activities should be equal to the dollar amount generated on Line 4 of the previous grant expenditures page.

Completing the Grant Activities and Focus Area Page

This page of the Activities, Focus, and Outcomes section allows you to begin reporting on individual grant activities carried out over the current reporting period. Remember, you are completing a page for each grant activity. Therefore, any reported expenditures should be based on the current activity for which you are reporting, rather than the entire grant.

-See Next Page for Graphic-

Activity:

Grant activity carried out during this reporting period from your grant application

Faculty development to improve student learning outcomes through learning communities

340000

Total dollars spent on this activity during the current reporting period:

S

Academic Quality

elect a Focus Area:

Title V Legislative Allowable Activities [Note: All listed activities are directly from the legislation]	Dollars spent during the reporting period
Purchase, rental, or lease of scientific or laboratory equipment for educational purposes, including instructional and research purposes.
Construction, maintenance, renovation, and improvement in classrooms, libraries, laboratories, and other instructional facilities.
Support of faculty exchanges, faculty development, curriculum development, academic instruction, and faculty fellowships to assist in attaining advanced degrees in the fellow’s field of instruction.	213743.83
Purchase of library books, periodicals, and other educational materials, including telecommunications program material.	14705.17
Tutoring, counseling, and student service programs designed to improve academic success.
Funds management, administrative management, and acquisition of equipment for use in strengthening funds management.
Joint use of facilities, such as laboratories and libraries.
Establishing or improving a development office to strengthen or improve contributions from alumni and the private sector.
Establishing or improving an endowment fund.
Creating or improving facilities for Internet or other distance learning academic instruction capabilities, including purchase or rental of telecommunications technology equipment or services.	111551.00
Select this button before moving to the next page if you would like to see the grand total and percentages of your completed LAA table. Establishing or enhancing a program of teacher education designed to qualify students to teach in public elementary schools and secondary schools.
Establishing community outreach programs that will encourage elementary school and secondary school students to develop the academic skills and the interest to pursue postsecondary education.
Expanding the number of Hispanic and other underrepresented graduate and professional students that can be served by the institution by expanding courses and institutional resources.
OTHER ACTIVITIES—PLEASE DESCRIBE IN SIMILAR DETAIL

Calculated Table

Click here to enter similar allowable activities.

Next Page

Save Page

Step One: Enter the activity title for the activity on which you are reporting now. This space is the first active box on the Grants Activities and Focus Area page. The activity title should come from your original grant application. Return to graphic.

Step Two: The second box on this page allows you to enter the amount of dollars spent to carry out this activity during the reporting period. Return to graphic

Step Three: Select a Focus Area from the four choices (Academic Quality, Fiscal Stability, Student Services and Outcomes, and Institutional Management) available as a drop-down window in the third active box on this page. Return to graphic

How should I assign a focus area to an activity?

The focus areas identified in the APR are aligned closely to the legislative purposes of Title III or V grants. Activities often have elements of more than one of these foci. However, you should select the one that most closely reflects the overall intent of this activity. To assign a single focus area to an activity, consider the intended outcomes of an activity rather then the processes involved. Although we acknowledge that most activities address a number of institutional areas, the project director should select the single most representative focus area provided.

For example, an activity that combines faculty development with improved student tutoring, involves at least two distinct processes or strategies. Consider the broader outcome of the activity, which could be in this case, the improvement of student retention and graduation rates over time. Since the most representative purpose of this activity is to improve student outcomes, this activity should fall under the Student Services and Outcomes focus area.

There is no formula for determining the focus area other than examining the intentions of the activity and categorizing to the best of one’s ability. You can refer to the Glossary for sample activities within the four areas.

Step Four: Using the amount of money reported in Step Two, distribute these funds appropriately in the Legislative Allowable Activities table. The Legislative Allowable Activities table is located directly beneath the Focus Area box. Enter dollar amounts associated with applicable, allowable activities in the second column of the table. This process will show how the funds used to carry out the grant activity relate to the allowable activities under the law. This step will also determine the process measures that you will be asked to complete for this grant activity.

How should I distribute the dollar amounts among the LAAs?

Instead of grouping expenditures by the standard budgetary line items this step asks you to think of activity expenses in a different way. We want you to group the expenditures according to the intent of the legislation. The specific activities expressed in the legislation should serve as the framework for the distribution of activity expenses—do your best to adopt your specific expenses with existing LAAs, but if none adequately capture your activity, you may add a category at the bottom of the table in the "Other" category. Remember that we are trying to aggregate expenses across many projects; so adhering to the LAAs to the greatest extent possible assists our program analysis.

If you would like to see what percentage of your total budget is reflected in the dollars spent in each of the legislative allowable activities, you may click on the "See Calculations" button. This is the button located at the bottom center of this page. The grand total of the dollars entered into the table will be visible as well. Return to graphic.

Step Five: Select the Next Page button. The next page will have process measure questions associated with the appropriate LAA categories. You are required to enter process measures data for each Legislative Allowable Activity category that equals 20% or $25,000 of the total expenditures for each grant activity. Therefore a Process Measures table will be generated for each LAA category meeting one or both of these criteria. Return to graphic.

Completing Process Measures Tables (Not applicable to MSEIP)

These tables let us know what you have accomplished during the reporting period within the Legislative Allowable Activity categories relevant to your specific projects. You are required to enter process measures data for each Legislative Allowable Activity category that equals 20% or $25,000 of the total expenditures for each grant activity. Therefore a Process Measures table will be generated for each LAA category meeting one or both of these criteria.

Reporting Period: 10/01/2006 to 9/30/2007

The reporting period is the same throughout the report. All data and outcomes that you include in this report must only reflect results obtained during the reporting period and only as a result, either in whole or in part, of your Title III or Title V funds.

LAA Category: Creating or improving facilities for Internet or other distance learning academic instruction capabilities, including purchase or rental of telecommunications technology equipment or services.

Yes

Did the number of faculty trained in technology increase?

I

Click on drop-down box to respond to each item

f yes:

5

Start # faculty

23

End # faculty

23

Application Objective #

If standard process measures do not fit, create original process measures in the "Other" boxes. Be sure to follow question format in designing a new process measure. Indicate the data element (unit) to be measured (e.g. faculty, students, etc.)

Other, please specify:

S

tart #

End #

Application Objective #

Next Page

Save Page

Step One: Read the process measure item found in the table under the relevant LAA category. If the grant activity involved this process measure, respond by answering the question by selecting "Yes" or "No" from the box next to the process measure item. If the item is not applicable to the grant activity leave the “NA” response in the box. Return to graphic.

What are process measures and how should they relate to my activity?

Process measures are specific activities and/or strategies that are linked to and support the attainment of desired programmatic outcomes. The measures were utilized to allow the APR to collect data on common processes, rather than relying exclusively on the outcomes of your activities. We recognize that the processes developed or improved by your grant are extremely valuable, but given the thousands of possible activities, it is nearly impossible to capture them all. With the consultation of the grantee community, we have developed a broad list of common processes and adopted them for the APR. To be useful, the process measures must be standardized as much as possible so that data can be aggregated and analyzed. Although processes funded by your grant may or may not be worded exactly as they are presented here, please generalize and respond to as many measures as you can. The process measures are posed as questions in relationship to improvement. If your activity addressed a process measure here, but there was no improvement, please respond, “no.”

What if none of the process measures fit my results?

After you have reviewed all of the standard process measure questions and you cannot generalize your results into one of those questions, you may enter up to two (2) original process measures as "Other" process measures. To enter your own process measure(s), type in your process measure using the same question format used for the standard process measures. You will also need to enter the corresponding start, end, and application objective in the data boxes. Do not use “%” or “$” in the data boxes.

Step Two: If you answered "Yes" or "No" you will need to enter the standardized data elements for that process measure; the Start quantity, the End quantity, and the Application Objective. The quantity entered in the Application Objective box should match the goal you set for your institution in your original grant application or in any approved change to your grant application. Return to graphic.

What are the “standardized data elements” and what do they mean?

For many of the process measures, if you respond “yes” or “no” we request that you provide some additional information, which we call standardized data elements. This allows us to aggregate the results of individual process measures within each LAA category across all Title III and Title V projects. The data elements are standard in the sense, that we are asking you to frame your response in a certain format, such as a number rather than a percentage even if your application objective was written in terms of a percent.

The terms have the following meaning:

Start = the number (or percentage) that existed at the beginning of the reporting period – as a result of Title III or Title V funds before the reporting period (October 1, 2005)

End = the number (or percentage) that exists at the end or the reporting period – as a result, either in whole or in part, of the Title III or Title V activity funds by the end of the reporting period (September 30, 2006)

Application Objective = If you have clearly identified a goal in your application/proposal that relates to this process measure, please indicate it here in the same format as the start and end data elements (number or percentage).

Step Three: When you have completed all process measures that apply to your activity within this LAA category, select the "Next Page" button at the bottom right of the page. If you wish to save your work at any time while entering data on this page, click on the “Save Page” button at the bottom left of the page.

Return to graphic.

Step Four: After selecting “Next Page” you will either

1. See another screen with additional process measure questions if you had distributed your activity expenditures into other LAA categories. You will then repeat steps one through three above.

2. Go back to the “Activity Main Page” screen if you have finished entering all the process measure questions for all the LAA categories. At the “Activity Main Page” screen you will be able to use the “Enter New Activity” button to add another activity to the APR or if you have finished entering activities then you should select the “Done with Entering Activities” button to move to the Focus Area Outcomes.

Completing the Focus Area Outcomes (Not applicable to MSEIP)

Once you complete basic budget and process information on each grant activity, you are asked to report on outcomes achieved during reporting period. Outcome tables should be reported for the entire grant project (not individual grant activities).

You will respond to the Outcome table associated with the focus areas that you identified with you activities (Academic Quality, Fiscal Stability, Student Services and Outcomes, and Institutional Management). For example, if you previously selected “Academic Quality,” as a focus area for any of your grant activities, you will be required to report outcomes associated with Academic Quality. However, you will also have the ability to answer questions in any of the other three focus areas even if you had not indicated them as one of the focus areas applicable to your activities. This will allow you to report outcomes for those activities that have outcomes within more than one of the focus areas.

You must provide outcome information (in each required focus area) on at least two questions that you believe are most reflective of your activities supported by Title III and V funds over the current reporting year.

Note: The outcomes tables for Historically Black Graduate Institutions (HBGI) will be different then those for other institutions.

Reporting Period: 10/01/2005 to 9/30/2006

The reporting period is the same throughout the report. All data and outcomes that you include in this report must only reflect results obtained during the reporting period and only as a result, either in whole or in part, of your Title III or Title V funds.

The sample below contains outcomes reported in the Academic Quality area for 2- or 4-year institutions.

2

Click on drop-down box to select options: Yes, No, or Will Report Next Year. Not Applicable is the default option.

- and 4-Year Institutions: Academic Quality

Yes

H as the enrollment of non-traditional, part-time,

minority, rural, or low-income students increased?

I

67

f yes,

I nitial enrollment %

F

77

inal enrollment

72

Goal

I would like to provide a supporting statement.

If standard process measures do not fit, create original outcome measures in the "Other" boxes. Be sure to follow question format in designing a new outcome measure. Indicate the data element (unit) to be measured (e.g. faculty, students, etc.)

Other

I

f yes,

Initial

Final

G

oal

I would like to provide a supporting statement.

Save Page

Next Page

Step One: Read the outcome measure item found in the table for the relevant focus area. If this grant has achieved this outcome during the current reporting period, respond by selecting "Yes" from the box to the right of the outcome measure item. If you did not achieve this outcome, but expect to in the next reporting cycle, select the option “Will Report Next Year” from the drop-down menu. Return to graphic.

What are focus area outcomes and how should they relate to my activity?

Outcome measures are indicators of the success of a program or activity in attaining its goals related to the target populations. They generally refer to changes in conditions or behavior of the target populations, such as school attendance, academic achievement, course completion, etc. While process measures focus on the tasks that support the activities, outcome measures express the impact of the activity on a specific group or the institution as a whole. The outcome measures have been created with the input of the grantee community and are intended to be broad, yet inclusive of common activities. Although the outcomes you expressed in your grant application may or may not be worded exactly as they are presented here, please generalize and respond to as many outcome measures as you can. While we are aware that the attainment of outcome oriented goals is typically a combination of factors, rather then exclusively as a result of your Title III/V activities, if you feel that your grant activities made significant contributions to the attainment of an outcome, then please report on that measure.

Like the process measures, these outcome measures are posed as standardized questions in relationship to improvement. If your activity addressed an outcome measure here, but there was no improvement, please respond, “no.”

What if none of the outcome questions fit my results?

After you have reviewed all of the outcome measures and you absolutely cannot generalize your results into one of those questions, you may enter up to two (2) original outcome measures as "Other" outcomes. To enter your own outcome(s), type in your outcome using the same format used for the standard outcome measures. You will also need to enter the corresponding cohort, start, end and application objective in the data boxes. Do not use “%” or “$” in the data boxes.

Step Two: If you answered "Yes" in Step One, you will need to supply standardized data elements that support this outcome. Enter the "Initial" data, the "Final" data, and enter the "Goal" as stated in your original grant application for this outcome. In the sample, this institution had an enrollment of 67% of non-traditional students on its campus at the beginning of the grant. It has increased this population of students to 77%, actually surpassing its goal of 72% non-traditional students.

What are the “standardized data elements” and what do they mean?

For most of the outcome measures, if you respond “yes,” we request that you provide some additional information, which we call standardized data elements. This allows us to aggregate the results of individual outcomes and focus area categories. The data elements are standard in the sense, that we are asking you to frame your response in a certain format, such as a number or percentage.

The terms have the following meaning:

Start = The number or percentage that existed at the beginning of the reporting period – as a result of Title III or Title V funds before the reporting period (October 1, 2005)

End = The number or percentage that exists at the end or the reporting period, as a result of the activity – as a result, either in whole or in part, of Title III or Title V funds by the end of the reporting period (September 30, 2006)

Goal = If you have clearly identified a goal in your application/proposal that relates to this outcome measure, please indicate it here.

Cohort = If the outcome relates to a cohort (a limited, clearly specified group) that was targeted by your activity please describe the cohort. An example would be “300 science learning community freshmen.”

Step Three: You have the option of completing a brief statement that supports this outcome. If you would like to enter a supporting statement, enter your statement in the box provided (the text box does have a word limit). You can provide context for your outcomes or discuss unexpected effects of the outcomes, etc. Return to graphic.

Step Four: In some cases, the outcome question also allows you to provide a brief description of the applicable cohort for which you are reporting your results and data.

Step Five: Select the “Next Page” button found at the bottom right of this page. You will come back to the “Activity Reporting” page where you can complete additional required outcome tables or any of the non-mandatory outcome tables if desired. If you wish to save your work at any time while entering data on this page, click on the “Save Page” button at the bottom left of the page. If you have completed all necessary outcome tables, you should proceed to Section 4: Project Status and Budget.

SPECIAL NOTE - How to Handle Entering GPA and FTE Personnel as part of Process Measures and Focus Area Outcomes in the Title III and V APR

The current version of the Title III and V rounds up decimals to whole numbers. This can be problematic when attempting to enter GPA and FTE information in the Process Measures and Outcomes areas.

For this reporting cycle, we would like to suggest the following in reporting GPA and FTE information.

1. For GPA, enter the data WITHOUT decimals. For instance, for entering a GPA of "3.3," the user would enter "330." To enter "2.34", the user would enter "234." Remember, do not use any symbols when entering data in these boxesonly input the three-digit numbers that represent the GPA.

2. For reporting FTE data that equals less than 1, enter the digits that represent the fraction equivalent using the three-digit system WITHOUT decimals. For example, for entering a half-time (.50) FTE, the user would enter "500." To enter a three-quarter staff person, the user would enter "750." Remember, do not use any symbols when entering data in these boxesonly input the three-digit numbers that represent the FTE data that equals less than one. For FTE data between two integers, for example one and half staff or 1.5, data should be represented as "1500."

Section 4 - Project-Status and Budget

Note: You must set up your grant activities in section 3 before completing section 4.

Completing the Project Status Report

This section of the APR will document substantial progress toward meeting your grant objectives. You will report on each objective in the original application including any changes that have been approved by your program officer that fall within the reporting period. In this section, you will provide evidence of substantial progress toward meeting your project objectives and report the status of your budget. Please recall that endowment building was set up as a separate activity in section 3 even if it was not labeled as such in the original application.

Reporting Period: 10/01/2005 to 9/30/2006

The reporting period is the same throughout the report. All data and outcomes that you include in this report must only reflect results obtained during the reporting period and only as a result, either in whole or in part, of your Title III or Title V funds.

Section 4 - Project Status Report

A ctivity: Faculty development to improve student learning outcomes through learning communities

4

How many objectives are you reporting on for this activity?

Next Page

Step One: This step is automatically generated by the system. It will list the first grant activity you entered into the APR's Activities, Focus and Outcomes section 3.

Step Two: Enter the number of objectives that you will be reporting on for this activity.

Step Three: Select the "Next Page" button located at the bottom right of the page to proceed.

O bjectives as written in grant application Status

By September 30, 2005, as a result of faculty development activities, 18 mathematics and science faculty will design and pilot test learning

On Schedule

Choose One

Choose One

Choose One

Next Page

Save Page

Step One: From your original grant application, enter all objectives related to this grant activity. Include the language of any changes that have been approved by the program office. Enter this text in the first box of each row. Return to graphic.

Step Two: Select the corresponding status of each activity objective from the drop-down menu box located to the right of each objective. There are four options: On Schedule, Completed, Change in Schedule, and Change in Objective.

What do the “status” terms mean?

The “status” terms are intended to describe the result or outcome of your objective for the reporting period. They also indicate to some degree, why a certain objective was not met, as well as prompting further description of your progress towards meeting that objective.

Each status term is described below:

On Schedule = The objective, as described in your application, has no specific ending date, or is scheduled to conclude at a date that falls outside of the reporting period. To respond “on schedule” is to suggest that you are making substantial progress towards meeting the objective and expect to meet the objective by the date specified in your application. For objectives that have no specific ending date, “on schedule” suggests that that you are making ongoing substantial progress towards this objective.

Completed = The objective, as described in your application, was met on time and in full within the reporting period.

Change in Schedule = The objective, as described in your application, was not met for a specified reason(s), and may or may not be met at a later date. This option also allows you to explain why you were unable to complete an objective.

Change in Objective = The objective, as described in your application was not met, or, will not be met, and you anticipate a future change to this objective in later years. Please note that you must have approval by ED for any change of objective prior to this APR, and that the APR is not the forum to submit a change request. Contact your program officer directly to request changes to your objectives for future reporting periods.

Step Three: Select the "Next Page" button located at the bottom right of the page to proceed.

If you selected:

'On Schedule' 

• There are no further project status reporting requirements for objectives that are on schedule.

'Completed' 

• You will be asked to provide additional information as evidence that the objective has been completed. This can include data and other context information as well as unexpected results.

'Change in Objective' 

• You will be asked to complete a table entitled, “Changes to Activity Objectives.” You will only use this table in very rare circumstances. If for example, the objective as described in your application was not met, or will not be met, and you anticipate a future change to this objective in later years. Enter the change to the original objective and the reason for the change in objective. In the final column, you must indicate whether the appropriate individual in the Department of Education Program Office has approved the change in objective by selecting the appropriate "Yes" or "No" button. Special note: This question should not be interpreted as an opportunity to change a reporting period objective.

'Change in Schedule’ 

• You will be requested to complete a table with an explanation for the change in schedule. Enter a brief reason for the change and enter an expected completion date. Return to graphic.

Budget

The budget and expenditure table accepts dollar amounts for the following line item categories:

• Personnel

• Fringe Benefits

• Travel

• Equipment

• Supplies

• Contractual

• Construction

• Other

• Endowment

• Indirect Costs (MSEIP Only)

The budget and expenditure table allows reporting by the above categories for the following seven columns:

• Carryover Balance from Previous Year: Enter the amount of any carryover form the previous grant year before the reporting period (October 1, 2005 to September 30, 2006).

• Actual Budget: The budget for the reporting period, (the negotiated budget based on your original application budget with any budget adjustments made according to your program officer). The total of this column should equal the award amount for the reporting period, which is included in your Grant Award Notification.

• Expenditures: The amount of grant expenses incurred during the reporting period (October 1, 2006 to September 30, 2007).

• Non-Federal Expenditures: The amount of non-Federal expenses incurred during the reporting period (October 1, 2006 to September 30, 2007). This should include any program required matching funds such as endowment matching or HBGI matching requirements.

• Carryover Balance: The actual funds that were not spent by the end of the reporting period (September 30, 2007).

• Next Year's Actual Budget: The budget planned for the next fiscal year. The total costs should match the FY award amount from your most recent Grant Award Notification (October 1, 2007 to September 30, 2008).

• Changes: Check the box in order to provide additional information on that particular the line item.

Budget Categories	Carryover Balance from Previous Year	Actual Budget	Expenditures	Non-Federal Expenditures	Carryover Balance	Next Year's Actual Budget	Changes
Personnel	$0	$165,000	$160,671	$125,671	$4,329	$169,950	X
Fringe Benefits	$0	$50,100	$48,831	$33,931	$1,269	$51,603	X
Travel	$0	$4,273	$4,273	$0	$0	$4,401
Equipment	$0	$37,527	$37,503	$0	$0	$48,953
Supplies	$0	$7,426	$7,450	$0	$0	$7,649
Contractual	$0	$0	$0	$0	$0	$0
Construction	$50,000	$159,899	$179,899	$0	$30,000	$164,696	X
Other	$0	$17,674	$17,674	$0	$0	$18,204
Endowment	$0	$10,000	$9,000	$9,000	$1,000	$0	X
Total	$50,000	$451,899	$465,301	$168,602	$36,598	$465,456

Changes by Line Item

If you check the box in the last column you will be able to provide a narrative to discuss any relevant details on the corresponding line item. You may want to use this option in order to explain how carry over funds were spent or why you have had unexpected carryover. In addition, you may want to use this box to talk about the non-federal expenditures that were used and how they have been leveraged with your grant to improve your project.

Budget Narrative

The Budget Narrative provides you with the opportunity to briefly (400 words maximum) describe in a summary format any major departures from their approved budget or changes to your proposed budget for the next fiscal year. In this narrative, grantees will have the chance to provide overall project level budget information, particularly any substantial departures from previously approved budgets.

Section 5: Use of Technology: (This section applies to HBCU and TCCU grantees only) Creating or improving facilities for Internet or other distance learning academic instruction capabilities, including purchase or rental of telecommunications technology equipment or services.

Complete each of the 14 questions where applicable and use the “other” category for technology uses not identified. An example follows:

Did the number of faculty trained in technology increase?

If yes:

5

Start # faculty

23

End # faculty

23

Application Objective #

Next Page

Save Page

The terms have the following meaning:

Start = the number (or percentage) that existed at the beginning of the reporting period – as a result of Title III funds before the reporting period (October 1, 2007)

End = the number (or percentage) that exists at the end or the reporting period – as a result, either in whole or in part, of the Title III activity funds by the end of the reporting period (September 30, 2008)

Application Objective = If you have clearly identified a goal in your application/proposal that relates to this process measure, please indicate it here in the same format as the start and end data elements (number or percentage).

Submission and Certification Process

Saving the Report

Use the “SAVE” button to ensure that your completed APR data is saved while you check your completed report for accuracy or while you wait for final approval from your institution’s authorizing representative. Using the “SAVE” button lets you return to your APR to modify it as needed during the period that the APR system is open – the system closes on December 31, 2007.

Submitting the report

Do not hit the “SUBMIT” button until you have completed the following certification process. Special note: You will not be able to make changes to the APR once you have hit the “SUBMIT” button.

(a) Select "SAVE" so that your completed APR data is not lost while you await approval from your Institution’s authorizing representative.

(b) Print a full copy of the report for review by your Institution’s authorizing representative.

(c) Download and print a copy of the paper certification form. This form needs to be submitted to the Department of Education in order to demonstrate that your institution’s authorizing representative has reviewed and approves the content of the complete APR. You should provide a copy of the completed APR report and the completed certification form to your institution’s authorizing representative for signature.

Fax the certification form within 10 days of electronic submission of the completed APR. The fax number for IDUES is 202-502-7861.

If you are having trouble faxing the certification form you can mail a hard copy of the certification form to: Department of Education, IDUES, 6th floor, 1990 K St. NW, Washington, DC 20006.

DO NOT FAX OR MAIL THE COMPLETED APR TO IDUES.

(d) Re-enter the system and hit the “SUBMIT” button once you have received approval from your Institution’s authorizing representative. You will receive the following email message confirming that your APR data has been successfully submitted.

Dear Project Director:

We have received your official IDUES APR for the October 1, 2006 - September 30, 2007 reporting year. You may not edit your report. If you wish to recall and modify your APR, kindly contact your ED Program Officer.

Thank you.

NOTE: Once you select "SUBMIT," your APR will be sent directly to the US Department of Education. You will not be able to make additional changes.

DO NOT send a hard copy of the completed report to the US Department of Education.

1 Note: HBGI institutions do not provide Pell data.

2 Note: The student data for MSEIP race/ethnicity enrollment is limited to the institution's population of declared Science and Engineering students. Also, MSEIP does not provide Pell data.

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Contact IDUES: 202-502-7777 or IDUES.information@ed.gov

Contact Caliber: 1-800-963-6155 or IDUESTechSupport@icfcaliber.com