Office of Research and Sponsored Programs

Sec. 3: Reports and Data Submission

3.0 Mid-Year Report

A Mid-Year Report , reviewing the progress of the Activity halfway through the Activity'Äôs year, is required by April 15 of each grant year. This Mid-Year Review Report will be used to document the progress of tasks and achievements. It will serve as a control report for both the internal and external evaluations. The objectives of the mid-year process are:

  • To validate progress and achievement of objectives and milestones.
  • To document problems or concerns for mid-course corrective action.
  • To monitor the disbursement of allocated activity funds.


An End-of- Year Report of the activity is due no later than October 15th at the end of the grant year. The report should include:

  • A summary of all activity results from the past twelve months.
  • Indicate the status of the budget regarding all funds expended, encumbered, and unexpended.
  • Explain the overall impact to the institution. Ideals for doing so would include:
  • a. Describe the positive impacts, direct as well as indirect, the grant activities are having on the overall University plan. ¬†
  • b. Describe any cooperative activities with other units and staff of the University (non-Title III) and/or with other Title III activities, and indicate their impact on the institution. Include the expertise of non-grants personnel devoted to the project.

3.2 Phase I Data

In order for the United States Department of Education to determine the level of funding for an institution the following data must be provided:


  • Total number of graduates in the undergraduate class.
  • Students admitted to and in attendance at a graduate or professional school in a degree program in disciplines in which blacks are underrepresented.
  • Number of Pell grant recipients attending the applicant institution during the school year immediately preceding the beginning of the fiscal year in which the applicant applies.
  • Number of graduates of the applicant institution during the school year immediately preceding the beginning of the fiscal year in which the applicant applies for a grant. Graduate for this purpose is defines as: a student who has attended an institution for at least three semesters and fulfilled academic requirements for undergraduate studies in not more than five consecutive school years.


  • Does the institution have the ability to match federal funds?
  • Does the institution have a Qualified Graduate Program? If so what is the number of student enrolled in the program?
  • What is the average cost per student to the institution?
  • What is the number of students enrolled in the professional\graduate degree program/
  • What is the type of degree earned in the Qualified Graduate Program and what is the total number of African American graduates versus all graduates from the program.

This information is due to the U S Department of Education in the spring of each year to determine the institutions allocation for the new funding year.

3.3 Phase II Data

Annually Activity Directors are required to complete: an Abstract of the Activity, Activity Objectives and Performance Indicators ; Implementation Strategy and Timetable ; Activity Budget and Individual Activity Budget Narrative . This process allows the Activity Directors to articulate the goals and objectives for the activity in the coming year and to specify the funding that will be required to be successful.

Every five years the Coordinator is required to attach a Comprehensive Development Plan (CDP) to the Phase II submission. The CDP demonstrates how the proposed five year activities assist in achieving the institutions strategic plan. The CDP must describe an institution'Äôs strategy for achieving growth and self-sufficiency by strengthening its financial management and academic programs. Elements of the CDP include:

  • An assessment of the strengthens and weaknesses of the institution'Äôs financial management and academic programs;
  • A delineation of the institution'Äôs goals for its financial management and academic programs, based on the outcomes of the assessments of these areas for which Title III, Part B funds will be used;
  • A listing of measurable objectives, with accompanying timeframes, designed to assist the institution to reach each goal for which Title III , Part B funds will be used for achieving the objectives; and,
  • A description of methods, procedures and processes that will be used by the college or university to institutionalize financial management and academic program practices and improvements developed under the proposed funded activities.

3.4 Time and Effort Report

This is a required report for all Title III activity personnel. The report provides documentation of salary payments for those compensated directly from the grant, and records the effort of all regardless of direct compensation. Federal compliance mandates to fully document all time spent on grant activities. This report is completed and signed by those paid using grant funds and approved by the University line supervisor, who verifies work performed. Dual or multiple job responsibilities- grant and state compensated must be identified and a percentage of your work during this period. All work must be a total of 100% of time documentation of work. It is used to verify that the amount of Title III work being done by persons receiving Title III pay. When a person's salary is divided among federal grant, teaching, administration, or other responsibilities there must be a clear accounting of all (100%) of the person's time. The Activity Director is responsible for the accuracy of the Time and Effort Report .

Time and Effort Reports are generated by the Office of Fiscal Services and disseminated to supervisors on a semester basis.

3.5 Allowable Changes or Corrections to Time and Effort Reports

It is important to report time and efforts carefully to avoid the necessity of making retroactive
corrections. Retroactive changes in distribution may be allowable in the following exceptional

  • When necessary to correct clerical and data entry errors.
  • When subsequent information is received indicating an incorrect original entry.
  • When charges applicable to a continuing project have been charged to the old account number.
  • When closely related work is supported by more than one funding source, cost may be transferred from the originally charged account to another account, provided the cost is a proper and allowable charge to the receiving account and the inter-relationship between the accounts is fully explained in the request. If an expenditure is being transferred to another project, especially strong supporting evidence is required for approval.

Office of Research & Sponsored Programs