[Federal Register Volume 59, Number 170 (Friday, September 2, 1994)]
[Proposed Rules]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-21744]
[[Page Unknown]]
[Federal Register: September 2, 1994]
_______________________________________________________________________
Part V
Department of Education
_______________________________________________________________________
34 CFR Part 645
Upward Bound Program; Proposed Rule
Federal Register / Vol. 59, No. 170 / Friday, September 2, 1994 /
Proposed Rules
DEPARTMENT OF EDUCATION
34 CFR Part 645
RIN 1840-AB65
Upward Bound Program
AGENCY: Notice of proposed rulemaking.
SUMMARY: The Secretary proposes to amend the regulations governing the
Upward Bound Program. These regulations are needed to further implement
statutory changes made to the Upward Bound Program by the Higher
Education Amendments of 1992, and to clarify and simplify certain
requirements governing the program. The selection criteria, prior
experience criteria, and grantee accountability provisions are affected
by these proposed changes.
The purposes and allowable activities of the Upward Bound Program
support the National Education Goals. Specifically, the program funds
projects designed to increase high school graduation rates, increase
competency over challenging subject matters, encourage more students to
pursue programs in mathematics and science, and help gain parental
participation in the social, emotional and academic growth of their
children.
DATES: Comments must be received on or before October 3, 1994.
ADDRESSES: All comments concerning these proposed regulations should be
addressed to Richard T. Sonnergren, U.S. Department of Education, Room
5065, FOB-6, 400 Maryland Avenue, SW., Washington, DC 20202-5249.
A copy of any comments that concern information collection
requirements should also be sent to the Office of Management and Budget
at the address listed in the Paperwork Reduction Act section of this
preamble.
FOR FURTHER INFORMATION CONTACT: Prince Teal or Carlos Stewart, U.S.
Department of Education, 400 Maryland Avenue, SW., Room 5065,
Washington, DC 20202-5249. Telephone: (202) 708-4804. Individuals who
use a telecommunications device for the deaf (TDD) may call the Federal
Information Relay Service (FIRS) at 1-800-877-8339 between 8 a.m. and 8
p.m., Eastern time, Monday through Friday.
SUPPLEMENTARY INFORMATION:
Background
The Upward Bound Program provides grants to institutions of higher
education; public and private agencies and organizations; combinations
of institutions, agencies, and organizations; and secondary schools
under special circumstances. The purpose of the program is to generate
the skills and motivation necessary for success in education beyond
high school.
On October 1, 1993, the Secretary published revisions to the Upward
Bound Program regulations to implement changes required by the Higher
Education Amendments of 1992 (58 FR 51520-21). This NPRM proposes
program improvements that were not covered by the October 1, 1993
regulations. The major provisions of these proposed regulations include
the following:
Definitions (Sec. 645.5). The proposed regulations revise
or add definitions to clarify certain terms used in the regulations,
including definitions of ``participant,'' ``independent student,'' and
``organization/agency.''
Kinds of Projects (Sec. 645.10). The proposed regulations
will define in general the three types of Upward Bound projects
supported under the program, i.e., Regular Upward Bound projects, Math
and Science Upward Bound projects, and Veterans Upward Bound projects.
Upward Bound services and activities (Secs. 645.11-
645.14). Section 645.11 of the proposed regulations lists the services
that all Upward Bound projects must provide. Section 645.12 describes
the manner in which services are provided in Regular Upward Bound
projects. Section 645.13 lists additional services that the Math and
Science Upward Bound project must provide and the manner in which
services are provided. Section 645.14 lists additional services that
the Veterans Upward Bound project must provide.
How does one apply for an award? (Secs. 645.20-645.21).
Section 645.20 of the proposed regulation describes the condition under
which the Secretary will accept more than one application from an
eligible applicant. Section 645.21 describes the assurances an
applicant must include in an application.
Selection criteria (Sec. 645.31). The proposed regulations
revise the order, weighting, and content of application selection
criteria. The purpose for this revision is to simplify and clarify the
review process and increase grantee accountability. In addition, the
proposed regulations clarify and strengthen the requirements for a
grantee's evaluation of a project.
Prior experience (Sec. 645.32). The proposed regulations
revise the criteria for the evaluation of a grantee's prior experience
to focus on project outcomes.
Project size (Sec. 645.43(a)). The proposed regulations
establish a minimum number of participants residing in the target area
who must be served by a project in each budget period, and permit that
number to be reduced if the grant amount for the budget period is less
than $190,000. The proposed regulations require that Veterans Upward
Bound projects serve at least 120 participants during each budget
period, and that all other Upward Bound projects serve at least 50
participants in each budget period. Coupled with the new definition of
``participant'' in Sec. 645.6 and the new recordkeeping requirements
for participants in Sec. 645.43(c), this provision is intended to
ensure that projects provide a reasonable level of services to a
significant number of recipients. This intended result is consistent
with section 402A(b)(3) of the HEA, which establishes a $190,000
minimum grant level for awards beginning in fiscal year 1994, unless
the applicant requests a lesser amount.
Project period (Sec. 645.34). The proposed regulations
implement a statutory provision that expands the project period to four
years--or five years in the case of applications that receive peer
review scores in the highest 10 percent of all scores for approved new
projects.
Executive Order 12866
Clarity of the Regulations
Executive Order 12866 requires each agency to write regulations
that are easy to understand.
The Secretary invites comments on how to make these regulations
easier to understand, including answers to questions such as the
following: (1) Are the requirements in the regulations clearly stated?
(2) Do the regulations contain technical terms or other wording that
interferes with their clarity? (3) Does the format of the regulations
(grouping and order of sections, use of headings, paragraphing, etc.)
aid or reduce their clarity? Would the regulations be easier to
understand if they were divided into more (but shorter) sections? (A
``section'' is preceded by the symbol ``Sec. '' and a numbered heading;
for example, Sec. 645.20. (4) Is the description of the proposed
regulations in the Supplementary Information section of this preamble
helpful in understanding the proposed regulations? How could this
description be more helpful in making the proposed regulations easier
to understand? (5) What else could the Department do to make the
regulations easier to understand?
A copy of any comments that concern whether these proposed
regulations are easy to understand should also be sent to Stanley
Cohen, Regulations Quality Officer, U.S. Department of Education, 400
Maryland Avenue, SW. (Room 5125, FOB-6), Washington, DC 20202-2241.
Regulatory Flexibility Act Certification
The Secretary certifies that these proposed regulations would not
have a significant economic impact on a substantial number of small
entities. The small entities that would be affected by these
regulations are small institutions of higher education, other agencies
and organizations, and secondary schools that receive Federal funds
under this program. However, the regulations would not have a
significant economic impact on the small entities affected because the
regulations would not impose excessive regulatory burdens or require
unnecessary Federal supervision. The regulations would impose minimal
requirements to ensure the proper expenditure of program funds.
Paperwork Reduction Act of 1980
Sections 645.4, 645.31, 645.32, and 645.43 contain information
collection requirements. As required by the Paperwork Reduction Act of
1980, the Department of Education will submit a copy of these sections
to the Office of Management and Budget (OMB) for its review. (44 U.S.C.
3504(h)).
Institutions of higher education; public and private agencies and
organizations; combinations of institutions, agencies, and
organizations; and secondary schools are eligible to apply for grants
under these regulations. The Department needs and uses the application
data and information to make grants. Annual grantee reporting is
estimated to average 40 hours per response for over 600 respondents,
including the time for reviewing instructions, searching existing data
sources, gathering and maintaining the data needed, and completing and
reviewing the collection of information.
Organizations and individuals desiring to submit comments on the
information collection requirement should direct them to the Office of
Information and Regulatory Affairs, OMB, Room 10235, New Executive
Office Building, Washington, DC 20504; Attention: Daniel J. Chenok.
Intergovernmental Review
This program is subject to the requirements of Executive Order
12372 and the regulations in 34 CFR Part 79. The objective of the
Executive order is to foster an intergovernmental partnership and a
strengthened federalism by relying on processes developed by State and
local governments for coordination and review of proposed Federal
financial assistance.
In accordance with the order, this document is intended to provide
early notification of the Department's specific plans and actions for
this program.
Invitation to Comment
Interested persons are invited to submit comments and
recommendations regarding these proposed regulations.
All comments submitted in response to these proposed regulations
will be available for public inspection during and after the comment
period in Room 5065, FOB-6, 400 Maryland Avenue, SW., Washington, DC.,
between the hours of 8:30 a.m. and 4 p.m., Monday through Friday of
each week except Federal holidays.
Assessment of Educational Impact
The Secretary particularly requests comments on whether the
proposed regulations in this document would require transmission of
information that is being gathered by or is available from any other
agency or authority of the United States.
List of Subjects in 34 CFR Part 645
Colleges and Universities, Education of disadvantaged, Grant
programs--education, Reporting and recordkeeping requirements,
Secondary education.
Dated: August 17, 1994.
David A. Longanecker,
Assistant Secretary, Office of Postsecondary Education.
(Catalog of Federal Domestic Assistance Number 84.047, Upward Bound
Program.)
The Secretary proposes to amend Title 34 of the Code of Federal
Regulations by revising Part 645 to read as follows:
PART 645--UPWARD BOUND PROGRAM
Subpart A--General
Sec.
645.1 What is the Upward Bound Program?
645.2 Who is eligible for a grant?
645.3 Who is eligible to participate in an Upward Bound project?
645.4 What are the grantee requirements with respect to low income
and first-generation participants?
645.5 What regulations apply?
645.6 What definitions apply to the Upward Bound Program?
Subpart B--What Kinds of Projects and Services Does the Secretary
Assist Under This Program?
645.10 What kinds of projects are supported under the Upward Bound
Program?
645.11 What services do all Upward Bound projects provide?
645.12 How are regular Upward Bound projects organized?
645.13 What additional services do Math and Science Upward Bound
projects provide and how are they organized?
645.14 What additional services do Veterans Upward Bound projects
provide?
Subpart C--How Does One Apply for an Award?
645.20 How many applications for an Upward Bound award may an
eligible applicant submit?
645.21 What assurances must an applicant include in an application?
Subpart D--How Does the Secretary Make a Grant?
645.30 How does the Secretary decide which grants to make?
645.31 What selection criteria does the Secretary use?
645.32 How does the Secretary evaluate prior experience?
645.33 How does the Secretary set the amount of a grant?
645.34 How long is a project period?
Subpart E--What Conditions Must Be Met by a Grantee?
645.40 What are allowable costs?
645.41 What are unallowable costs?
645.42 What are Upward Bound stipends?
645.43 What other requirements must a grantee meet?
Authority: 20 U.S.C. 1070a-11 and 1070a-13, unless otherwise
noted.
Subpart A--General
Sec. 645.1 What is the Upward Bound Program?
(a) The Upward Bound Program provides Federal grants to projects
designed to generate in program participants the skills and motivation
necessary to persist in completing a program of secondary education and
enter and complete a program of postsecondary education.
(b) The Upward Bound Program provides Federal grants for the
following three types of projects:
(1) Regular Upward Bound projects.
(2) Upward Bound Math and Science projects.
(3) Veterans Upward Bound projects.
(Authority: 20 U.S.C. 1070a-11 and 1070a-13)
Sec. 645.2 Who is eligible for a grant?
The following entities are eligible to apply for a grant to carry
out an Upward Bound project:
(a) Institutions of higher education.
(b) Public or private agencies or organizations.
(c) Secondary schools, in exceptional cases, if there are no other
applicants capable of providing this program in the target area or
areas to be served by the proposed project.
(d) A combination of the types of institutions, agencies, and
organizations described in paragraphs (a) and (b) of this section.
(Authority: 20 U.S.C 1070a-11 and 1070a-13)
Sec. 645.3 Who is eligible to participate in an Upward Bound project?
An individual is eligible to participate in a Regular, Math and
Science, or Veterans Upward Bound project if the individual meets all
of the following requirements:
(a)(1) Is a citizen or national of the United States.
(2) Is a permanent resident of the United States.
(3) Is in the United States for other than a temporary purpose and
provides evidence from the Immigration and Naturalization Service of
his or her intent to become a permanent resident.
(4) Is a permanent resident of Guam, the Northern Mariana Islands,
or the Trust Territory of the Pacific Islands.
(5) Is a resident of the Freely Associated States--the Federated
States of Micronesia or the Republic of the Marshall Islands.
(b) Is--(1) A potential first-generation college student; or
(2) A low-income individual.
(c) Has a need for academic support, as determined by the grantee,
in order to pursue successfully a program of education beyond high
school.
(d) At the time of initial selection, has completed the eighth
grade but has not entered the twelfth grade and is at least 13 years
old, but not older than 19. However, a veteran as defined in
Sec. 645.6, regardless of age, is eligible to participate in an Upward
Bound project if he or she satisfies the eligibility requirements in
paragraphs (a), (b), and (c) of this section.
(Authority: 20 U.S.C. 1070a-11 and 1070a-13)
Sec. 645.4 What are the grantee requirements with respect to low
income and first-generation participants?
(a) At least two-thirds of the eligible participants a grantee
serves must at the time of initial selection qualify as both low-income
individuals and potential first-generation college students. The
remaining participants must, at the time of initial selection, qualify
as either low-income individuals or potential first generation college
students.
(b) For purposes of documenting a participant's low-income status
the following applies:
(1) In the case of a student who is not an independent student, an
institution shall document that the student is a low-income individual
by obtaining and maintaining--
(i) A signed statement from the student's parent or legal guardian
regarding family income;
(ii) Verification of family income from another governmental
source;
(iii) A signed financial aid application; or
(iv) A signed United States or Puerto Rican income tax return.
(2) In the case of a student who is an independent student, an
institution shall document that the student is a low-income individual
by obtaining and maintaining--
(i) A signed statement from the student regarding family income;
(ii) Verification of family income from another governmental
source;
(iii) A signed financial aid application; or
(iv) A signed United States or Puerto Rican income tax return.
(c) For purposes of documenting potential first generation college
student status, documentation consists of a signed statement from a
dependent participant's parent, or a signed statement from an
independent participant.
(d) A grantee does not have to revalidate a participant's
eligibility after the participant's initial selection.
(Authority: 20 U.S.C. 1070d, and 1070d-1a)
Sec. 645.5 What regulations apply?
The following regulations apply to the Upward Bound Program:
(a) The Education Department General Administrative Regulations
(EDGAR) as follows:
(1) 34 CFR Part 74 (Administration of Grants to Institutions of
Higher Education, Hospitals, and Nonprofit Organizations);
(2) 34 CFR Part 75 (Direct Grant Programs), except for 34 CFR
75.511;
(3) 34 CFR Part 77 (Definitions that Apply to Department
Regulations), except for the definition of ``secondary school'' in 34
CFR 77.1;
(4) 34 CFR Part 79 (Intergovernmental Review of Department of
Education Programs and Activities);
(5) 34 CFR Part 82 (New Restrictions on Lobbying);
(6) 34 CFR Part 85 (Governmentwide Debarment and Suspension
(Nonprocurement) and Governmentwide Requirements for Drug-Free
Workplace (Grants));
(7) 34 CFR Part 86 (Drug-Free Schools and Campuses);
(b) The regulations in this Part 645.
(Authority: 20 U.S.C. 1070a-11 and 1070a-13)
Sec. 645.6 What definitions apply to the Upward Bound Program?
(a) Definitions in EDGAR. The following terms used in this part are
defined in 34 CFR 77.1:
Applicant
Application
Award
Budget
Budget period
EDGAR
Equipment
Facilities
Grant
Grantee
Project
Project period
Secretary
State
Supplies
(b) Other Definitions. The following definitions also apply to this
part:
Family taxable income means--
(1) With regard to a dependent student, the taxable income of the
individual's parents;
(2) With regard to a dependent student who is an orphan or ward of
the court, no taxable income.
(3) With regard to an independent student, the taxable income of
the student and his or her spouse.
HEA means the Higher Education Act of 1965, as amended.
Independent student means a student who--
(1) Is an orphan or ward of the court;
(2) Is a veteran of the Armed Forces of the United States (as
defined in this section);
(3) Is a married individual; or
(4) Has legal dependents other than a spouse.
Institution of higher education means an educational institution as
defined in sections 1201(a) and 481 of the HEA.
Limited English proficiency with reference to an individual, means
an individual whose native language is other than English and who has
sufficient difficulty speaking, reading, writing, or understanding the
English language to deny that individual the opportunity to learn
successfully in classrooms in which English is the language of
instruction.
Low-income individual means an individual whose family taxable
income did not exceed 150 percent of the poverty level amount in the
calendar year preceding the year in which the individual initially
participates in the project. The poverty level amount is determined by
using criteria of poverty established by the Bureau of the Census of
the U.S. Department of Commerce.
Organization/Agency means an entity that is legally authorized to
operate programs such as Upward Bound in the State where it is located.
Participant means an individual who--(1) Is determined to be
eligible to participate in the project under Sec. 645.3;
(2) Except for veterans, is enrolled in a target school; and
(3) Has received more than one month of project services.
Potential first-generation college student means--
(1) An individual neither of whose parents received a baccalaureate
degree; or
(2) A student who, prior to the age of 18, regularly resided with
and received support from only one parent and whose supporting parent
did not receive a baccalaureate degree.
Secondary school means a school that provides secondary education
as determined under State law.
Target area means a discrete geographic area--as determined by the
applicant--to be served by an Upward Bound project.
Target school means a school designated by the applicant as a focus
of project services.
Veteran means a person who served on active duty as a member of the
Armed Forces of the United States--
(1) For a period of more than 180 days, any part of which occurred
after January 31, 1955, and who was discharged or released from active
duty under conditions other than dishonorable; or
(2) After January 31, 1955, and who was discharged or released from
active duty because of a service-connected disability.
(Authority: 20 U.S.C. 1001 et seq., 1070a-11, 1070a-13, 1088, 1141,
1141a, and 3283(a)).
Subpart B--What Kinds of Projects and Services Does the Secretary
Assist Under This Program?
Sec. 645.10 What kinds of projects are supported under the Upward
Bound program?
The Secretary provides grants to the following three types of
Upward Bound projects:
(a) Regular Upward Bound projects designed to prepare high school
students for programs of postsecondary education.
(b) Upward Bound Math and Science projects designed to prepare high
school students for postsecondary education programs and careers in the
fields of math and science.
(c) Veterans Upward Bound projects designed to assist veterans to
prepare for a program of postsecondary education.
(Authority: 20 U.S.C. 1070a-11 and 1070a-13)
Sec. 645.11 What services do all Upward Bound projects provide?
(a) An Upward Bound project that has received funds under this part
for at least two years must provide as part of its core curriculum,
instruction in--
(1) Mathematics through pre-calculus;
(2) Laboratory science;
(3) Foreign language;
(4) Composition; and
(5) Literature.
(b) All Upward Bound projects may provide such services as--
(1) Instruction in subjects other than those listed in
Sec. 645.11(a) that are necessary for success in education beyond high
school;
(2) Personal counseling;
(3) Academic advice and assistance in secondary school course
selection;
(4) Tutorial services;
(5) Exposure to cultural events, academic programs, and other
educational activities not usually available to disadvantaged youths;
(6) Activities designed to acquaint youths participating in the
project with the range of career options available to them;
(7) Instruction designed to prepare youths participating in the
project for careers in which persons from disadvantaged backgrounds are
particularly underrepresented;
(8) Mentoring programs involving elementary or secondary school
teachers, faculty members at institutions of higher education, students
or any combination of these person and other professional individuals;
and
(9) Programs and activities such as those described in paragraphs
(b)(1) through (b)(8) of this section that are specifically designed
for individuals with limited proficiency in English.
(Authority: 20 U.S.C. 1070a-13)
Sec. 645.12 How are regular Upward Bound projects organized?
(a) Regular Upward Bound projects--
(1) Must provide participants with a summer instructional component
that is designed to simulate a college-going experience for
participants, and an academic year component; and
(2) May provide a summer bridge component to those Upward Bound
participants who have graduated from secondary school and intend to
enroll in an institution of higher education in the following fall
term. A summer bridge component provides participants with services and
activities, including college courses, that aid in the transition from
secondary education to postsecondary education.
(b) A summer instructional component shall--
(1) Be six weeks in length unless the grantee can demonstrate to
the Secretary that a shorter period will not hinder the effectiveness
of the project nor prevent the project from achieving its goals and
objectives, and the Secretary approves that shorter period; and
(2) Provide participants with the services described in Sec. 645.11
on a daily basis.
(c)(1) Except as provided in paragraph (c)(2) of this section, an
academic year component shall provide program participants with the
services described in Sec. 645.11 on a weekly basis throughout the
academic year, and to the extent possible shall not prevent
participants from fully participating in academic and nonacademic
activities at the participants secondary school.
(2) If an Upward Bound project's location or the project's staff
are not readily accessible to participants because of distance or lack
of transportation, the grantee may, with the Secretary's permission,
provide project services to participants every two weeks during the
academic year.
(Authority: 20 U.S.C. 1070a-13)
Sec. 645.13 What additional services do Math and Science Upward Bound
projects provide and how are they organized?
(a) In addition to the services that must be provided under
Sec. 645.11(a) and may be provided in Sec. 645.11(b), a Math and
Science Upward Bound project must provide--
(1) Intensive instruction in mathematics and science including
hands-on experience in laboratories, field-sites and state-of-the-art
computer facilities;
(2) Activities that will involve participants with research faculty
from the applicant institution;
(3) Activities that will involve participants with graduate and
undergraduate science and mathematics majors who may serve as tutors
and counselors for participants; and
(b) A Math and Science Upward Bound project must provide--
(1) A summer component in the manner described in Sec. 645.12(b);
and
(2) An academic year component during which the project provides
services to participants at least once a month.
(Authority: 20 U.S.C. 1070a-11 and 1070a-13)
Sec. 645.14 What additional services do Veterans Upward Bound
projects provide?
In addition to the services that must be provided under
Sec. 645.11(a) and may be provided under Sec. 645.11(b), a Veterans
Upward Bound project must--
(a) Provide intensive basic skills development in those academic
subjects required for successful completion of a high school
equivalency program and for admission to postsecondary education
programs;
(b) Provide short-term remedial or refresher courses for veterans
who are high school graduates but who have delayed pursuing
postsecondary education. If the grantee is an institution of higher
education, these courses shall not duplicate courses otherwise
available to veterans at the institution; and
(c) Assist veterans in securing support services from other locally
available resources such as the Veterans Administration, State veterans
agencies, veterans associations, and other State and local agencies
that serve veterans.
(Authority: 20 U.S.C. 1070a-11 and 1070a-13)
Subpart C--How Does One Apply for an Award?
Sec. 645.20 How many applications for an Upward Bound award may an
eligible applicant submit?
(a) The Secretary accepts more than one application from an
eligible entity so long as the additional applications describe
projects that serve different populations; i.e., a group of potential
participants that cannot readily be served under the applicant's other
application due to differences in geographical location, academic
level, curricular emphasis, or age.
(b) Each application for funding under the Upward Bound program
shall state whether the application proposes a Regular Upward Bound
project, a Math and Science Upward Bound project, or a Veterans Upward
Bound project.
(Authority: 20 U.S.C. 1070a-11 and 1070 a-13)
Sec. 645.21 What assurances must an applicant include in an
application?
An applicant must assure the Secretary that--
(a) Not less than two-thirds of the project's participants will be
low-income individuals who are potential first generation college
students; and
(b) That the remaining participants be either low-income
individuals or potential first generation college students.
(Authority 20 U.S.C. 1070a-13)
Subpart D--How Does the Secretary Make a Grant?
Sec. 645.30 How does the Secretary decide which grants to make?
(a) The Secretary evaluates an application for a grant as follows:
(1)(i) The Secretary evaluates the application on the basis of the
selection criteria in Sec. 645.31.
(ii) The maximum score for all the criteria in Sec. 645.31 is 100
points. The maximum score for each criterion is indicated in
parentheses with the criterion.
(2)(i) If an applicant for a new grant proposes to continue to
serve substantially the same target population or schools that the
applicant is serving under an expiring project, the Secretary evaluates
the applicant's prior experience in delivering services under the
expiring Upward Bound project on the basis of the criteria in
Sec. 645.32.
(ii) The maximum score for all the criteria in Sec. 645.32 is 15
points. The maximum score for each criterion is indicated in
parentheses with the criterion.
(b) The Secretary makes grants in rank order on the basis of the
application's total scores under paragraphs (a)(1) and (a)(2) of this
section.
(c) If the total scores of two or more applications are the same
and there are insufficient funds for these applications after the
approval of higher-ranked applications, the Secretary uses whatever
remaining funds are available to serve geographic areas that have been
underserved by the Upward Bound program.
(d) The Secretary may decline to make a grant to an applicant that
carried out a project that involved the fraudulent use of funds under
section 402A(c)(2)(B) of the HEA.
(Authority: 20 U.S.C. 1070a-11, 1070a-13)
Sec. 645.31 What selection criteria does the Secretary use?
The Secretary uses the following criteria to evaluate an
application for a grant:
(a) Need for the project (24 points). In determining need for an
Upward Bound project, the Secretary reviews each type of project
(Regular, Math and Science, or Veterans) using different need criteria.
The criteria for each type of project contain the same total weight of
24 points and are as follows:
(1) The Secretary evaluates the need for a Regular Upward Bound
project in the proposed target area on the basis of--(i) High school
dropout rates in the target area;
(ii) College-going rates of the high schools in the target area;
(iii) Student/counselor ratios of the high schools in the target
area;
(iv) Income level of families within the target area;
(v) Education attainment levels of families within the target area;
and
(vi) Unaddressed academic, social, or economic problems of low-
income, potentially first-generation students in the target area.
(2) The Secretary evaluates the need for an Upward Bound Math and
Science project in the proposed target area on the basis of--
(i) The extent to which student performance on standardized
aptitude or achievement tests in mathematics and science in the
proposed target schools, is lower than State and national norms.
(ii) The extent to which target schools lack the resources to offer
a full range of mathematics and science courses, which are
prerequisites for entry into postsecondary programs in mathematics,
science, or engineering;
(iii) The extent to which attendance data, dropout rates, college-
going rates and student/counselor ratios in the target schools indicate
the importance of having additional educational opportunities available
to low-income, first-generation students; and
(iv) The extent to which there are eligible students in the target
schools who have demonstrated interest and capacity to pursue academic
programs and careers in mathematics and science, and who could benefit
from an Upward Bound Math and Science program.
(3) The Secretary evaluates the need for a Veterans Upward Bound
project in the proposed target area on the basis of clear evidence that
shows--
(i) The proposed target area lacks the services for eligible
veterans that the applicant proposes to provide;
(ii) A large number of veterans who reside in the target area are
low income and potential first generation;
(iii) A large number of veterans who reside in the target area,
have not completed high school or, have completed high school but have
not enrolled in a program of postsecondary education; and
(iv) Other indicators of need for a Veterans Upward Bound project,
including the presence of unaddressed academic or socio-economic
problems of veterans in the area.
(b) Objectives (9 points). The Secretary evaluates the quality of
the applicant's proposed project objectives on the basis of the extent
to which they--
(1) Include both process and outcome objectives relating to the
purpose of the applicable Upward Bound programs for which they are
applying;
(2) Address the needs of the target area or target population; and
(3) Are measurable, ambitious, and attainable over the life of the
project.
(c) Plan of operation (30 points). The Secretary determines the
quality of the applicant's plan of operation by assessing the quality
of--
(1) The plan for identifying, recruiting, and selecting
participants to be served by the project;
(2) The plan for assessing individual participant needs and for
monitoring the academic growth of participants while they are in an
Upward Bound project;
(3) A follow-up plan for tracking the academic accomplishments of
participants after they are no longer participating in the Upward Bound
project;
(4) The plan for locating the project within the applicant's
organizational structure, and the plan to inform the applicant
community of the goals and objectives of the project;
(5) The various services and activities to be provided to project
participants and their parents;
(6) The extent to which the timelines presented are appropriate for
accomplishing critical elements of the project;
(7) The extent to which proposed services and activities relate
logically to the needs in the target area;
(8) The plan to ensure effective and efficient administration of
the project, including, but not limited to matters such as financial
management, quality control, student records management, personnel
management, and the plan for coordinating the Upward Bound project with
other programs for disadvantaged students;
(9) The quality of the applicants plan to use its resources and
personnel to achieve project objectives; and
(10) The plan to work cooperatively with key administrative,
teaching and counseling personnel at the target schools to achieve
project objectives.
(d) Applicant and community support (16 points). The Secretary
evaluates the applicant and community support for the proposed project
on the basis of the extent to which the applicant demonstrates that--
(1) The applicant is committed to supplementing the project with
resources such as space, furniture and equipment, supplies, and
personnel that enhance the project;
(2) The applicant has secured written commitments of support from
schools, community organizations, and businesses, including the
commitment of resources that will enhance the project as described in
paragraph (d)(1) of this section.
(e) Quality of personnel (8 points). To determine the quality of
personnel the applicant plans to use, the Secretary looks for
information that shows--
(1) The qualifications required of the project director, including
formal educational training in fields related to the objectives of the
project and experience in designing, managing, or implementing similar
projects;
(2) The qualifications required of each of the other personnel to
be used in the project, including formal educational training and work
experience in fields related to the objectives of the project; and
(3) The quality of the applicant's plan for employing personnel who
have succeeded in overcoming barriers similar to those confronting the
project's target population.
(f) Budget and cost effectiveness (5 points). The Secretary reviews
each application to determine the extent to which--
(1) The budget for the project is adequate to support planned
project services and activities; and
(2) Costs are reasonable in relation to the objectives and scope of
the project.
(g) Evaluation plan (8 points). The Secretary evaluates the quality
of the evaluation plan for the project on the basis of the extent to
which the applicant's methods of evaluation--
(1) Are appropriate to the project and include both quantitative
and qualitative evaluation measures; and
(2) Examine in specific and measurable ways, the success of the
project in--
(i) Making progress toward achieving its process objectives; and
(ii) Achieving its outcomes objectives.
(Authority: 20 U.S.C. 1070a-16)
Sec. 645.32 How does the Secretary evaluate prior experience?
(a) In the case of an application described in Sec. 645.30(a)(2),
the Secretary reviews information relating to an applicant's
performance under its expiring Upward Bound grant. This information
includes information derived from annual performance reports, audit
reports, site visit reports, project evaluation reports, and any other
verifiable information submitted by the applicant.
(b) The Secretary evaluates the applicant's prior experience in
delivering services on the basis of the following criteria:
(1) (3 points) Whether the applicant consistently provided services
to the number of participants required to be served under the approved
application;
(2) (3 points) The extent to which project participants'
competencies, aptitude and motivation necessary for entry into an
educational program beyond high school have improved;
(3) (3 points) The extent to which project participants are
retained in the project throughout their secondary education program;
(4) (3 points) The extent to which project participants undertake
programs of postsecondary education upon completion of project
activities and secondary education; and
(5) (3 points) The extent to which former project participants
succeeded in education beyond high school, including the extent to
which they graduate from postsecondary education programs;
(Authority: 20 U.S.C. 1070a-11 and 1070a-13)
Sec. 645.33 How does the Secretary set the amount of a grant?
(a) The Secretary sets the amount of a grant on the basis of--
(1) 34 CFR 75.232 and 75.233, for new grants; and
(2) 34 CFR 75.253, for the second and subsequent years of a project
period.
(b) If the circumstances described in section 402A(b)(3) of the HEA
exist, the Secretary uses the available funds to set the amount of the
grant beginning in fiscal year 1995 at the lesser of--
(1) $190,000; or
(2) The amount requested by the applicant.
(Authority: 20 U.S.C. 1070a-11)
Sec. 645.34 How long is a project period?
(a) Except as provided in paragraph (b) of this section, a project
period under the Upward Bound program is four years.
(b) The Secretary approves a project period of five years for
applications that score in the highest ten percent of all applications
approved for new grants under the criteria in Sec. 645.31.
(Authority: 20 U.S.C. 1070a-11)
Subpart E--What Conditions Must Be Met by a Grantee?
Sec. 645.40 What are allowable costs?
The cost principles that apply to the Upward Bound Program are in
34 CFR Part 74, Subpart Q. Allowable costs include the following if
they are reasonably related to the objectives of the project:
(a) In-service training of project staff.
(b) Rental of space if space is not available at the host
institution and the space rented is not owned by the host institution.
(c) For participants in an Upward Bound residential summer
component, room and board--computed on a weekly basis--not to exceed
the weekly rate the host institution charges regularly enrolled
students at the institution.
(d) Room and board for those persons responsible for dormitory
supervision of participants during a residential summer component.
(e) Educational pamphlets and similar materials for distribution at
workshops for the parents of participants.
(f) Student activity fees for Upward Bound participants.
(g) Admissions fees, transportation, Upward Bound T-shirts, and
other costs necessary to participate in field trips, attend educational
activities, visit museums, and attend other events that have as their
purpose the intellectual, social, and cultural development of
participants.
(h) Costs for one project-sponsored banquet or ceremony.
(i) Tuition costs for postsecondary credit courses at the host
institution for participants in the summer bridge component.
(j)(1) Accident insurance to cover any injuries to a project
participant while participating in a project activity; and
(2) Medical insurance and health service fees for the project
participants while participating full-time in the summer component.
(k) Courses in English language instruction for project
participants with limited proficiency in English, only if these classes
are not available at a target school.
(l) Transportation costs of participants for regularly scheduled
project activities.
(m) Transportation, meals, and overnight accommodations for staff
members when they are required to accompany participants in project
activities such as field trips.
(n) Purchase of computer hardware, computer software, or other
equipment for student development, project administration and
recordkeeping, if the applicant demonstrates to the Secretary's
satisfaction that the equipment is required to meet the objectives of
the project more economically or efficiently.
(Authority: 20 U.S.C. 1070a-11 and 1070a-13)
Sec. 645.41 What are unallowable costs?
Costs that may not be charged against a grant under this program
include the following:
(a) Research not directly related to the evaluation or improvement
of the project.
(b) Meals for staff except as provided in Sec. 645.40(d) and (m)
and in paragraph (c) of this section.
(c) Room and board for administrative and instructional staff
personnel who do not have responsibility for dormitory supervision of
project participants during a residential summer component, unless
these costs are approved by the Secretary.
(d) Room and board for participants in Veterans Upward Bound
projects.
(e) Construction, renovation or remodeling of any facilities.
(f) Tuition, stipends, or any other form of student financial
support for project staff.
(Authority: 20 U.S.C. 1070a-11 and 1070a-13)
Sec. 645.42 What are Upward Bound stipends?
(a) An Upward Bound project may provide stipends for all
participants who participate on a full-time basis.
(b) In order to receive the stipend, the participant must show
evidence of satisfactory participation in activities of the project
including--
(1) Regular attendance; and
(2) Performance in accordance with standards established by the
grantee and described in the application.
(c) The grantee may prorate the amount of the stipend according to
the number of the scheduled sessions in which the student participated.
(d) The following rules govern the amounts of stipends a grantee is
permitted to provide:
(1) For Regular Upward Bound projects and Upward Bound Math and
Science projects--
(i) For the academic year component, the stipend may not exceed $40
per month; and
(ii) For the summer component, the stipend may not exceed $60 per
month.
(2) For Veterans Upward Bound projects, the stipend may not exceed
$40 per month.
(Authority: 20 U.S.C. 1070a-11 and 1070a-13)
Sec. 645.43 What other requirements must a grantee meet?
(a) Number of participants. (1) In each budget period, Regular
Upward Bound projects shall serve between 50 and 150 participants and
Upward Bound Math and Science projects shall serve between 50 and 75
participants.
(2) Veterans Upward Bound projects shall serve a minimum of one
hundred and twenty veterans in each budget period.
(3) The Secretary may waive the requirements of paragraphs (a)(1)
and (a)(2) of this section if the applicant can demonstrate that the
project will be more cost effective and consistent with the objectives
of the project if a greater or lesser number of participants will be
served.
(b) Project director. (1) A grantee shall employ a full-time
project director unless paragraph (b)(3) of this section applies.
(2) The grantee shall give the project director sufficient
authority to administer the project effectively.
(3) The Secretary waives the requirement in paragraph (b)(1) of
this section if the applicant demonstrates that the requirement will
hinder coordination--
(i) Among the Federal TRIO Programs; or
(ii) Between the programs funded under sections 402A through 410 of
the HEA and similar programs funded through other sources.
(c) Recordkeeping. For each participant, a grantee shall maintain a
record of--
(1) The basis for the grantee's determination that the participant
is eligible to participate in the project under Sec. 645.3;
(2) The basis for the grantee's determination that the participant
has a need for academic support in order to pursue successfully a
program of education beyond secondary school;
(3) The services that are provided to the participant;
(4) The educational progress of the participant during high school
and, to the degree possible, during the participant's pursuit of a
postsecondary education program.
(Authority: 20 U.S.C. 1070a-11 and 1070a-13).
[FR Doc. 94-21744 Filed 9-1-94; 8:45 am]
BILLING CODE 4000-01-P
