[Federal Register Volume 60, Number 15 (Tuesday, January 24, 1995)]
[Rules and Regulations]
[Pages 4748-4758]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-1689]
[[Page 4747]]
_______________________________________________________________________
Part V
Department of Education
_______________________________________________________________________
34 CFR Part 645
Upward Bound Program; Notice Inviting Applications for New Awards for
Fiscal Year (FY) 1995; Final Rule and Notice
Federal Register / Vol. 60, No. 15 / Tuesday, January 24, 1995 /
Rules and Regulations
[[Page 4748]]
DEPARTMENT OF EDUCATION
34 CFR Part 645
RIN 1840-AB65
Upward Bound Program
AGENCY: Department of Education.
ACTION: Final regulations.
-----------------------------------------------------------------------
SUMMARY: The Secretary amends the regulations governing the Upward
Bound Program in order 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 changes.
EFFECTIVE DATE: These regulations take effect February 23, 1995.
FOR FURTHER INFORMATION CONTACT: Prince O. Teal, Jr., U.S. Department
of Education, 600 Independence Avenue, S.W., Suite 600, Portals
Building, Washington, D.C. 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: 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.
The purposes and allowable activities of the Upward Bound Program
support the National Education Goals. Specifically, the program
supports projects designed to increase high school graduation rates;
increase competency in challenging subject matters including English,
mathematics, science, foreign language, and literature; encourage more
students to pursue programs that lead to careers in mathematics and
science; and help gain parental participation in the social, emotional,
and academic growth of their children.
On September 2, 1994, the Secretary published a notice of proposed
rulemaking (NPRM) for the Upward Bound Program in the Federal Register
(59 FR 45964-70).
Analysis of Comments and Changes
In response to the Secretary's invitation in the NPRM, 48 persons
submitted comments on the proposed regulations. An analysis of the
comments and of the changes made in the regulations since publication
of the NPRM is published as an appendix to these final regulations.
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.
Assessment of Educational Impact
In the notice of proposed rulemaking, the Secretary requested
comments on whether the proposed regulations would require transmission
of information that is being gathered by or is available from any other
agency or authority of the United States.
Based on the response to the proposed rules and on its own review,
the Department has determined that the regulations in this document do
not 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.
(Catalog of Federal Domestic Assistance Number 84.047, Upward Bound
Program)
Dated: January 17, 1995.
David A. Longanecker,
Assistant Secretary for Postsecondary Education.
The Secretary amends 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 Upward Bound Math and Science
Centers 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 complete a program of secondary education and to enter and
succeed in 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 Centers.
(3) Veterans Upward Bound projects.
(Authority: 20 U.S.C. 1070a-11 and 1070a-13) [[Page 4749]]
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, Veterans, or
a Math and Science 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, the Republic of the Marshall Islands, or the
Republic of Palau.
(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, although the Secretary may waive the age
requirement if the applicant demonstrates that the limitation would
defeat the purposes of the Upward Bound program. 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.
(Approved by the Office of Management and Budget under control
number 1840-0550)
(Authority: 20 U.S.C. 1070a-11)
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 Sec. 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
[[Page 4750]] 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) Resides in the target area, or is enrolled in a target school
at the time of acceptance into the project; and
(3) Has been determined by the project director to be committed to
the project, as evidenced by being allowed to continue in the project
for at least--
(i) Ten days in a summer component if the individual first enrolled
in an Upward Bound project's summer component; or
(ii) Sixty days if the individual first enrolled in an Upward Bound
project's academic year component.
Potential first-generation college student means--
(1) An individual neither of whose natural or adoptive 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 natural or adoptive 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 local or regional geographical area
designated by the applicant as the area 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 Centers designed to prepare high
school students for postsecondary education programs that lead to
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 shall include 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 persons 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 one or more of the services described
in Sec. 645.11 at least five days per week.
(c)(1) Except as provided in paragraph (c)(2) of this section, an
academic year component shall provide program participants with one or
more of 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 Upward Bound Math and Science
Centers 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 under Sec. 645.11(b), an Upward
Bound Math and Science Center must provide--
(1) Intensive instruction in mathematics and science, including
[[Page 4751]] hands-on experience in laboratories, in computer
facilities, and at field-sites;
(2) Activities that will provide participants with opportunities to
learn from mathematicians and scientists who are engaged in research
and teaching at the applicant institution, or who are engaged in
research or applied science at hospitals, governmental laboratories, or
other public and private agencies;
(3) Activities that will involve participants with graduate and
undergraduate science and mathematics majors who may serve as tutors
and counselors for participants; and
(4) A summer instructional component that is designed to simulate a
college-going experience that is at least six weeks in length and
includes daily coursework and other activities as described in this
section as well as in Sec. 645.11.
(b) Math Science Upward Bound Centers may also include--
(1) A summer bridge component consisting of math and science
related coursework for those participants who have completed high
school and intend on enrolling in an institution of higher education in
the following fall term; and
(2) An academic year component designed by the applicant to enhance
achievement of project objectives in the most cost-effective way taking
into account the distances involved in reaching participants in the
project's target area.
(Approved by the Office of Management and Budget under control
number 1840-0550)
(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 an additional application describes a
project that serves a different participant population.
(b) Each application for funding under the Upward Bound Program
shall state whether the application proposes a Regular Upward Bound
project, an Upward Bound Math and Science Center, or a Veterans Upward
Bound project.
(Authority: 20 U.S.C. 1070a-11 and 1070a-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 maximum score of
24 points and read as follows:
(1) The Secretary evaluates the need for a Regular Upward Bound
project in the proposed target area on the basis of information
contained in the application which clearly demonstrates that--
(i) The income level of families in the target area is low;
(ii) The education attainment level of adults in the target area is
low;
(iii) Target high school dropout rates are high;
(iv) College-going rates in target high schools are low;
(v) Student/counselor ratios in the target high schools are high;
and
(vi) Unaddressed academic, social and economic conditions in the
target area pose serious problems for low-income, potentially first-
generation college students.
(2) The Secretary evaluates the need for an Upward Bound Math and
Science Center in the proposed target area on the basis of--
(i) The extent to which student performance on standardized
achievement and assessment tests in mathematics and science in the
target area is lower than State or national norms.
(ii) The extent to which potential participants attend schools in
the target area that lack the resources and coursework that would help
prepare persons for entry into postsecondary programs in mathematics,
science, or engineering; [[Page 4752]]
(iii) The extent to which such indicators as attendance data,
dropout rates, college-going rates and student/counselor ratios in the
target area 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
area 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 college students;
(iii) A large number of veterans who reside in the target area who
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 to inform the faculty and staff at the applicant
institution or agency and the interested individuals and organizations
throughout the target area of the goals and objectives of the project;
(2) The plan for identifying, recruiting, and selecting
participants to be served by the project;
(3) The plan for assessing individual participant needs and for
monitoring the academic progress of participants while they are in
Upward Bound;
(4) The plan for locating the project within the applicant's
organizational structure;
(5) The curriculum, services and activities that are planned for
participants in both the academic year and summer components;
(6) The planned timelines for accomplishing critical elements of
the project;
(7) The plan to ensure effective and efficient administration of
the project, including, but not limited to, financial management,
student records management, and personnel management;
(8) The applicant's plan to use its resources and personnel to
achieve project objectives and to coordinate the Upward Bound project
with other projects for disadvantaged students;
(9) The plan to work cooperatively with parents and key
administrative, teaching, and counseling personnel at the target
schools to achieve project objectives; and
(10) A follow-up plan for tracking graduates of Upward Bound as
they enter and continue in postsecondary education.
(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--
(1) The applicant is committed to supplementing the project with
resources that enhance the project such as: space, furniture and
equipment, supplies, and the time and effort of personnel other than
those employed in 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 training or work experience 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 training or work experience in
fields related to the objectives of the project;
(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 making progress toward achieving its process and outcomes
objectives.
(Approved by the Office of Management and Budget under control
number 1840-0550)
(Authority: 20 U.S.C. 1070a-11 and 1070a-13)
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 serves the number of
participants agreed to under the approved application;
(2) (3 points) The extent to which project participants have
demonstrated improvement in academic skills and competencies as
measured by standardized achievement tests and grade point averages;
(3) (3 points) The extent to which project participants continue to
participate in the Upward Bound Program until they complete their
secondary education program;
(4) The extent to which participants who complete the project, or
were scheduled to complete the project, undertake programs of
postsecondary education; and
(5) (3 points) The extent to which participants who complete the
project, or were scheduled to complete the project, succeed in
education beyond high school, including the extent to
[[Page 4753]] which they graduate from postsecondary education
programs.
(Approved by the Office of Management and Budget under control
number 1840-0550)
(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 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
applicants that score in the highest ten percent of all applicants
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 and for whom English
language proficiency is necessary to succeed in postsecondary
education.
(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.
(o) Fees required for college admissions applications or entrance
examinations if--
(1) A waiver of the fee is unavailable;
(2) The fee is paid by the grantee to a third party on behalf of a
participant.
(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 aid
for project staff beyond that provided to employees of the grantee as
part of its regular fringe benefit package.
(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 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 Centers--
(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 120
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 program 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. [[Page 4754]]
(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).
Appendix--Analysis of Comments and Responses
(Note: This appendix will not be codified in the Code of Federal
Regulations.)
The following is an analysis of the comments and the changes in
the regulations since publication of the NPRM on September 2, 1994
(59 FR 45964). Substantive issues are discussed under the section of
the regulations to which they pertain. Minor changes made to the
language published in the NPRM--and suggested changes the Secretary
is not legally authorized to make under applicable statutory
authority--are generally not addressed.
What is the Upward Bound Program? (Sec. 645.1)
Comments: Many commenters objected to the stated purpose in
Sec. 645.1(a) of the proposed regulations because of the phrase ``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.'' Some commenters
suggested that the phrase extends the stated purpose of the Upward
Bound program beyond the scope of the purpose as defined in the law.
Other commenters stated that this language would put an unwarranted
burden upon grantees to collect enrollment and persistence data on
participants through completion of a postsecondary education
program.
Discussion: The Secretary does not believe that the regulations
extend the purpose of the program beyond that stated in the law. The
Secretary believes that the most important measure of success in
education beyond secondary school is the completion of a
postsecondary education program, but the Secretary recognizes that
there may be other measures of success in postsecondary education
besides graduation.
Changes: This section of the regulations has been changed to
show that the purpose of Upward Bound is to ``complete a program of
secondary education and to enter and succeed in a program of
postsecondary education.''
Comments: Several commenters objected to the omission of the
words ``regional center'' in Sec. 645.1(b)(2) (Upward Bound Math and
Science Centers) of the proposed regulations. The commenters did not
want projects limited to local target areas.
Discussion: The Secretary believes that it is unwise to add
``regional centers'' to Sec. 645.1(b)(2) of the regulations since it
would indicate that the Secretary would fund only projects with a
regional concept. The regulations as written do not eliminate the
regional concept; in fact, the Secretary supports the regional
concept of Upward Bound Math and Science Centers. The Secretary
believes, however, that substituting the word ``center'' for the
word ``project'' will better emphasize the broader mission and scope
of the Upward Bound Math and Science Centers.
Changes: The word ``project'' has been replaced with the word
``center'' throughout the regulations. The definition of ``target
area'' has also been revised to reinforce the Secretary's support of
regional centers.
Who is eligible to participate in an Upward Bound project?
(Sec. 645.3): Two commenters observed that Sec. 645.3 does not
include a waiver that would allow an Upward Bound project to serve
youths who are less than 13 or who have not completed eighth grade,
if the secondary schools in the project's target area have an
unusually high dropout rate. The commenters felt that this waiver,
which has been in all Upward Bound regulations since 1977, should be
included in these Upward Bound regulations.
Discussion: The Secretary agrees with the commenters.
Changes: Section 645.3 has been revised to include a waiver of
the age limit requirement.
Comments: One commenter objected to the omission of a provision
that awards additional points, equal to 10 percent of the
applicant's score, to applications from Guam, the Virgin Islands,
American Samoa, the Trust Territory of the Pacific Islands, and the
Northern Mariana Islands. The commenter stated that the bonus points
enable the applicants from these areas to compete for TRIO projects.
Discussion: The requirement that priority be given to proposals
submitted by the territories was required by the Higher Education
Amendments of 1992 but has been deleted from the Higher Education
Act by the Higher Education Technical Amendments of 1993.
Changes: None.
Documentation of Low-income Status. (Sec. 645.4(b) (1) and (2))
Comments: One commenter stated that this section was confusing.
The commenter suggested that the section leads one to believe that
verification of low-income status must include a signed statement
from a parent or guardian, an independent verification of family
income, a signed financial aid application, and a signed income tax
return. The commenter also stated that high school students would be
required to complete financial aid applications. The commenter
believes that the Secretary is requesting that all of these items be
submitted in determining low-income status.
Discussion: The commenter is in error. The conditions described
in Sec. 645.4(b)(1) and (2) are alternative requirements, as
indicated by the word ``or'' between the next to last and last
conditions. The Secretary does not require all of these forms of
documentation for each participant. Low-income status can be
determined by submitting any one of the items listed.
Changes: None.
What Definitions Apply to the Upward Bound Program? (Sec. 645.6)
Comments: Several commenters disagreed with the definition of
``participant.'' Some commenters stated that the proposed
definition, which requires that an individual receive more than one
month of project services prior to being considered a participant of
the project, was too restrictive. Others stated that the new
definition would require grantees to devote significant resources
for follow-up activities for many more participants. They further
stated that the restrictive definition would not allow project staff
to determine when an individual has engaged in sufficient project
activities necessary to demonstrate the individual's commitment to
the project.
Discussion: The Secretary agrees with the commenter that a fixed
30-day period may be too inflexible. Therefore, the Secretary has
adopted a dual time period depending on whether the student first
participated in a summer component or, an academic year component.
Because summer components only last six weeks and provide
intensive services to students, the Secretary believes that if a
project director allows a student to participate in that component
for at least 10 days, which is approximately 25 percent of the
summer component, the project director believes that the student is
committed to the project. On the other hand, given the nature of an
academic year component, the Secretary believes a 60-day period may
be needed to establish an individual's commitment to the program.
Changes: The Secretary has revised the definition of
``participant.''
Comments: Several commenters questioned whether the proposed
definition of ``participant,'' which requires that a participant be
enrolled in a target school, would prohibit individuals who reside
in the target area but attend school outside of the target area from
participating in an Upward Bound project. The commenters further
stated that individuals whose families choose private education or
participate in either voluntary or involuntary desegregation plans
might be eliminated from receiving the benefits of an Upward Bound
project. [[Page 4755]]
Discussion: The Secretary has determined that limiting
participation in an Upward Bound project to individuals who are
enrolled in a target school is too restrictive and may prevent some
unintended individuals from benefitting from the services of an
Upward Bound project. However, the Secretary still believes that it
is important that the majority of individuals who are selected as
participants be enrolled in a target school so they can benefit from
the cooperative relationship that exists between the target school
staff and the staff of the project.
Changes: The Secretary has revised the definition of participant
to allow individuals who reside in the target area to benefit from
the services provided by an Upward Bound project.
Comments: Some commenters stated that the definition of
``Potential first-generation college student'' was not clear and
would cause confusion in the field regarding foster parents and
stepparents. The commenters suggested that the words ``natural or
adoptive'' be inserted before parent(s) in both subparagraph (1) and
(2) of the definition.
Discussion: The Secretary agrees with the commenters.
Changes: The definition has been revised to include ``natural or
adoptive'' in the definition.
Comments: One commenter expressed concern that the definition of
``veteran'' was restrictive and did not allow all veterans to
receive the services provided by an Upward Bound project.
Discussion: The proposed definition of ``veteran'' has been used
since the Upward Bound Veterans program was established in 1972. The
Secretary believes that this definition remains as valid as it was
in 1972 and sees no need to change the definition.
Changes: None.
What Kinds of Projects Are Supported Under the Upward Bound
Program? (Sec. 645.10)
Comments: Several commenters suggested that the Secretary was
expanding the expected outcomes of an Upward Bound Math and Science
project by stating that a project is designed to prepare high school
students for postsecondary education programs and for careers in the
fields of math and science. The commenters stated that the Upward
Bound Math and Science project should be required to prepare
participants to enter postsecondary education programs prepared to
study in fields of math and science. Preparation for careers in math
and science is then the responsibility of the institution offering
the postsecondary program.
Discussion: The Secretary agrees with the commenters.
Changes: The language of this section has been revised to
reflect the suggestions of the commenters.
What Services Do All Upward Bound Projects Provide? (Sec. 645.11)
Comments: Several commenters stated that Sec. 645.11 should be
revised to eliminate literature, foreign language, and mathematics
through pre-calculus from the required core curriculum of the Upward
Bound projects.
Discussion: The requirement for a core curriculum is mandated in
section 402 of the Higher Education Act and cannot be revised by the
Secretary.
Changes: None.
Comments: Several commenters suggested that the core curriculum
required by Sec. 645.11 should be offered during the summer
component, the academic year component, or both.
Discussion: The Secretary will not specify when the curriculum
should be offered. The Secretary believes that applicants should
have the flexibility to design projects around the needs of the
participants. Nonetheless, the Secretary clearly expects that most
of the core curriculum will be offered in the summer component.
Changes: None.
How Are Regular Upward Bound Projects Organized? (Sec. 645.12)
Comments: Many commenters felt that Sec. 645.12(b)(2), which
requires that the services described in Sec. 645.11 be offered on a
daily basis, was not clear. The commenters stated that the
regulations require projects to provide all services on a daily
basis.
Discussion: The Secretary agrees that the section is unclear. A
project must provide some of the project's services and activities
at least five days a week. It does not have to provide every service
and activity on a daily basis.
Changes: Section 645.12(b)(2) has been revised to require a
project to provide participants with one or more of the services as
described in Sec. 645.11 at least five days a week in a summer
component. Section 645.12 (c)(1) has also been revised to allow a
project to provide program participants with one or more of the
services on a weekly basis throughout the academic year component.
What Additional Services Do Math and Science Upward Bound Centers
Provide and How Are They Organized? (Sec. 645.13)
Comments: Several commenters objected to the use of ``state-of-
the-art'' computer facilities in Sec. 645.13(a)(1) because the
phrase is vague and extremely subjective.
Discussion: The Secretary agrees with the commenters.
Changes: The phrase ``state-of-the-art'' has been deleted from
this section of the regulations.
Comments: Several commenters suggested that Sec. 645.13(a)(2)
was too restrictive. The commenters stated that restricting project
participants to contact with research faculty from the applicant
institution prevents an institution that does not have research
faculty from using persons in the community or private industry who
have math and science expertise.
Discussion: The Secretary agrees with the commenters that the
language is restrictive and does not allow a project to use
professionals in the community.
Changes: Section 645.13(a)(2) has been revised to allow a
project to use math and science professionals from the community.
Comments: One commenter suggested that the Math and Science
Upward Bound Project should allow participants the opportunity to
participate in a summer bridge experience. The commenter felt that
participants could benefit from the experience provided by a summer
bridge component.
Discussion: The Secretary agrees with the commenter; however,
the Secretary feels that the courses offered to participants in a
Upward Bound Math and Science bridge component should be courses
that are math and science related.
Changes: Language has been added to Sec. 645.13 that allows
Upward Bound Math and Science projects to offer a summer bridge
component, provided the courses a participant enrolls in are math
and science related.
How Many Applications for an Upward Bound Project Award May an
Eligible Applicant Submit? (Sec. 645.20)
Comments: Two commenters stated that the proposed regulations
redefined and extended the definition of different populations
beyond that used in the Higher Education Amendments of 1992.
Discussion: The Secretary disagrees with the commenters. The
Secretary believes that the examples of different populations as
defined in the NPRM are valid examples.
Changes: The Secretary has deleted language that provided
examples of different populations. The deletion of this language
will place the responsibility for demonstrating that the project
outlined in a second application will serve a different population
on the applicant.
What selection criteria does the Secretary use? (Sec. 645.31)
Comments: Several commenters proposed that Sec. 645.31(a)(1)(v),
which requests information on families within the target area, be
changed to the collection of information on individuals. The
commenters felt that information on families was not readily
available.
Discussion: The Secretary agrees with the commenters.
Changes: The criterion that requests the education attainment
levels of adults has been changed to reflect the collection of data
on ``adults'' rather than data on families.
Comments: Several commenters suggested that Sec. 645.31(a)(2) be
revised to include an Upward Bound Math and Science target area as
well as Upward Bound Math and Science target schools. The commenters
felt that by adding target areas to the criterion the applicant
would be able to better document the need for a project, if that
project proposes to serve participants from large geographical areas
such as States or regions.
Discussion: The Secretary agrees with the commenters.
Changes: Section 645.31(a)(2) has been revised to allow
applicants to provide data that consider the target area as well as
the target schools.
Comments: Many commenters suggested that Sec. 645.31(a)(1) and
Sec. 645.31(c) could be improved by reordering certain questions to
encourage brevity in proposals and a more logical flow in
applications. The commenters also expressed the view that reordering
the criteria would allow the peer reviewers to better evaluate the
application. [[Page 4756]]
Discussion: The Secretary agrees with the commenters.
Changes: Section 645.31 has been revised to address the
suggested reordering. The Secretary has also revised several of the
subsections to assure that each subsection is clear.
Comments: Several commenters suggested that the numerical score
for each individual subsection under the ``need'' and ``plan of
operation'' criteria in Sec. 645.31 should be included in the
regulations. The commenters feared that without a score, the peer
reviewers would not properly score the applications.
Discussion: The Secretary does not agree that the inclusion of
subsection scores would greatly assist the peer reviewers in
properly scoring applications. The Secretary acknowledges that in
these cases the weighting for each subsection is roughly equal.
Changes: None.
Comments: Several commenters suggested that reference to
performance on aptitude tests should not be included in
Sec. 645.31(a)(2)(i). One commenter suggested that the inclusion of
scores from aptitude tests as part of the need criteria may suggest
that Upward Bound Math and Science projects are designed to serve
only students who are performing at the highest level in their
secondary education program. Other commenters suggested that
``aptitude'' testing is too politically sensitive and the term
should be avoided.
Discussion: The Secretary disagrees with the commenters. The
Secretary does not believe that the inclusion of ``aptitude tests''
in these regulations would in any way suggest that the Math and
Science Upward Bound Centers are designed to serve students who are
performing at the highest level in their secondary education
program. As used in this criterion, the Secretary sought to give
greater priority to projects that were serving students who were
attending high schools that had relatively low average scores on
standardized tests.
Changes: The Secretary has modified the criteria to more fully
describe the use of tests in measuring differences in school
environments.
Comments: Several commenters suggested that Sec. 645.31(c)(3)
should be revised to require a follow-up plan for tracking the
academic accomplishments of participants only after they have
completed the Upward Bound project. The commenters stated that the
proposed regulations would require the project to follow up on all
persons who participated in the project. The commenters also felt
that requiring the project to follow up on all participants would be
extremely costly and place a considerable collection burden on
projects.
Discussion: The Secretary agrees that mandatory postsecondary
tracking of all persons participating in a project may be
cumbersome.
Changes: Section 645.31(c)(3) has been reordered to
Sec. 645.31(c)(10) and has been changed to require a follow-up plan
for tracking only those participants who are graduates of the Upward
Bound project.
Comments: One commenter suggested that ``applicant community''
in Sec. 645.31(c)(4) be changed to ``target area community.'' The
commenter felt that the phrase ``applicant community'' left the
reader of the regulations confused as to the specific community that
needed to be informed, i.e., university target area community, or
any other self-described community identified by the applicant.
Discussion: The Secretary agrees that this phrase may be
confusing.
Changes: The Secretary has revised the criterion to describe
more specifically the applicant's institutional community and the
individuals and groups that should be informed throughout the target
area.
Comments: One commenter suggested that the word ``appropriate''
as a modifier of ``timelines'' in Sec. 645.31(c)(6) should be
deleted because varied and different interpretations can be inferred
by the applicant and the peer reviewers.
Discussion: The Secretary agrees with this commenter. The
Secretary believes that it is the applicant's responsibility to
present a clear and concise plan that contains timelines that cover
all of the major services to be provided. The criterion will be
amended to make this clarification.
Changes: The Secretary has revised the criterion to read--
assessing the quality of the planned timelines for accomplishing
critical elements of the project.
Comments: Several commenters suggested that the word ``quality''
be deleted from the applicant's plan in Sec. 645.31(c)(9). The
commenters suggest deleting the word ``quality'' because it is
redundant and can be interpreted in different ways by the readers.
Discussion: The Secretary agrees with the commenters that use of
the term is redundant but at the same time all of the sub-criteria
in the Plan of Operation sub-section are about ``quality'' plans
which will produce intended project outcomes. The Secretary believes
that the evaluation of the quality of all parts of the plan of
operation is at the heart of the peer review process.
Changes: Because the word quality is a part of the opening
sentence in Sec. 645.31(c), the word quality has been deleted from
this section because it is redundant.
Comments: One commenter suggested that the phrase ``quality
control'' be deleted from Sec. 645.31(c)(8). The commenter felt that
this term was not normally used to define an educational process or
procedure. The commenter also indicated that the term could be
misinterpreted since no definition is provided.
Discussion: The Secretary disagrees with the commenter.
``Quality control'' is a term used to define processes that lead to
improved service delivery and better outcomes. It is not unfamiliar
to educators but is probably more associated with the business
sector. However, the Secretary will delete the words ``quality
control'' from this criterion since the criterion requires that the
applicant present an effective and efficient plan for the
administrative oversight of the project, which would imply a measure
of quality control.
Changes: The criterion has been revised for purposes of greater
clarity.
Comments: One commenter noted that the regulations do not
include a request for a plan to recruit underrepresented students.
The commenter stated that by not including a provision that would
require applicants to submit such a plan it might imply that an
Upward Bound project would not focus on providing underrepresented
students with an opportunity to be successful in postsecondary
education.
Discussion: The Secretary disagrees with the commenter. The
Secretary believes that the Upward Bound program has and will
continue to provide services to exclusively underrepresented
populations. Thus a plan to do this is unnecessary.
Changes: None.
Comments: Several commenters felt that Sec. 645.31(e)(1) would
prevent projects from considering the work experience of individuals
when hiring the project director. Another commenter felt that the
requirement that directors have formal training in fields related to
the objectives of the projects was too restrictive and would require
all Upward Bound Math and Science directors to have formal education
degrees in the fields of math and science.
Discussion: The Secretary agrees with the commenters that work
experience should be considered when evaluating and determining the
suitability of a project director.
Changes: The Secretary has revised this section to include work
experience. The inclusion of work experience in this section will
allow persons to substitute for formal training in fields related to
the objectives of the project.
Comments: Several commenters suggested that clarity of
Sec. 645.31(g)(2) could be improved by combining the two
subsections.
Discussion: The Secretary agrees with the commenters.
Changes: The two subsections have been combined into one
statement.
How Does the Secretary Evaluate Prior Experience? (Sec. 645.32)
Comments: Several commenters suggested that the word
``consistently'' in Sec. 645.32(b)(1) be deleted. The commenters
felt that the word ``consistently'' was not defined and would have
to be interpreted by each project.
Discussion: The Secretary agrees with the commenter.
Changes: The word ``consistently'' has been deleted from the
section.
Comments: Many commenters suggested that aptitude and motivation
as stated in Sec. 645.32(b)(2) are difficult to measure. The
commenters further suggested that this section of the regulations
should emphasize the achievement levels and academic progress of
participants. Several commenters suggested new wording for the
section; some asked for the deletion of aptitude and motivation
while others suggested that motivation remain a part of the section.
One commenter further suggested that project retention, high school
graduation, postsecondary enrollment and success in postsecondary
education are better indicators of academic growth.
Discussion: The Secretary agrees with the commenters who
suggested that improvements in motivation and aptitude are difficult
to measure. The Secretary, however, believes that the project must
be held accountable for assisting participants in the
[[Page 4757]] project to develop skills that are necessary for entry
into an educational program beyond high school. The Secretary also
agrees with the commenter who suggested that a project's success
should be measured by the success of the project's participants.
Changes: The Secretary has deleted aptitude and motivation from
this criterion. The criterion now focuses on demonstrated
improvement in academic skills and competencies as measured by
standardized achievement tests and grade point averages.
Comments: Many commenters expressed concerns in
Sec. 645.32(b)(3) regarding the Department's efforts to highlight
the need for retention of participants in the projects throughout
their secondary school experience. Some commenters thought that the
inclusion of retention in the project as a part of the prior
experience criteria would affect the manner in which projects
selected participants. They expressed concern that higher risk
participants traditionally served by Upward Bound projects would be
overlooked. Others felt that if this criterion remains in the prior
experience section, some projects will be more likely to serve
students who have higher motivation but who may not be the students
with the greatest need for project services. One commenter asks that
the Secretary consider the harm that this requirement could have on
the Upward Bound Program and to delete the inclusion of this
requirement until much more discussion and study have taken place.
Discussion: The Secretary disagrees with the commenters. The
Secretary believes that the retention of participants in a project
is significant for determining the success of a project. The
Secretary believes that the consequences suggested by commenters
that would arise if this criteria is retained do not override the
disadvantages posed by a high turnover of participants. As in many
intervention programs, it has been proven that the longer the
participation, the far more likely is the chance for success.
Changes: This criteria has been revised for purposes of improved
clarity.
Comments: Several commenters suggested that, as written,
subsections (b)(4) and (b)(5) require that every participant,
whether or not they have completed high school and the Upward Bound
program would need to be tracked to determine whether they entered
and completed postsecondary education. Instead, they suggested
postsecondary continuation should be tracked for only Upward Bound
and high school graduates.
Discussion: The Secretary's intent was not to have projects
track Upward Bound participants who drop from the project prior to
graduation from high school. However, the Secretary believes that
Sec. 645.32 (b)(4) and (b)(5) best measure the success of a project
by comparing participants who enroll in a postsecondary education
program and do well in college against all project participants,
both those who complete the project and those who were initially
scheduled to complete the project.
Changes: The criterion has been revised for purpose of clarity.
How Long Is a Project Period? (Sec. 645.34)
Comments: One commenter suggested that the language in
Sec. 645.34(b) be changed to include ``highest 10 percent of all
applicants approved for new grants''.
Discussion: The length of an Upward Bound project period is
defined in the Higher Education Act. Section 645.34(b) of these
regulations merely reflects the statutory requirement.
Changes: None.
What Are Allowable Costs? (Sec. 645.40)
Comments: Many commenters suggested that the Secretary amend
Sec. 645.40 of the proposed regulations to include college admission
fees and college entrance examination fees in the list of allowable
costs.
Discussion: The Secretary has found that college admissions
application fees are often barriers that prevent low-income students
from filing applications to postsecondary programs. The Secretary
has also found that waivers of college admissions application fees
are not always available to low-income students. Some State-
supported institutions are legally prohibited from waiving admission
application fees, and private institutions may or may not waive
admissions application fees for low-income applicants. The high cost
of admission application fees and the unavailability of fee waivers
have the detrimental effect of preventing Upward Bound participants
from completing applications to certain four-year colleges and
universities. The Secretary has concluded that admissions fees
should be included in the list of allowable costs under certain
circumstances described in the regulations.
Upward Bound participants have historically benefited from
having testing materials available in order to prepare students for
the SAT, ACT, and other standardized tests. The Secretary believes
that it is also appropriate to allow Upward Bound projects to pay
for testing administered by a third party. Therefore, the Secretary
has included entrance examination fees in the circumstances
described in the regulations in the list of allowable costs.
Changes: The Secretary has changed Sec. 645.40 so that the list
of allowable costs includes fees required for college admissions
applications or entrance examinations if (1) a waiver of the fee is
unavailable; and (2) the fee is paid by the grantee to a third party
on behalf of the participant.
Comments: One commenter suggested that allowable costs be
expanded to include costs to cover medical insurance and health
services fees for participants during the academic year component.
The commenter stated that the regulations should be expanded to
allow for coverage in the event of accidents during visits to campus
sites and while on field trips.
Discussion: The Secretary believes that students participating
in an Upward Bound project should be protected by medical insurance
and accident insurance at all times while participating in project
activities. The Secretary believes that Sec. 645.40(j) (1) and (2)
is inclusive enough to cover participants at all times while
participating in a project activity.
Changes: None.
Comments: One commenter questioned the requirement of
Sec. 645.40(h), which limits the grantee to one project-sponsored
banquet or ceremony per year. The commenter suggested that projects
be given the flexibility to provide as many banquets or ceremonies
as they feel will motivate students toward successful completion of
secondary and postsecondary education.
Discussion: The Secretary believes that motivational activities
such as banquets should be supported by grant funds. However, the
Secretary believes that one banquet paid for out of grant funds is
reasonable.
Changes: None.
Comments: One commenter suggested that the word ``bridge''
should be deleted from Sec. 645.40(i). The commenter's justification
for deleting the word ``bridge'' is to allow beginning seniors the
opportunity to take college credit courses during the summer
component. The commenter felt that the program should be responsible
for providing funds for participants while they pursue a secondary
diploma and postsecondary program concurrently.
Discussion: The Secretary believes that all students who are
able to enroll in a secondary education program and postsecondary
education program concurrently should do so. However, the Secretary
does not believe that program funds should be used to support the
cost of tuition until the student has completed a program of
secondary education.
Changes: None.
Comments: One commenter stated that Sec. 645.40 should allow the
project to pay for meals for parents of participants when these
persons volunteer to serve as staff during field trips. The
commenter felt that when parents serve as volunteers on field trips
they should receive meals like other staff members.
Discussion: The Secretary agrees with the commenter that
volunteers, whether parents or other members of the community,
should at least receive meals while accompanying students on field
trips. The Secretary believes that involvement in the program by
parents is key to the success of a project.
Changes: None. Parents will be voluntary staff members and can
receive meals as allowed under Sec. 645.40(m) of these regulations.
Comments: Several commenters suggested that Sec. 645.40(k) be
deleted since the legislation and Sec. 645.11(b)(9) of the
regulations allow and encourage a project to provide programs and
activities that are specifically designed for individuals with
limited English proficiency. The commenter argued that
Sec. 645.40(k) contradicts Sec. 645.11(b)(9).
Discussion: The Secretary partially agrees with the commenters.
However, the Secretary does wish to reemphasize the point that
instruction in the English language for students who need to improve
their proficiency in order to pursue postsecondary education may be
offered by the project.
Changes: The section has been revised to agree with
645.11(b)(9).
What Are Unallowable Costs? (Sec. 645.41)
Comments: One commenter suggested that Sec. 645.41(f) be revised
to allow for tuition, [[Page 4758]] stipends or any other form of
student financial support for project staff ``beyond that provided
to employees of a grantee as a part of its regular fringe benefit
package.'' The commenter did not offer any reason for suggesting the
change.
Discussion: The Secretary disagrees with the commenter. A
project staff member should receive fringe benefits which are
consistent with the standard package offered to other employees of
the grantee.
Changes: None.
What Are Upward Bound Stipends? (Sec. 645.42)
Comments: Several commenters suggested raising the stipend
amount given to Upward Bound participants during the summer to
$80.00 per month to compete with summer jobs.
Discussion: The legislation authorizing the Upward Bound Program
establishes the maximum amounts allowable for monthly payment of
stipends.
Changes: None
Comments: One commenter noted that the legislation authorizes
the payment of stipends in the amount of up to $60 per month during
the months of June, July, and August. However, the proposed
regulations (Sec. 645.42(d)(1)(ii)) do not specify that June, July,
and August constitute a summer session.
Discussion: The Secretary agrees with the commenter that the law
authorizes the payment of up to $60 per month during the summer
component, which occurs for a six-week period sometime during the
months of June, July, and August. The regulations authorize the
payment of up to $60 per month, prorated as seen necessary, during
the time the summer component is in session.
Changes: None.
What Other Requirements Must a Grantee Meet? (Sec. 645.43)
Comments: One commenter suggested that the word ``academic'' be
deleted from Sec. 645.43(c)(2) of the proposed regulations. The
commenter stated that in order to take a holistic approach to a
participant's need, emotional, cultural, social, as well as
academic, support must be included.
Discussion: The Secretary agrees that a Upward Bound project
should be designed to meet the needs of each participant. The
Secretary believes that the services that a project can provide to
participants as outlined in Secs. 645.11 and 645.14 allow a project
to meet the total needs of a participant. Section 645.43(c) does not
establish the required services that a project must provide to
participants, but outlines the recordkeeping requirements. All
participants of an Upward Bound project must meet the eligibility
requirements as defined in Sec. 645.3 of the regulations. Section
645.43(c) establishes that, at a minimum, a project must keep
records which document that all participants who enroll in an Upward
Bound project have a need for academic support as well as meet the
other eligibility requirements of Sec. 645.3. This does not preclude
maintaining other information on participants.
Changes: None.
Comments: A number of commenters suggested that following a
student's educational progress throughout postsecondary education
would be very time consuming and potentially very costly. The
commenters also stated that this requirement exceeds the legislative
authority for the program.
Discussion: The Secretary believes that section 402(C) of the
Higher Education Act gives the Secretary the authority to require
that Upward Bound projects establish procedures for follow-up on
participants who have completed the Upward Bound project to
determine their success in postsecondary education. The Secretary
believes that the level of tracking necessary once an Upward Bound
graduate is enrolled should consist of annual contacts to determine
persistence or completion.
The Secretary believes that a system of follow-up is necessary
for determining the effectiveness of the Upward Bound Program. This
system should include or provide a method for determining if an
Upward Bound participant who completed the project and enrolled in a
postsecondary education program remains enrolled in the
postsecondary program to completion.
Changes: None.
[FR Doc. 95-1689 Filed 1-23-95; 8:45 am]
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