[Federal Register Volume 76, Number 243 (Monday, December 19, 2011)]
[Notices]
[Pages 78621-78627]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-32452]


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DEPARTMENT OF EDUCATION


Applications for New Awards; Upward Bound Program (Regular Upward 
Bound (UB))

AGENCY: Office of Postsecondary Education, Department of Education.

ACTION: Notice.

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    Overview Information:
    Upward Bound Program; Notice inviting applications for new awards 
for fiscal year (FY) 2012.
    Catalog of Federal Domestic Assistance (CFDA) Number: 84.047A.

DATES: Applications Available: December 19, 2011.
    Deadline for Transmittal of Applications: January 30, 2012.
    Deadline for Intergovernmental Review: March 30, 2012.

[[Page 78622]]

Full Text of Announcement

I. Funding Opportunity Description

    Purpose of Program: The Upward Bound (UB) Program is one of the 
seven programs known as the Federal TRIO Programs. The UB Program is a 
discretionary grant program that supports projects designed to provide 
the skills and motivation necessary to complete a program of secondary 
education and to enter and succeed in a program of postsecondary 
education. There are three types of grants under the UB Program: 
Regular UB grants; Veterans UB grants; and UB Math and Science grants. 
This notice only announces deadlines and other information for regular 
UB grants.
    The President has set a clear goal for our education system: By 
2020, the United States will once again lead the world in college 
attainment. The Department views the UB Program as a critical component 
in the effort to improve the quality of student outcomes so that more 
students are well prepared for college and careers. To more 
strategically align UB with overarching reform strategies for 
postsecondary completion, the Department is announcing three 
competitive preference priorities for this competition.
    Priorities: There are three competitive preference priorities: 
Competitive Preference Priority 1--Turning Around Persistently Lowest-
Achieving Schools; Competitive Preference Priority 2--Enabling More 
Data-Based Decision-Making; and Competitive Preference Priority 3--
Improving Productivity. The three priorities are from the Department's 
notice of final supplemental priorities and definitions for 
discretionary grant programs, published in the Federal Register on 
December 15, 2010 (75 FR 78486), and corrected on May 12, 2011 (76 FR 
27637).
    For FY 2012 and any subsequent year in which the Department makes 
awards from the list of unfunded applicants from this competition, 
these priorities are competitive preference priorities. Under 34 CFR 
75.105(c)(2)(i), we award up to an additional five points to an 
application that meets Competitive Preference Priority 1, up to an 
additional five points to an application that meets Competitive 
Preference Priority 2, and up to an additional five points to an 
application that meets Competitive Preference Priority 3, depending on 
how well the application meets these priorities. The maximum 
competitive preference points an application can receive under this 
competition is 10.


    Note:  Applicants must include in the one-page abstract 
submitted with the application a statement indicating which 
competitive preference priorities they have addressed. The 
priorities addressed in the application must also be listed on the 
UB Program Profile Sheet.

    These priorities are:

Competitive Preference Priority 1--Turning Around Persistently Lowest-
Achieving Schools (Up to 5 Additional Points)

Background
    The Department is using Competitive Preference Priority 1 because 
an essential element in strengthening our education system is dramatic 
improvement of student performance in each State's persistently lowest-
achieving schools. Overwhelming evidence shows that students enrolled 
in persistently lowest-achieving schools are most likely not to persist 
from one grade to the next; be ready for college when they graduate 
from high school; or enroll in a program of postsecondary education. 
Due to the fact that many UB-eligible students are enrolled in the 
nation's lowest-performing high schools, the Department believes UB has 
an important role to play in furthering the goals of improving academic 
performance and college access for students attending these high 
schools.
Priority
    Projects that are designed to address the following priority area--
providing services to students enrolled in persistently lowest-
achieving schools (as defined in this notice).

    Note:  Applicants addressing this priority might want to 
consider focusing on a small number of target high school(s) that 
meet the definition of ``persistently lowest-achieving school'' and 
consider striving to ensure that not less than 40 percent of its 
recommended number of participants will be students attending these 
persistently lowest-achieving target high school(s). The Department 
is interested in seeing strong plans to support improvements in 
student achievement and outcomes within these high schools.

Competitive Preference Priority 2--Enabling More Data-Based Decision-
Making (Up to 5 Additional Points)

Background
    The Department is using Competitive Preference Priority 2 because 
data can be crucial to helping programs better serve the needs of 
participating students and increase the odds that participating 
students will pursue and succeed in postsecondary education. For UB 
grantees, data--particularly information from postsecondary education 
data systems about the outcomes of prior students the grantee has 
served--provides an important and immediate way to gauge effectiveness 
and guide decisions regarding resource allocation and improvements. It 
is also important to note that the quality of data is extremely 
important in providing accurate and trustworthy information to guide 
decisions. Data from State or reliable third-party sources is more 
likely to provide timely and high-quality information than self-
reported data from surveys or interviews.
Priority
    Projects that are designed to collect (or obtain), analyze, and use 
high-quality and timely data, including data on program participant 
outcomes, in accordance with privacy requirements (as defined in this 
notice), in: (a) Improving postsecondary student outcomes relating to 
enrollment, persistence, and completion and leading to career success, 
and (b) providing reliable and comprehensive information on the 
implementation of Department of Education programs, and participant 
outcomes in these programs, by using data from State longitudinal data 
systems or by obtaining data from reliable third-party sources.

    Note:  Applicants addressing this priority might want to 
consider discussing how they plan to work with high-quality third-
party data systems that track students from secondary through 
postsecondary education--such as a State longitudinal data system--
to obtain high-quality, timely, accurate, and reliable data on 
postsecondary enrollment, course taking, persistence, and 
completion. Applicants may also want to consider discussing how they 
would incorporate outcome data from high-quality longitudinal data 
systems into their projects to increase transparency and improve 
decision making on the part of students and families, especially 
with respect to preparing for, evaluating, and selecting a program 
of postsecondary education.

Competitive Preference Priority 3--Improving Productivity (Up to 5 
Additional Points)

Background
    The Department is using Competitive Preference Priority 3 because 
it believes that it is more important than ever to support projects 
that are designed to significantly increase efficiency in the use of 
resources while improving student outcomes. A key performance measure 
for the UB Program is the efficiency measure-cost per successful 
outcome, where a successful outcome is defined by the percentage of 
students persisting in secondary school or

[[Page 78623]]

enrolling in, persisting in, or completing postsecondary education. 
Applicants proposing projects designed to decrease their cost per 
participant while improving student outcomes will be more likely to 
perform well on this efficiency measure.
Priority
    Projects that are designed to significantly increase efficiency in 
the use of time, staff, money, or other resources while improving 
student learning or other educational outcomes (i.e., outcome per unit 
of resource). Such projects may include innovative and sustainable uses 
of technology, modification of school schedules and teacher 
compensation systems, use of open educational resources (as defined in 
the notice), or other strategies.

    Note:  Applicants addressing this priority might want to 
consider explaining how they will serve the same or an increased 
number of students at a lower cost per participant while improving 
or keeping steady student outcomes. Applicants might also want to 
consider describing how they will achieve this productivity by 
increasing efficiency in the use of resources.

    Definitions: These definitions are from the notice of final 
supplemental priorities and definitions for discretionary grant 
programs, published in the Federal Register on December 15, 2010 (75 FR 
78486), and corrected on May 12, 2011 (76 FR 27637), and they apply to 
the competitive preference priorities in this notice.
    Open educational resources means teaching, learning, and research 
resources that reside in the public domain or have been released under 
an intellectual property license that permits their free use or 
repurposing by others.
    Persistently lowest-achieving schools means, as determined by the 
State: (i) Any Title I school in improvement, corrective action, or 
restructuring that (a) is among the lowest-achieving five percent of 
Title I schools in improvement, corrective action, or restructuring or 
the lowest-achieving five Title I schools in improvement, corrective 
action, or restructuring in the State, whichever number of schools is 
greater; or (b) is a high school that has had a graduation rate as 
defined in 34 CFR 200.19(b) that is less than 60 percent over a number 
of years; and (ii) any secondary school that is eligible for, but does 
not receive, Title I funds that: (a) Is among the lowest-achieving five 
percent of secondary schools or the lowest-achieving five secondary 
schools in the State that are eligible for, but do not receive, Title I 
funds, whichever number of schools is greater; or (b) is a high school 
that has had a graduation rate as defined in 34 CFR 200.19(b) that is 
less than 60 percent over a number of years.
    To identify the persistently lowest-achieving schools, a State must 
take into account both: (i) The academic achievement of the ``all 
students'' group in a school in terms of proficiency on the State's 
assessments under Section 1111(b)(3) of the Elementary and Secondary 
Education Act in reading/language arts and mathematics combined; and 
(ii) the school's lack of progress on those assessments over a number 
of years in the ``all students'' group.
    Privacy requirements means the requirements of the Family 
Educational Rights and Privacy Act (FERPA), 20 U.S.C. 1232g, and its 
implementing regulations in 34 CFR part 99, the Privacy Act, 5 U.S.C. 
552a, as well as all applicable Federal, State, and local requirements 
regarding privacy.
    Program Authority: 20 U.S.C. 1070a-11 and 20 U.S.C. 1070a-13.
    Applicable Regulations: (a) The Education Department General 
Administrative Regulations (EDGAR) in 34 CFR parts 74, 75 (except for 
75.215 through 75.221), 77, 79, 80, 82, 84, 85, 86, 97, 98, and 99. (b) 
The regulations for this program in 34 CFR part 645. (c) The notice of 
final supplemental priorities and definitions for discretionary grant 
programs, published in the Federal Register on December 15, 2010 (75 FR 
78486) and corrected on May 12, 2011 (76 FR 27637).

    Note:  The regulations in 34 CFR part 79 apply to all applicants 
except federally recognized Indian tribes.


    Note:  The regulations in 34 CFR part 86 apply to institutions 
of higher education (IHEs) only.

II. Award Information

    Type of Award: Discretionary grants.
    Estimated Available Funds: The Administration has requested 
$920,089,000 for the Federal TRIO Programs for FY 2012, of which we 
intend to use an estimated $305,289,000 for new UB awards under this 
competition and $19,613,000 for continuation awards. The actual level 
of funding, if any, depends on final congressional action. However, we 
are inviting applications to allow enough time to complete the grant 
process if Congress appropriates funds for this program.
    Contingent upon the availability of funds and the quality of 
applications, we may make additional awards in FY 2013 from the list of 
unfunded applicants from this competition.
    Estimated Range of Awards: $250,000 to $1,000,000.
    Estimated Average Size of Awards: $330,000.
    Maximum Award:
    For new grantees or existing grantees proposing to serve a new 
target area, the maximum award is equal to $250,000 to serve at least 
60 students.
    For Existing Grantees: For an applicant currently receiving a UB 
Program grant and applying for a grant to serve the same target area or 
schools, the maximum award amount is determined based upon the 
applicant's proposed per participant cost, as follows:
     If an applicant's proposed per participant cost is at or 
below $4,200, then the applicant's maximum award is equal to the 
applicant's grant award amount for FY 2007, the first year of the 
previous grant cycle, plus 5 percent.
     If an applicant's proposed per participant cost is at or 
below $4,500 and above $4,200, then the applicant's maximum award is 
equal to the applicant's grant award amount for FY 2007, the first year 
of the previous grant cycle, to serve a number of participants such 
that the per participant cost is $4,500 or less.
     If an applicant's proposed per participant cost is above 
$4,500, then the applicant's maximum award is equal to $250,000 to 
serve at least 50 students.
     An applicant should ensure that its cost per participant 
will allow the grant to serve students well and produce quality 
outcomes in terms of high school graduation and postsecondary entry and 
completion. Applicants proposing to serve students at a lower cost per 
participant than that of their existing project should consider 
selecting a level at which they will be able to sustain or improve 
student outcomes.
    Pursuant to 34 CFR 645.43(a), we will reject any application that 
proposes a budget exceeding the maximum amount described in this 
section for a single budget period of 12 months. Pursuant to 34 CFR 
645.43(a), we will also reject any application that proposes a budget 
to serve less than 50 participants.
    Estimated Number of Awards: 982.

    Note:  The Department is not bound by any estimates in this 
notice.

    Project Period: Up to 60 months.

III. Eligibility Information

    1. Eligible Applicants: Institutions of higher education; public 
and private agencies and organizations, including community-based 
organizations with experience in serving disadvantaged youth; 
combinations of these

[[Page 78624]]

institutions, agencies, and organizations; and secondary schools.
    2. Cost Sharing or Matching: This program does not require cost 
sharing or matching.
    3. Other: An applicant may submit more than one application for a 
UB grant as long as each application describes a project that serves a 
different target area or target school (34 CFR 645.20(a)). The 
Secretary is not designating any additional populations for which an 
applicant may submit a separate application under this competition (34 
CFR 645.20(b)).

IV. Application and Submission Information

    1. Address to Request Application Package: You can obtain an 
application package via the Internet by downloading the package from 
the program Web site at: http://www2.ed.gov/programs/trioupbound/index.html.
    You can also request a copy of the application package from: Ken 
Waters, Upward Bound Programs, U.S. Department of Education, 1990 K 
Street NW., Room 7000, Washington, DC 20006-8510. Telephone: (202) 502-
7600 or by email: TRIO@ed.gov.
    If you use a telecommunications device for the deaf (TDD), call the 
Federal Relay Service (FRS), toll free, at 1-(800) 877-8339.
    Individuals with disabilities can obtain a copy of the application 
package in an accessible format (e.g., braille, large print, audiotape, 
or compact disc) by contacting the program contact person listed in 
this section.
    2. Content and Form of Application Submission: Requirements 
concerning the content of an application, together with the forms you 
must submit, are in the application package for this program.
    Page Limit: The application narrative is where you, the applicant, 
address the selection criteria that reviewers use to evaluate your 
application. You must limit the application narrative (Part III) to no 
more than 60 pages. However, any application addressing the competitive 
preference priorities may include up to four additional pages for each 
priority addressed (a total of 12 pages if all three priorities are 
addressed) in a separate section of the application submission to 
discuss how the application meets the competitive preference priority 
or priorities. These additional pages cannot be used for or transferred 
to the project narrative. Partial pages will count as a full page 
toward the page limit. For purpose of determining compliance with the 
page limit, each page on which there are words will be counted as one 
full page. Applicants must use the following standards:
     A ``page'' is 8.5'' x 11'', on one side only, with 1'' 
margins at the top, bottom, and both sides.
     Double space (no more than three lines per vertical inch) 
all text in the application narrative, except titles, headings, 
footnotes, quotations, references, and captions, as well as all text in 
charts, tables, figures, and graphs.
     Use a font that is either 12 point or larger.
     Use one of the following fonts: Times New Roman, Courier, 
Courier New, or Arial. An application submitted in any other font 
(including Times Roman and Arial Narrow) will not be accepted.
    The page limits do not apply to Part I, the Application for Federal 
Assistance (SF 424); Part II, the budget information summary form (ED 
Form 524); the assurances and certifications; the UB Program Profile; 
or the one-page Project Abstract narrative. If you include any 
attachments or appendices, these items will be counted as part of Part 
III, the application narrative, for purposes of the page-limit 
requirement. You must include your complete response to the selection 
criteria, which also includes the budget narrative, in Part III, the 
application narrative.
    We will reject your application if you exceed the page limit.
    3. Submission Dates and Times:
    Applications Available: December 19, 2011.
    Deadline for Transmittal of Applications: January 30, 2012.
    Applications for grants under this program must be submitted 
electronically using the Grants.gov Apply site (Grants.gov). For 
information (including dates and times) about how to submit your 
application electronically, or in paper format by mail or hand delivery 
if you qualify for an exception to the electronic submission 
requirement, please refer to Section IV. 7. Other Submission 
Requirements of this notice.
    We do not consider an application that does not comply with the 
deadline requirements.
    Individuals with disabilities who need an accommodation or 
auxiliary aid in connection with the application process should contact 
the person listed under FOR FURTHER INFORMATION CONTACT in Section VII 
of this notice. If the Department provides an accommodation or 
auxiliary aid to an individual with a disability in connection with the 
application process, the individual's application remains subject to 
all other requirements and limitations in this notice. Deadline for 
Intergovernmental Review: March 30, 2012.
    4. Intergovernmental Review: This program is subject to Executive 
Order 12372 and the regulations in 34 CFR part 79. Information about 
Intergovernmental Review of Federal Programs under Executive Order 
12372 is in the application package for this program.
    5. Funding Restrictions: We specify unallowable costs in 34 CFR 
645.41. We reference additional regulations outlining funding 
restrictions in the Applicable Regulations section of this notice.
    6. Data Universal Numbering System Number, Taxpayer Identification 
Number, and Central Contractor Registry: To do business with the 
Department of Education, you must--
    a. Have a Data Universal Numbering System (DUNS) number and a 
Taxpayer Identification Number (TIN);
    b. Register both your DUNS number and TIN with the Central 
Contractor Registry (CCR), the Government's primary registrant 
database;
    c. Provide your DUNS number and TIN on your application; and
    d. Maintain an active CCR registration with current information 
while your application is under review by the Department and, if you 
are awarded a grant, during the project period.
    You can obtain a DUNS number from Dun and Bradstreet. A DUNS number 
can be created within one business day.
    If you are a corporate entity, agency, institution, or 
organization, you can obtain a TIN from the Internal Revenue Service. 
If you are an individual, you can obtain a TIN from the Internal 
Revenue Service or the Social Security Administration. If you need a 
new TIN, please allow two to five weeks for your TIN to become active.
    The CCR registration process may take five or more business days to 
complete. If you are currently registered with the CCR, you may not 
need to make any changes. However, please make certain that the TIN 
associated with your DUNS number is correct. Also note that you will 
need to update your CCR registration on an annual basis. This may take 
three or more business days to complete.
    In addition, if you are submitting your application via Grants.gov, 
you must (1) be designated by your organization as an Authorized 
Organization Representative (AOR); and (2) register yourself with 
Grants.gov as an AOR. Details on these steps are outlined at the 
following Grants.gov Web page: www.grants.gov/applicants/get_registered.jsp.

[[Page 78625]]

    7. Other Submission Requirements: Applications for grants under 
this program must be submitted electronically unless you qualify for an 
exception to this requirement in accordance with the instructions in 
this section.
    a. Electronic Submission of Applications.
    Applications for grants under the Upward Bound Grant Competition, 
CFDA number 84.047A, must be submitted electronically using the 
Governmentwide Grants.gov Apply site at www.Grants.gov. Through this 
site, you will be able to download a copy of the application package, 
complete it offline, and then upload and submit your application. You 
may not email an electronic copy of a grant application to us.
    We will reject your application if you submit it in paper format 
unless, as described elsewhere in this section, you qualify for one of 
the exceptions to the electronic submission requirement and submit, no 
later than two weeks before the application deadline date, a written 
statement to the Department that you qualify for one of these 
exceptions. Further information regarding calculation of the date that 
is two weeks before the application deadline date is provided later in 
this section under Exception to Electronic Submission Requirement.
    You may access the electronic grant application for the Upward 
Bound Grant competition at www.Grants.gov. You must search for the 
downloadable application package for this competition by the CFDA 
number. Do not include the CFDA number's alpha suffix in your search 
(e.g., search for 84.047, not 84.047A).
    Please note the following:
     When you enter the Grants.gov site, you will find 
information about submitting an application electronically through the 
site, as well as the hours of operation.
     Applications received by Grants.gov are date and time 
stamped. Your application must be fully uploaded and submitted and must 
be date and time stamped by the Grants.gov system no later than 4:30:00 
p.m., Washington, DC time, on the application deadline date. Except as 
otherwise noted in this section, we will not accept your application if 
it is received--that is, date and time stamped by the Grants.gov 
system--after 4:30:00 p.m., Washington, DC time, on the application 
deadline date. We do not consider an application that does not comply 
with the deadline requirements. When we retrieve your application from 
Grants.gov, we will notify you if we are rejecting your application 
because it was date and time stamped by the Grants.gov system after 
4:30:00 p.m., Washington, DC time, on the application deadline date.
     The amount of time it can take to upload an application 
will vary depending on a variety of factors, including the size of the 
application and the speed of your Internet connection. Therefore, we 
strongly recommend that you do not wait until the application deadline 
date to begin the submission process through Grants.gov.
     You should review and follow the Education Submission 
Procedures for submitting an application through Grants.gov that are 
included in the application package for this competition to ensure that 
you submit your application in a timely manner to the Grants.gov 
system. You can also find the Education Submission Procedures 
pertaining to Grants.gov under News and Events on the Department's G5 
system home page at http://www.G5.gov.
     You will not receive additional point value because you 
submit your application in electronic format, nor will we penalize you 
if you qualify for an exception to the electronic submission 
requirement, as described elsewhere in this section, and submit your 
application in paper format.
     You must submit all documents electronically, including 
all information you typically provide on the following forms: the 
Application for Federal Assistance (SF 424), the Department of 
Education Supplemental Information for SF 424, Budget Information--Non-
Construction Programs (ED 524), and all necessary assurances and 
certifications.
     You must upload any narrative sections and all other 
attachments to your application as files in a .PDF (Portable Document) 
read-only, non-modifiable format. Do not upload an interactive or 
fillable .PDF file. If you upload a file type other than a read-only, 
non-modifiable .PDF or submit a password-protected file, we will not 
review that material.
     Your electronic application must comply with any page-
limit requirements described in this notice.
     After you electronically submit your application, you will 
receive from Grants.gov an automatic notification of receipt that 
contains a Grants.gov tracking number. (This notification indicates 
receipt by Grants.gov only, not receipt by the Department.) The 
Department then will retrieve your application from Grants.gov and send 
a second notification to you by email. This second notification 
indicates that the Department has received your application and has 
assigned your application a PR/Award number (an ED-specified 
identifying number unique to your application).
     We may request that you provide us original signatures on 
forms at a later date.
    Application Deadline Date Extension in Case of Technical Issues 
with the Grants.gov System: If you are experiencing problems submitting 
your application through Grants.gov, please contact the Grants.gov 
Support Desk, toll free, at 1-(800) 518-4726. You must obtain a 
Grants.gov Support Desk Case Number and must keep a record of it.
    If you are prevented from electronically submitting your 
application on the application deadline date because of technical 
problems with the Grants.gov system, we will grant you an extension 
until 4:30:00 p.m., Washington, DC time, the following business day to 
enable you to transmit your application electronically or by hand 
delivery. You also may mail your application by following the mailing 
instructions described elsewhere in this notice.
    If you submit an application after 4:30:00 p.m., Washington, DC 
time, on the application deadline date, please contact the person 
listed under FOR FURTHER INFORMATION CONTACT in section VII of this 
notice and provide an explanation of the technical problem you 
experienced with Grants.gov, along with the Grants.gov Support Desk 
Case Number. We will accept your application if we can confirm that a 
technical problem occurred with the Grants.gov system and that that 
problem affected your ability to submit your application by 4:30 p.m., 
Washington, DC time, on the application deadline date. The Department 
will contact you after a determination is made on whether your 
application will be accepted.

    Note: The extensions to which we refer in this section apply 
only to the unavailability of, or technical problems with, the 
Grants.gov system. We will not grant you an extension if you failed 
to fully register to submit your application to Grants.gov before 
the application deadline date and time or if the technical problem 
you experienced is unrelated to the Grants.gov system.

    Exception to Electronic Submission Requirement: You qualify for an 
exception to the electronic submission requirement, and may submit your 
application in paper format, if you are unable to submit an application 
through the Grants.gov system because--
     You do not have access to the Internet; or
     You do not have the capacity to upload large documents to 
the Grants.gov system; and

[[Page 78626]]

     No later than two weeks before the application deadline 
date (14 calendar days or, if the fourteenth calendar day before the 
application deadline date falls on a Federal holiday, the next business 
day following the Federal holiday), you mail or fax a written statement 
to the Department, explaining which of the two grounds for an exception 
prevent you from using the Internet to submit your application.
    If you mail your written statement to the Department, it must be 
postmarked no later than two weeks before the application deadline 
date. If you fax your written statement to the Department, we must 
receive the faxed statement no later than two weeks before the 
application deadline date.
    Address and mail or fax your statement to: Ken Waters, U.S. 
Department of Education, 1990 K St. NW., Room 7000, Washington, DC 
20006-8510. Fax: (202) 502-7857.
    Your paper application must be submitted in accordance with the 
mail or hand delivery instructions described in this notice.
    b. Submission of Paper Applications by Mail.
    If you qualify for an exception to the electronic submission 
requirement, you may mail (through the U.S. Postal Service or a 
commercial carrier) your application to the Department. You must mail 
the original and two copies of your application, on or before the 
application deadline date, to the Department at the following address: 
U.S. Department of Education, Application Control Center, Attention: 
(CFDA Number 84.047A), LBJ Basement Level 1, 400 Maryland Avenue SW., 
Washington, DC 20202-4260.
    You must show proof of mailing consisting of one of the following:
    (1) A legibly dated U.S. Postal Service postmark.
    (2) A legible mail receipt with the date of mailing stamped by the 
U.S. Postal Service.
    (3) A dated shipping label, invoice, or receipt from a commercial 
carrier.
    (4) Any other proof of mailing acceptable to the Secretary of the 
U.S. Department of Education.
    If you mail your application through the U.S. Postal Service, we do 
not accept either of the following as proof of mailing:
    (1) A private metered postmark.
    (2) A mail receipt that is not dated by the U.S. Postal Service.
    If your application is postmarked after the application deadline 
date, we will not consider your application.

    Note: The U.S. Postal Service does not uniformly provide a dated 
postmark. Before relying on this method, you should check with your 
local post office.

    c. Submission of Paper Applications by Hand Delivery.
    If you qualify for an exception to the electronic submission 
requirement, you (or a courier service) may deliver your paper 
application to the Department by hand. You must deliver the original 
and two copies of your application by hand, on or before the 
application deadline date, to the Department at the following address: 
U.S. Department of Education, Application Control Center, Attention: 
(CFDA Number 84.047A), 550 12th Street SW., Room 7041, Potomac Center 
Plaza, Washington, DC 20202-4260.
    The Application Control Center accepts hand deliveries daily 
between 8 a.m. and 4:30 p.m., Washington, DC time, except Saturdays, 
Sundays, and Federal holidays.

    Note for Mail or Hand Delivery of Paper Applications: If you 
mail or hand deliver your application to the Department--
    (1) You must indicate on the envelope and--if not provided by 
the Department--in Item 11 of the SF 424 the CFDA number, including 
suffix letter, if any, of the competition under which you are 
submitting your application; and
    (2) The Application Control Center will mail to you a 
notification of receipt of your grant application. If you do not 
receive this notification within 15 business days from the 
application deadline date, you should call the U.S. Department of 
Education Application Control Center at (202) 245-6288.

V. Application Review Information

    1. Selection Criteria: The selection criteria for this program are 
from 34 CFR 645.31 and are listed in the application package.

    Note: With the changes made to section 402A(f)(3)(B) of the 
Higher Education Act of 1965, as amended, by the Higher Education 
Opportunity Act, Public Law 110-315, the UB Program objectives have 
been standardized, and the Department has updated 34 CFR 645.31(b) 
accordingly. 75 FR 65712, 65786-65787 (October 26, 2010). Please 
note that applicants are required to use these objectives to measure 
performance under the program. Specifically, the ``Objectives'' 
section of the selection criterion is worth nine points, and 
applicants should address the standardized objectives related to: 
Academic performance (GPA) (1 point), academic performance 
(standardized test scores)(1 point), secondary school retention and 
graduation (with regular secondary school diploma)(2 points), 
Completion of a rigorous secondary school program of study (1 
point), postsecondary enrollment (3 points), and postsecondary 
completion (1 point).

    2. Review and Selection Process: A panel of non-Federal readers 
will review each application in accordance with the selection criteria 
and the competitive preference priorities, pursuant to 34 CFR 645.30. 
Readers will be trained by the Department and given guidance on how to 
evaluate applications in a method that is both uniform and rigorous. 
The individual scores of the readers will be added and the sum divided 
by the number of readers to determine the reader score received in the 
review process. In accordance with 34 CFR 645.32, the Secretary will 
evaluate the prior experience (PE) of applicants that received a UB 
Program project grant for project years 2008-2009, 2009-2010, and 2010-
2011. Based upon that evaluation, the Secretary will add PE points 
earned to the application's averaged reader score to determine the 
total score for each application. The Secretary makes new grants in 
rank order on the basis of the total scores of the reader scores and PE 
points awarded to each application. Pursuant to 34 CFR 645.30(c), if 
there are insufficient funds for all applications with the same total 
score, the Secretary will choose among the tied applications so as to 
serve geographical areas that have been underserved by the UB Program. 
The Secretary will not make a new grant to an applicant if the 
applicant's prior project involved the fraudulent use of program funds.
    We remind potential applicants that in reviewing applications in 
any discretionary grant competition, the Secretary may consider, under 
34 CFR 75.217(d)(3), the past performance of the applicant in carrying 
out a previous award, such as the applicant's use of funds, achievement 
of project objectives, and compliance with grant conditions. The 
Secretary may also consider whether the applicant failed to submit a 
timely performance report or submitted a report of unacceptable 
quality.
    In addition, in making a competitive grant award, the Secretary 
also requires various assurances including those applicable to Federal 
civil rights laws that prohibit discrimination in programs or 
activities receiving Federal financial assistance from the Department 
of Education (34 CFR 100.4, 104.5, 106.4, 108.8, and 110.23).
    3. Special Conditions: Under 34 CFR 74.14 and 80.12, the Secretary 
may impose special conditions on a grant if the applicant or grantee is 
not financially stable; has a history of unsatisfactory performance; 
has a financial or other management system that does not meet the 
standards in 34 CFR parts 74 or 80, as applicable; has not fulfilled 
the conditions of a prior grant; or is otherwise not responsible.

[[Page 78627]]

VI. Award Administration Information

    1. Award Notices: If your application is successful, we notify your 
U.S. Representative and U.S. Senators and send you a Grant Award 
Notification (GAN). We may notify you informally, also.
    If your application is not evaluated or not selected for funding, 
we notify you.
    2. Administrative and National Policy Requirements: We identify 
administrative and national policy requirements in the application 
package and reference these and other requirements in the Applicable 
Regulations section of this notice.
    We reference the regulations outlining the terms and conditions of 
an award in the Applicable Regulations section of this notice and 
include these and other specific conditions in the GAN. The GAN also 
incorporates your approved application as part of your binding 
commitments under the grant.
    3. Reporting: (a) If you apply for a grant under this competition, 
you must ensure that you have in place the necessary processes and 
systems to comply with the reporting requirements in 2 CFR part 170 
should you receive funding under the competition. This does not apply 
if you have an exception under 2 CFR 170.110(b).
    (b) At the end of your project period, you must submit a final 
performance report, including financial information, as directed by the 
Secretary. If you receive a multi-year award, you must submit an annual 
performance report that provides the most current performance and 
financial expenditure information as directed by the Secretary under 34 
CFR 75.118. The Secretary may also require more frequent performance 
reports under 34 CFR 75.720(c). For specific requirements on reporting, 
please go to www.ed.gov/fund/grant/apply/appforms/appforms.html.
    4. Performance Measures: The success of the UB Program is measured 
by the percentage of UB participants who enroll in and complete 
postsecondary education. The following performance measures have been 
developed to track progress toward achieving program success:
    1. The percentage of UB students who take two years of mathematics 
beyond Algebra I by the 12th grade;
    2. The percentage of UB students that enrolled in postsecondary 
education;
    3. The percentage of UB students who enrolled in a program of 
postsecondary education by the fall term following graduation from high 
school who in the first year of postsecondary education placed into 
college-level math and English without need for remediation;
    4. The percentage of UB students who enroll in a program of 
postsecondary education and graduate on time--within four years for the 
bachelor's degree and within two years for the associate's degree;
    5. The percentage of UB participants who enrolled in a program of 
postsecondary education and attain either an associate's degree within 
three years or a bachelor's degree within six years;
    6. The percentage of UB students expected to graduate high school 
in the reporting year that complete a Free Application for Federal 
Student Aid (FAFSA); and
    7. The cost per successful participant.

    Note: Because calculating some of these performance measures 
requires the use of data that is not already reported, the 
Department will be asking grantees to collect data in addition to 
what is already provided each year on annual reports. The data is:
     Remediation Courses: Whether or not a student in higher 
education placed into college-level math and English or needed 
remediation in those subjects.

    The Department will determine the sixth performance measure on 
FAFSA completion by using its own databases and so does not need 
additional information from grantees. To assess the seventh performance 
measure on efficiency of the program, the Department will track the 
average cost, in Federal funds, of achieving a successful outcome, 
where success is defined as enrollment in postsecondary education of UB 
students immediately after high school graduation.
    Grant recipients must collect and report data on steps they have 
taken toward achieving these goals. Accordingly, we request that 
applicants include these performance measures in conceptualizing the 
design, implementation, and evaluation of their proposed projects.
    5. Continuation Awards: In making a continuation award, the 
Secretary may consider, under 34 CFR 75.253, the extent to which a 
grantee has made ``substantial progress toward meeting the objectives 
in its approved application.'' This consideration includes the review 
of a grantee's progress in meeting the targets and projected outcomes 
in its approved application, and whether the grantee has expended funds 
in a manner that is consistent with its approved application and 
budget. In making a continuation grant, the Secretary also considers 
whether the grantee is operating in compliance with the assurances in 
its approved application, including those applicable to Federal civil 
rights laws that prohibit discrimination in programs or activities 
receiving Federal financial assistance from the Department (34 CFR 
100.4, 104.5, 106.4, 108.8, and 110.23).

VII. Agency Contact

FOR FURTHER INFORMATION CONTACT: Ken Waters, Upward Bound Program, U.S. 
Department of Education, 1990 K St. NW., Room 7000, Washington, DC 
20006-8510. Telephone: (202) 502-7586 or by email: ken.waters@ed.gov.
    If you use a TDD, call the FRS, toll free, at 1-(800) 877-8339.

VIII. Other Information

    Accessible Format: Individuals with disabilities can obtain this 
document and a copy of the application package in an accessible format 
(e.g., braille, large print, audiotape, or compact disc) on request to 
the program contact person listed under FOR FURTHER INFORMATION CONTACT 
in Section VII of this notice.
    Electronic Access to This Document: The official version of this 
document is the document published in the Federal Register. Free 
Internet access to the official edition of the Federal Register and the 
Code of Federal Regulations is available via the Federal Digital System 
at: www.gpo.gov/fdsys. At this site you can view this document, as well 
as all other documents of this Department published in the Federal 
Register, in text or Adobe Portable Document Format (PDF). To use PDF, 
you must have Adobe Acrobat Reader, which is available free at this 
site.
    You may also access documents of the Department published in the 
Federal Register by using the article search feature at: 
www.federalregister.gov. Specifically, through the advanced search 
feature at this site, you can limit your search to documents published 
by the Department.

    Dated: December 14, 2011.
Eduardo M. Ochoa,
Assistant Secretary for Postsecondary Education.
[FR Doc. 2011-32452 Filed 12-16-11; 8:45 am]
BILLING CODE 4000-01-P