1. Especially in the areas affecting Upward Bound, program performance (APR) and the next grant competition. Dave Ferguson 559-276-3778dferguson@csuchico.edu An Introduction to the Higher Education Opportunity Act (HEOA)

2. Objectives Familiarize you with HEOA and possible new UB regulations Familiarize you with process of finalizing new regulations Involvement: Commenting, planning programs and changes, and preparing for the next grant competition

3. HEOA: Large TRIO Impact HEOA became law Aug. 14, 2008 It is a massive 432 page law. – 5 years late and after an unprecedented 14 extensions of the statutory deadline. – It was last reauthorized in 1998 – It reflects the “current” educational philosophy of Congress

4. A Review of the Law ALL HEOA is the authorizing legislation for ALL federally funded higher education programs – It has 11 titles or subsections MUST – The U.S. Dept. of Education MUST create or amend regulations to interpret the law.

5. The 11 Subsections of HEOA Title 1: General Provisions Title 2: Teacher Quality Enhancement Title 3: Institutional Aid Title 4: Student Assistance TRIO – Includes financial aid and TRIO Title 5: Developing Institutions Title 6: International Education Programs

6. The 11 Subsections of HEOA Title 7: Graduate and Postsecondary Improvement Programs Title 8: Additional Programs Title 9: Amendments to Other Laws Title 10: Private Student Loan Improvement Title 11: Studies and Reports

7. The Structure of Title IV of the Law TITLE IV—STUDENT ASSISTANCE PART A—GRANTS TO STUDENTS IN ATTENDANCE AT INSTITUTIONS OF HIGHER EDUCATION Sec. 401. Federal Pell Grants. Sec. 402. Academic competitiveness grants. Sec. 403. Federal TRIO Programs Sec. 403. Federal TRIO Programs. Sec. 404. Gaining early awareness and readiness for undergraduate programs. Sec. 405. Academic Achievement Incentive Scholarships. Sec. 406. Federal Supplemental Educational Opportunity Grants. Sec. 407. Leveraging Educational Assistance Partnership program. Sec. 408. Special programs for students whose families are engaged in migrant and seasonal farm work. Sec. 409. Robert C. Byrd Honors Scholarship Program. Sec. 410. Child care access means parents in school. Sec. 411. Learning Anytime Anywhere Partnerships. Sec. 412. TEACH Grants.

8. The Structure of HEOA § or Sec. 403. FEDERAL TRIO PROGRAMS (a,b,c) (1,2,3) (A,B,C) (i,ii,iii) (I,II,III) (aa,bb,cc)

9. HEOA Themes for all TRIO Rigorous secondary school program of study Participants with high risks for academic failure – LEP – Homeless and foster youth – Disconnect youth – New classifications of veterans

10. Changes in UB Services REQUIRED Permissible service now REQUIRED – Tutoring – Secondary & postsecondary course selection – Preparing for college entrance exams – Completing college applications – Financial aid information

11. Changes in UB Services REQUIRED (cont) Permissible service now REQUIRED (cont) – Assistance in the following: Secondary school reentry Alternative education for dropouts Entry in GED programs Financial/economic literacy for participants & parents

12. Implementation Process Negotiated Rulemaking – For program specific regulations – Grant applications Notice of Proposed Rulemaking Regulation published for public comment Publish regulations

13. UB Community’s Duties Educate colleagues and stay informed Be alert for draft regulations for comment Analyze impact on program, target schools, and institution NOW Plan and start testing new programs NOW Begin gather Need data Assert needs Make public comments!

14. In Anticipation of Change

15. HEOA Definitions §645.6 (b) provide definitions the examples – Financial/economic literacy examples: Personal/family budget planning Understanding credit building principles to meet long/short-term goals Cost planning for ps education

16. HEOA Definitions §645.6 (b) provide definitions the examples – Financial/economic literacy examples (continued): PS cost of attendance Scholarships, grants & loans education FASFA assistance

17. HEOA Definitions §645.6 (b) provide definitions the examples: – Foster care youth Youth in foster care; those who left after age 13 and those aged out of foster care – Homeless children(§725 McKinney Vento Homeless Assistance Act) Means individuals who lack a fixed, regular, and adequate nighttime residence

18. HEOA Definitions §645.6 (b) provide definitions the examples: – Disconnected youth Not in school Not working Lacking a strong social networks that provides assistance Note: Note: Above is not regulation but a GAO definition. NRM did not recommend a definition so it would be left up the programs. Note: Note: Above is not regulation but a GAO definition. NRM did not recommend a definition so it would be left up the programs.

19. HEOA Definitions §645.6 (b) provide definitions the examples: – Veteran Served 180 days, discharged under conditions other than dishonorable Discharged because of service disability A reservist call to active duty for more than 30 days A reservist called to duty after 9/11/01.

20. HEOA Definitions §645.6 (b) provide definitions the examples: – Regular secondary school diploma Meets or exceeds state high school requirements – Individual with disabilities A person with diagnosed physical or mental impairment that substantially limits ability to participate in TRIO educational experiences and opportunities

21. HEOA Definitions §645.6 (b) provide definitions the examples: – Rigorous high school program of study (determined by 34 CFR 691.16): – Program which students complete minimum: 4 years of English 3 years of math: algebra I and higher levels such as geometry, data analysis & statistics 3 years of science with 1 years each of biology, chemistry and physics

22. HEOA Definitions §645.6 (b) provide definitions the examples: – Rigorous high school program of study (determined by 34 CFR 691.16): – Program which students complete minimum (continued): 3 years of social studies 1 year of a language other than English

23. HEOA Definitions §645.6 (b) provide definitions the examples: – Rigorous high school program of study (determined by 34 CFR 691.16): Advance Placement, honors and/or International Baccalaureate programs A school identified by the state with a partnership with State Scholars Initiative of the Western Interstate Commission for Higher Education (WICHE)

24. HEOA Definitions §645.6 (b) provide definitions the examples: – High risk for academic failure – High risk for academic failure (regular participant) Has not achieved proficiency in state reading, language arts or math Has not completed pre-algebra, algebra or geometry G.P.A. less than 2.5 (4.0 scale) for the most recent school year

25. HEOA Definitions §645.6 (b) provide definitions the examples: – High risk for academic failure – High risk for academic failure (veteran) Has been out of high school or dropped out of a postsecondary education for 5 or more years; or Has scored on standardized tests below the level needed for admission to a program of postsecondary education.

26. Required Services Can anyone remember what we’re all about?

27. Required Services §645.11 What services do all Upward Bound projects provide? – Academic tutoring: – Academic tutoring: secondary or ps courses, which may include Reading and writing Study skills Math and science Other subjects

28. Required Services §645.11 What services do all Upward Bound projects provide? – Advice and assistance in secondary & ps course selection. – College entrance exam & application prep – Financial aid and scholarship info & assistance

29. Required Services §645.11 What services do all Upward Bound projects provide? – Guidance & assistance hs reentry; alternative hs for dropouts; GED programs; and ps programs – Financial/economical literacy for students & parents

30. Required Services §645.11 What services do all Upward Bound projects provide? – Core curriculum – Core curriculum (maintained) Math through pre-calculus Lab sciences Foreign language Composition and Literature

31. Required Services Veteran UBs In addition to the above services in §645.11, Veteran UBs must also include the following service: – Special services, including math and science preparation, to enable veterans to make the transition to postsecondary education.

32. Optional Services

33. §645.12 What services may Upward Bound projects provide? – Cultural events, academic programs & other programs unavailable to disadvantaged – Career info, activities and instruction – Residential programs

34. Optional Services §645.12 What services may Upward Bound projects provide? – Mentoring – Work-study – Special services for veterans – All of the required services (§645.11) but with LEP emphasis

35. Selection of Participants

36. Current Regs Governing Selection §645.3 Who is eligible to participate in a UB project? – Citizen or national of US – Permanent resident or evidence of becoming permanent – Potential first-generation – Low-income

37. Current Regs Governing Selection §645.3 Who is eligible to participate in a UB project? (continued) – Completed 8th grade but not entered 12th – At least 13 years old and not older than 19 – Meets definition of veteran and other selection criteria except age limitations – A veteran who served more than 180 days, any part of which occurred after 1/31/55.

38. Current Regs Governing Selection §645.3 Who is eligible to participate in a UB project? (continued) – Has a need for academic support in order to pursue successfully a program of education beyond high school

39. Current Regs Governing Selection §645.4 Requirements of first-generation and low-income: – 2/3 eligible participants must be both low-income & first-generation – 1/3 eligible participants can be either low-income or first-generation

40. HEOA Eligibility Changes §402A (c) (2) (B) PARTICIPANT NEED – In making grants…the Sec. shall consider the number, percentage & needs of eligible participants in the area… Reinforces the NEEDS basis of TRIO programs.

41. HEOA Eligibility Changes §403A (e) (3) Documentation of status as a low-income individual – Notwithstanding this subsection…individuals who are foster care youth…or homeless children, shall be eligible to participate… Accommodation for new classifications of participants.

42. Determining low-income Unchanged documentation requirement) – Signed statement – Verification of governmental source – Signed financial aid application – Tax return

43. Determining Eligibility New foster/homeless criteria – Foster status as determined by court – Homeless as determined by McKinney- Vento Homeless Assistance Act

44. Determining Eligibility Documenting homelessness – Living in a motel, trailer part or campground – Living in emergency or transitional shelters – Abandoned in a hospital – Awaiting foster placement – Sharing the housing of other persons due to loss of housing or economic hard

45. Determining Eligibility Documenting homelessness (continued) – Having a primary nighttime residence that is a private or public place not designed for or ordinarily used for sleeping – Living in living in cars, parks, public spaces, abandoned buildings, substandard housing, bus or train stations, or similar settings – Migrants

46. Determining Eligibility Documenting homelessness (continued) – Not in the physical custody of a parent or guardian NOTE: Documentation requirements have not been established in regulation yet as there has been no recommendation from the Negotiated Rule Making Committee. The homeless documentation here are “best guesses” based on the McKinney-Vento Homeless Assistance Act.

47. HEOA Program Assurances or change 2/3 eligible participants must be low- income and first-generation or students who have a high risk for academic failure. (change) unchanged Remaining participants be low-income or first-generation. (unchanged)

48. HEOA Program Assurances no change Eligible participants have a need for academic support. (no change) change Eligible participants have completed the 8th grade, at least 13 years old but not more than 19 years old. (change)

49. Possible Eligibility Challenges Determining objective percentages for grant application/competition Documenting eligibility Retaining high risk participants Improving g.p.a. and test scores Insuring high risk participants are ready for college

50. Prior Experience

51. Prior Experience Defined §402A (c) (2) PRIOR EXPERIENCE…. the Secretary shall consider each applicant’s prior experience of service delivery under the particular program for which funds are sought. Congress’s way of rewarding programs that fulfill their objectives with continuous funding.

52. Prior Experience NOW §645.32 How does the Secretary evaluate prior experience? – (a) … the Secretary reviews info relating to an applicant's performance under its expiring UB grant including info derived from annual performance reports, audit reports, site visit reports, project evaluation reports, & any other verifiable info submitted by the applicant.

53. Prior Experience NOW §645.32 How does the Secretary evaluate prior experience? – (b) The Secretary evaluates the applicant's prior experience in delivering services on the basis of the following criteria: 5 criteria worth 3 points each = 15 points

54. Prior Experience NOW §645.32 How does the Secretary evaluate prior experience? – (1) (3 pts) Whether the applicant serves the number of participants agreed to under the approved application; – (2) (3 pts) The extent to which project participants have demonstrated improvement in academic skills & competencies as measured by standardized achievement tests & g.p.a.;

55. Prior Experience NOW §645.32 How does the Secretary evaluate prior experience? – (3) (3 pts) The extent to which project participants continue to participate in the Upward Bound Program until they complete their secondary education program; – (4) (3 pts) The extent to which participants who complete the project, or were scheduled to complete the project, undertake programs of postsecondary education; and

56. Prior Experience NOW §645.32 How does the Secretary evaluate prior experience? – (5) (3 pts) The extent to which participants who complete the project, or were scheduled to complete the project, succeed in education beyond high school, including the extent to which they graduate from postsecondary education program

57. Proposed PE Language (1) (3 pts) Whether the applicant provided services to the number of participants required to be served under the approved application; (2) (1pt) The extent to which the applicant met or exceeded the percentage in its objective relating to improvement participants’ skills as measured by g.p.a; Different format; different point system.

58. Proposed PE Language (3) (2 pts) The extent to which the applicant met or exceeded the percentage in its objective relating to improvement in participants; skills as measured by tests required by the students’ State, or in instances in which no State test is required beyond the tenth grade, other standardized tests;

59. Proposed PE Language (4) (2 pts) The extent to which the applicant met or exceeded the percentage in its objective relating to participants’ continued secondary school enrollment; (5) (2 pts) The extent to which the applicant met or exceeded the percentage in its objective relating to participants’ completion of secondary school by entering cohort;

60. Proposed PE Language (6)(2 pts) The extent to which the applicant met or exceeded the percentage in its objective related to completion of a rigorous curriculum; (7)(2 pts) The extent to which the applicant met or exceeded the percentage in its objective related to postsecondary enrollment; and

61. Proposed PE Language (8) (1pt) The extent to which the applicant met or exceeded the percentage in its objective related to college enrollment through the third semester. NOTE: 8 15 NOTE: Though there are 8 requirements proposed, Prior Experience still has a maximum of 15 pts.

62. Plan to Earn Maximum PE NOW Staff should start planning NOW for how they will meet all of the proposed PE criteria. Research to determine objectives’ percentage standards. Concentrate on the Plan of Evaluation and the Plan of Operation. NOW Staff should start planning NOW for how they will meet all of the proposed PE criteria. Research to determine objectives’ percentage standards. Concentrate on the Plan of Evaluation and the Plan of Operation.

63. Plan to Earn Maximum PE Application Evaluation Plan – Standards to be met for each PE criteria – How will they be measured? – Formative evaluation processes – Timeline that include benchmarks Don’t wait until Nov. APR to learn you haven’t met your objectives!

64. Plan to Earn Maximum PE Application Plan of Operation – (2) The plan for identifying, recruiting, and selecting participants to be served by the project; – (5) The curriculum, services and activities that are planned for participants in both the academic year and summer components;

65. Plan to Earn Maximum PE Application Plan of Operation – (9) The plan to work cooperatively with parents and key administrative, teaching, and counseling personnel at the target schools to achieve project objectives; and – (10) A follow-up plan for tracking graduates of Upward Bound as they enter and continue in postsecondary education.

66. Plan to Earn Maximum PE The plan for identifying, recruiting, and selecting participants: – Percentage – Percentage of “high risk” participants – Methods – Methods for identifying “hi gh risk” participants The curriculum, services & activities for participants in the academic & summer components accommodate the needs – How will staff accommodate the needs of participants with a wider range of abilities and skills?

67. Plan to Earn Maximum PE The plan to work cooperatively with parents & key administrative, teaching, & counseling personnel at the target schools to achieve project objectives different – What different connections, networks, communication methods, participant contacts, etc. are needed

68. Plan to Earn Maximum PE A follow-up plan for tracking graduates of UB as they enter & continue in postsecondary education different – Are different tracking methods needed for “high risk” participants? be supported – How will UB graduates be supported after leaving the program?

69. Conclusion HEOA is a monumental shift for UB. Programs must adapt or die. Once regulations are finalized and grants approved, there will be no more business as usual. Programs must systematically plan for changes. NOW Work needs to begin NOW to accommodate the new regulations.

70. Upward Bound’s Bright Future Let’s stay in touch Share your public comments Demand chapter and WESTOP leadership accommodate discussion and support Check in to the University of Washington TRIO Training website for updates http://uw.trio.org