[Federal Register Volume 59, Number 170 (Friday, September 2, 1994)]
[Proposed Rules]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-21744]


[[Page Unknown]]

[Federal Register: September 2, 1994]


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Part V





Department of Education





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34 CFR Part 645




Upward Bound Program; Proposed Rule

  Federal Register / Vol. 59, No. 170 / Friday, September 2, 1994 / 
Proposed Rules  

DEPARTMENT OF EDUCATION

34 CFR Part 645

RIN 1840-AB65

 
Upward Bound Program

AGENCY: Notice of proposed rulemaking.

SUMMARY: The Secretary proposes to amend the regulations governing the 
Upward Bound Program. These regulations are needed to further implement 
statutory changes made to the Upward Bound Program by the Higher 
Education Amendments of 1992, and to clarify and simplify certain 
requirements governing the program. The selection criteria, prior 
experience criteria, and grantee accountability provisions are affected 
by these proposed changes.
    The purposes and allowable activities of the Upward Bound Program 
support the National Education Goals. Specifically, the program funds 
projects designed to increase high school graduation rates, increase 
competency over challenging subject matters, encourage more students to 
pursue programs in mathematics and science, and help gain parental 
participation in the social, emotional and academic growth of their 
children.

DATES: Comments must be received on or before October 3, 1994.

ADDRESSES: All comments concerning these proposed regulations should be 
addressed to Richard T. Sonnergren, U.S. Department of Education, Room 
5065, FOB-6, 400 Maryland Avenue, SW., Washington, DC 20202-5249.
    A copy of any comments that concern information collection 
requirements should also be sent to the Office of Management and Budget 
at the address listed in the Paperwork Reduction Act section of this 
preamble.

FOR FURTHER INFORMATION CONTACT: Prince Teal or Carlos Stewart, U.S. 
Department of Education, 400 Maryland Avenue, SW., Room 5065, 
Washington, DC 20202-5249. Telephone: (202) 708-4804. Individuals who 
use a telecommunications device for the deaf (TDD) may call the Federal 
Information Relay Service (FIRS) at 1-800-877-8339 between 8 a.m. and 8 
p.m., Eastern time, Monday through Friday.

SUPPLEMENTARY INFORMATION:

Background

    The Upward Bound Program provides grants to institutions of higher 
education; public and private agencies and organizations; combinations 
of institutions, agencies, and organizations; and secondary schools 
under special circumstances. The purpose of the program is to generate 
the skills and motivation necessary for success in education beyond 
high school.
    On October 1, 1993, the Secretary published revisions to the Upward 
Bound Program regulations to implement changes required by the Higher 
Education Amendments of 1992 (58 FR 51520-21). This NPRM proposes 
program improvements that were not covered by the October 1, 1993 
regulations. The major provisions of these proposed regulations include 
the following:
     Definitions (Sec. 645.5). The proposed regulations revise 
or add definitions to clarify certain terms used in the regulations, 
including definitions of ``participant,'' ``independent student,'' and 
``organization/agency.''
     Kinds of Projects (Sec. 645.10). The proposed regulations 
will define in general the three types of Upward Bound projects 
supported under the program, i.e., Regular Upward Bound projects, Math 
and Science Upward Bound projects, and Veterans Upward Bound projects.
     Upward Bound services and activities (Secs. 645.11-
645.14). Section 645.11 of the proposed regulations lists the services 
that all Upward Bound projects must provide. Section 645.12 describes 
the manner in which services are provided in Regular Upward Bound 
projects. Section 645.13 lists additional services that the Math and 
Science Upward Bound project must provide and the manner in which 
services are provided. Section 645.14 lists additional services that 
the Veterans Upward Bound project must provide.
     How does one apply for an award? (Secs. 645.20-645.21). 
Section 645.20 of the proposed regulation describes the condition under 
which the Secretary will accept more than one application from an 
eligible applicant. Section 645.21 describes the assurances an 
applicant must include in an application.
     Selection criteria (Sec. 645.31). The proposed regulations 
revise the order, weighting, and content of application selection 
criteria. The purpose for this revision is to simplify and clarify the 
review process and increase grantee accountability. In addition, the 
proposed regulations clarify and strengthen the requirements for a 
grantee's evaluation of a project.
     Prior experience (Sec. 645.32). The proposed regulations 
revise the criteria for the evaluation of a grantee's prior experience 
to focus on project outcomes.
     Project size (Sec. 645.43(a)). The proposed regulations 
establish a minimum number of participants residing in the target area 
who must be served by a project in each budget period, and permit that 
number to be reduced if the grant amount for the budget period is less 
than $190,000. The proposed regulations require that Veterans Upward 
Bound projects serve at least 120 participants during each budget 
period, and that all other Upward Bound projects serve at least 50 
participants in each budget period. Coupled with the new definition of 
``participant'' in Sec. 645.6 and the new recordkeeping requirements 
for participants in Sec. 645.43(c), this provision is intended to 
ensure that projects provide a reasonable level of services to a 
significant number of recipients. This intended result is consistent 
with section 402A(b)(3) of the HEA, which establishes a $190,000 
minimum grant level for awards beginning in fiscal year 1994, unless 
the applicant requests a lesser amount.
     Project period (Sec. 645.34). The proposed regulations 
implement a statutory provision that expands the project period to four 
years--or five years in the case of applications that receive peer 
review scores in the highest 10 percent of all scores for approved new 
projects.
Executive Order 12866

Clarity of the Regulations

    Executive Order 12866 requires each agency to write regulations 
that are easy to understand.
    The Secretary invites comments on how to make these regulations 
easier to understand, including answers to questions such as the 
following: (1) Are the requirements in the regulations clearly stated? 
(2) Do the regulations contain technical terms or other wording that 
interferes with their clarity? (3) Does the format of the regulations 
(grouping and order of sections, use of headings, paragraphing, etc.) 
aid or reduce their clarity? Would the regulations be easier to 
understand if they were divided into more (but shorter) sections? (A 
``section'' is preceded by the symbol ``Sec. '' and a numbered heading; 
for example, Sec. 645.20. (4) Is the description of the proposed 
regulations in the Supplementary Information section of this preamble 
helpful in understanding the proposed regulations? How could this 
description be more helpful in making the proposed regulations easier 
to understand? (5) What else could the Department do to make the 
regulations easier to understand?
    A copy of any comments that concern whether these proposed 
regulations are easy to understand should also be sent to Stanley 
Cohen, Regulations Quality Officer, U.S. Department of Education, 400 
Maryland Avenue, SW. (Room 5125, FOB-6), Washington, DC 20202-2241.

Regulatory Flexibility Act Certification

    The Secretary certifies that these proposed regulations would not 
have a significant economic impact on a substantial number of small 
entities. The small entities that would be affected by these 
regulations are small institutions of higher education, other agencies 
and organizations, and secondary schools that receive Federal funds 
under this program. However, the regulations would not have a 
significant economic impact on the small entities affected because the 
regulations would not impose excessive regulatory burdens or require 
unnecessary Federal supervision. The regulations would impose minimal 
requirements to ensure the proper expenditure of program funds.

Paperwork Reduction Act of 1980

    Sections 645.4, 645.31, 645.32, and 645.43 contain information 
collection requirements. As required by the Paperwork Reduction Act of 
1980, the Department of Education will submit a copy of these sections 
to the Office of Management and Budget (OMB) for its review. (44 U.S.C. 
3504(h)).
    Institutions of higher education; public and private agencies and 
organizations; combinations of institutions, agencies, and 
organizations; and secondary schools are eligible to apply for grants 
under these regulations. The Department needs and uses the application 
data and information to make grants. Annual grantee reporting is 
estimated to average 40 hours per response for over 600 respondents, 
including the time for reviewing instructions, searching existing data 
sources, gathering and maintaining the data needed, and completing and 
reviewing the collection of information.
    Organizations and individuals desiring to submit comments on the 
information collection requirement should direct them to the Office of 
Information and Regulatory Affairs, OMB, Room 10235, New Executive 
Office Building, Washington, DC 20504; Attention: Daniel J. Chenok.

Intergovernmental Review

    This program is subject to the requirements of Executive Order 
12372 and the regulations in 34 CFR Part 79. The objective of the 
Executive order is to foster an intergovernmental partnership and a 
strengthened federalism by relying on processes developed by State and 
local governments for coordination and review of proposed Federal 
financial assistance.
    In accordance with the order, this document is intended to provide 
early notification of the Department's specific plans and actions for 
this program.

Invitation to Comment

    Interested persons are invited to submit comments and 
recommendations regarding these proposed regulations.
    All comments submitted in response to these proposed regulations 
will be available for public inspection during and after the comment 
period in Room 5065, FOB-6, 400 Maryland Avenue, SW., Washington, DC., 
between the hours of 8:30 a.m. and 4 p.m., Monday through Friday of 
each week except Federal holidays.

Assessment of Educational Impact

    The Secretary particularly requests comments on whether the 
proposed regulations in this document would require transmission of 
information that is being gathered by or is available from any other 
agency or authority of the United States.

List of Subjects in 34 CFR Part 645

    Colleges and Universities, Education of disadvantaged, Grant 
programs--education, Reporting and recordkeeping requirements, 
Secondary education.

    Dated: August 17, 1994.
David A. Longanecker,
Assistant Secretary, Office of Postsecondary Education.
(Catalog of Federal Domestic Assistance Number 84.047, Upward Bound 
Program.)

    The Secretary proposes to amend Title 34 of the Code of Federal 
Regulations by revising Part 645 to read as follows:

PART 645--UPWARD BOUND PROGRAM

Subpart A--General

Sec.
645.1  What is the Upward Bound Program?
645.2  Who is eligible for a grant?
645.3  Who is eligible to participate in an Upward Bound project?
645.4  What are the grantee requirements with respect to low income 
and first-generation participants?
645.5  What regulations apply?
645.6  What definitions apply to the Upward Bound Program?

Subpart B--What Kinds of Projects and Services Does the Secretary 
Assist Under This Program?

645.10  What kinds of projects are supported under the Upward Bound 
Program?
645.11  What services do all Upward Bound projects provide?
645.12  How are regular Upward Bound projects organized?
645.13  What additional services do Math and Science Upward Bound 
projects provide and how are they organized?
645.14  What additional services do Veterans Upward Bound projects 
provide?

Subpart C--How Does One Apply for an Award?

645.20  How many applications for an Upward Bound award may an 
eligible applicant submit?
645.21  What assurances must an applicant include in an application?

Subpart D--How Does the Secretary Make a Grant?

645.30  How does the Secretary decide which grants to make?
645.31  What selection criteria does the Secretary use?
645.32  How does the Secretary evaluate prior experience?
645.33  How does the Secretary set the amount of a grant?
645.34  How long is a project period?

Subpart E--What Conditions Must Be Met by a Grantee?

645.40  What are allowable costs?
645.41  What are unallowable costs?
645.42  What are Upward Bound stipends?
645.43  What other requirements must a grantee meet?

    Authority: 20 U.S.C. 1070a-11 and 1070a-13, unless otherwise 
noted.

Subpart A--General


Sec. 645.1  What is the Upward Bound Program?

    (a) The Upward Bound Program provides Federal grants to projects 
designed to generate in program participants the skills and motivation 
necessary to persist in completing a program of secondary education and 
enter and complete a program of postsecondary education.
    (b) The Upward Bound Program provides Federal grants for the 
following three types of projects:
    (1) Regular Upward Bound projects.
    (2) Upward Bound Math and Science projects.
    (3) Veterans Upward Bound projects.

(Authority: 20 U.S.C. 1070a-11 and 1070a-13)


Sec. 645.2  Who is eligible for a grant?

    The following entities are eligible to apply for a grant to carry 
out an Upward Bound project:
    (a) Institutions of higher education.
    (b) Public or private agencies or organizations.
    (c) Secondary schools, in exceptional cases, if there are no other 
applicants capable of providing this program in the target area or 
areas to be served by the proposed project.
    (d) A combination of the types of institutions, agencies, and 
organizations described in paragraphs (a) and (b) of this section.

(Authority: 20 U.S.C 1070a-11 and 1070a-13)


Sec. 645.3  Who is eligible to participate in an Upward Bound project?

    An individual is eligible to participate in a Regular, Math and 
Science, or Veterans Upward Bound project if the individual meets all 
of the following requirements:
    (a)(1) Is a citizen or national of the United States.
    (2) Is a permanent resident of the United States.
    (3) Is in the United States for other than a temporary purpose and 
provides evidence from the Immigration and Naturalization Service of 
his or her intent to become a permanent resident.
    (4) Is a permanent resident of Guam, the Northern Mariana Islands, 
or the Trust Territory of the Pacific Islands.
    (5) Is a resident of the Freely Associated States--the Federated 
States of Micronesia or the Republic of the Marshall Islands.
    (b) Is--(1) A potential first-generation college student; or
    (2) A low-income individual.
    (c) Has a need for academic support, as determined by the grantee, 
in order to pursue successfully a program of education beyond high 
school.
    (d) At the time of initial selection, has completed the eighth 
grade but has not entered the twelfth grade and is at least 13 years 
old, but not older than 19. However, a veteran as defined in 
Sec. 645.6, regardless of age, is eligible to participate in an Upward 
Bound project if he or she satisfies the eligibility requirements in 
paragraphs (a), (b), and (c) of this section.

(Authority: 20 U.S.C. 1070a-11 and 1070a-13)


Sec. 645.4  What are the grantee requirements with respect to low 
income and first-generation participants?

    (a) At least two-thirds of the eligible participants a grantee 
serves must at the time of initial selection qualify as both low-income 
individuals and potential first-generation college students. The 
remaining participants must, at the time of initial selection, qualify 
as either low-income individuals or potential first generation college 
students.
    (b) For purposes of documenting a participant's low-income status 
the following applies:
    (1) In the case of a student who is not an independent student, an 
institution shall document that the student is a low-income individual 
by obtaining and maintaining--
    (i) A signed statement from the student's parent or legal guardian 
regarding family income;
    (ii) Verification of family income from another governmental 
source;
    (iii) A signed financial aid application; or
    (iv) A signed United States or Puerto Rican income tax return.
    (2) In the case of a student who is an independent student, an 
institution shall document that the student is a low-income individual 
by obtaining and maintaining--
    (i) A signed statement from the student regarding family income;
    (ii) Verification of family income from another governmental 
source;
    (iii) A signed financial aid application; or
    (iv) A signed United States or Puerto Rican income tax return.
    (c) For purposes of documenting potential first generation college 
student status, documentation consists of a signed statement from a 
dependent participant's parent, or a signed statement from an 
independent participant.
    (d) A grantee does not have to revalidate a participant's 
eligibility after the participant's initial selection.

(Authority: 20 U.S.C. 1070d, and 1070d-1a)


Sec. 645.5   What regulations apply?

    The following regulations apply to the Upward Bound Program:
    (a) The Education Department General Administrative Regulations 
(EDGAR) as follows:
    (1) 34 CFR Part 74 (Administration of Grants to Institutions of 
Higher Education, Hospitals, and Nonprofit Organizations);
    (2) 34 CFR Part 75 (Direct Grant Programs), except for 34 CFR 
75.511;
    (3) 34 CFR Part 77 (Definitions that Apply to Department 
Regulations), except for the definition of ``secondary school'' in 34 
CFR 77.1;
    (4) 34 CFR Part 79 (Intergovernmental Review of Department of 
Education Programs and Activities);
    (5) 34 CFR Part 82 (New Restrictions on Lobbying);
    (6) 34 CFR Part 85 (Governmentwide Debarment and Suspension 
(Nonprocurement) and Governmentwide Requirements for Drug-Free 
Workplace (Grants));
    (7) 34 CFR Part 86 (Drug-Free Schools and Campuses);
    (b) The regulations in this Part 645.

(Authority: 20 U.S.C. 1070a-11 and 1070a-13)


Sec. 645.6   What definitions apply to the Upward Bound Program?

    (a) Definitions in EDGAR. The following terms used in this part are 
defined in 34 CFR 77.1:

Applicant
Application
Award
Budget
Budget period
EDGAR
Equipment
Facilities
Grant
Grantee
Project
Project period
Secretary
State
Supplies

    (b) Other Definitions. The following definitions also apply to this 
part:
    Family taxable income means--
    (1) With regard to a dependent student, the taxable income of the 
individual's parents;
    (2) With regard to a dependent student who is an orphan or ward of 
the court, no taxable income.
    (3) With regard to an independent student, the taxable income of 
the student and his or her spouse.
    HEA means the Higher Education Act of 1965, as amended.
    Independent student means a student who--
    (1) Is an orphan or ward of the court;
    (2) Is a veteran of the Armed Forces of the United States (as 
defined in this section);
    (3) Is a married individual; or
    (4) Has legal dependents other than a spouse.
    Institution of higher education means an educational institution as 
defined in sections 1201(a) and 481 of the HEA.
    Limited English proficiency with reference to an individual, means 
an individual whose native language is other than English and who has 
sufficient difficulty speaking, reading, writing, or understanding the 
English language to deny that individual the opportunity to learn 
successfully in classrooms in which English is the language of 
instruction.
    Low-income individual means an individual whose family taxable 
income did not exceed 150 percent of the poverty level amount in the 
calendar year preceding the year in which the individual initially 
participates in the project. The poverty level amount is determined by 
using criteria of poverty established by the Bureau of the Census of 
the U.S. Department of Commerce.
    Organization/Agency means an entity that is legally authorized to 
operate programs such as Upward Bound in the State where it is located.
    Participant means an individual who--(1) Is determined to be 
eligible to participate in the project under Sec. 645.3;
    (2) Except for veterans, is enrolled in a target school; and
    (3) Has received more than one month of project services.
    Potential first-generation college student means--
    (1) An individual neither of whose parents received a baccalaureate 
degree; or
    (2) A student who, prior to the age of 18, regularly resided with 
and received support from only one parent and whose supporting parent 
did not receive a baccalaureate degree.
    Secondary school means a school that provides secondary education 
as determined under State law.
    Target area means a discrete geographic area--as determined by the 
applicant--to be served by an Upward Bound project.
    Target school means a school designated by the applicant as a focus 
of project services.
    Veteran means a person who served on active duty as a member of the 
Armed Forces of the United States--
    (1) For a period of more than 180 days, any part of which occurred 
after January 31, 1955, and who was discharged or released from active 
duty under conditions other than dishonorable; or
    (2) After January 31, 1955, and who was discharged or released from 
active duty because of a service-connected disability.

(Authority: 20 U.S.C. 1001 et seq., 1070a-11, 1070a-13, 1088, 1141, 
1141a, and 3283(a)).

Subpart B--What Kinds of Projects and Services Does the Secretary 
Assist Under This Program?


Sec. 645.10   What kinds of projects are supported under the Upward 
Bound program?

    The Secretary provides grants to the following three types of 
Upward Bound projects:
    (a) Regular Upward Bound projects designed to prepare high school 
students for programs of postsecondary education.
    (b) Upward Bound Math and Science projects designed to prepare high 
school students for postsecondary education programs and careers in the 
fields of math and science.
    (c) Veterans Upward Bound projects designed to assist veterans to 
prepare for a program of postsecondary education.

(Authority: 20 U.S.C. 1070a-11 and 1070a-13)


Sec. 645.11   What services do all Upward Bound projects provide?

    (a) An Upward Bound project that has received funds under this part 
for at least two years must provide as part of its core curriculum, 
instruction in--
    (1) Mathematics through pre-calculus;
    (2) Laboratory science;
    (3) Foreign language;
    (4) Composition; and
    (5) Literature.
    (b) All Upward Bound projects may provide such services as--
    (1) Instruction in subjects other than those listed in 
Sec. 645.11(a) that are necessary for success in education beyond high 
school;
    (2) Personal counseling;
    (3) Academic advice and assistance in secondary school course 
selection;
    (4) Tutorial services;
    (5) Exposure to cultural events, academic programs, and other 
educational activities not usually available to disadvantaged youths;
    (6) Activities designed to acquaint youths participating in the 
project with the range of career options available to them;
    (7) Instruction designed to prepare youths participating in the 
project for careers in which persons from disadvantaged backgrounds are 
particularly underrepresented;
    (8) Mentoring programs involving elementary or secondary school 
teachers, faculty members at institutions of higher education, students 
or any combination of these person and other professional individuals; 
and
    (9) Programs and activities such as those described in paragraphs 
(b)(1) through (b)(8) of this section that are specifically designed 
for individuals with limited proficiency in English.

(Authority: 20 U.S.C. 1070a-13)


Sec. 645.12   How are regular Upward Bound projects organized?

    (a) Regular Upward Bound projects--
    (1) Must provide participants with a summer instructional component 
that is designed to simulate a college-going experience for 
participants, and an academic year component; and
    (2) May provide a summer bridge component to those Upward Bound 
participants who have graduated from secondary school and intend to 
enroll in an institution of higher education in the following fall 
term. A summer bridge component provides participants with services and 
activities, including college courses, that aid in the transition from 
secondary education to postsecondary education.
    (b) A summer instructional component shall--
    (1) Be six weeks in length unless the grantee can demonstrate to 
the Secretary that a shorter period will not hinder the effectiveness 
of the project nor prevent the project from achieving its goals and 
objectives, and the Secretary approves that shorter period; and
    (2) Provide participants with the services described in Sec. 645.11 
on a daily basis.
    (c)(1) Except as provided in paragraph (c)(2) of this section, an 
academic year component shall provide program participants with the 
services described in Sec. 645.11 on a weekly basis throughout the 
academic year, and to the extent possible shall not prevent 
participants from fully participating in academic and nonacademic 
activities at the participants secondary school.
    (2) If an Upward Bound project's location or the project's staff 
are not readily accessible to participants because of distance or lack 
of transportation, the grantee may, with the Secretary's permission, 
provide project services to participants every two weeks during the 
academic year.

(Authority: 20 U.S.C. 1070a-13)


Sec. 645.13   What additional services do Math and Science Upward Bound 
projects provide and how are they organized?

    (a) In addition to the services that must be provided under 
Sec. 645.11(a) and may be provided in Sec. 645.11(b), a Math and 
Science Upward Bound project must provide--
    (1) Intensive instruction in mathematics and science including 
hands-on experience in laboratories, field-sites and state-of-the-art 
computer facilities;
    (2) Activities that will involve participants with research faculty 
from the applicant institution;
    (3) Activities that will involve participants with graduate and 
undergraduate science and mathematics majors who may serve as tutors 
and counselors for participants; and
    (b) A Math and Science Upward Bound project must provide--
    (1) A summer component in the manner described in Sec. 645.12(b); 
and
    (2) An academic year component during which the project provides 
services to participants at least once a month.

(Authority: 20 U.S.C. 1070a-11 and 1070a-13)


Sec. 645.14   What additional services do Veterans Upward Bound 
projects provide?

    In addition to the services that must be provided under 
Sec. 645.11(a) and may be provided under Sec. 645.11(b), a Veterans 
Upward Bound project must--
    (a) Provide intensive basic skills development in those academic 
subjects required for successful completion of a high school 
equivalency program and for admission to postsecondary education 
programs;
    (b) Provide short-term remedial or refresher courses for veterans 
who are high school graduates but who have delayed pursuing 
postsecondary education. If the grantee is an institution of higher 
education, these courses shall not duplicate courses otherwise 
available to veterans at the institution; and
    (c) Assist veterans in securing support services from other locally 
available resources such as the Veterans Administration, State veterans 
agencies, veterans associations, and other State and local agencies 
that serve veterans.

(Authority: 20 U.S.C. 1070a-11 and 1070a-13)

Subpart C--How Does One Apply for an Award?


Sec. 645.20   How many applications for an Upward Bound award may an 
eligible applicant submit?

    (a) The Secretary accepts more than one application from an 
eligible entity so long as the additional applications describe 
projects that serve different populations; i.e., a group of potential 
participants that cannot readily be served under the applicant's other 
application due to differences in geographical location, academic 
level, curricular emphasis, or age.
    (b) Each application for funding under the Upward Bound program 
shall state whether the application proposes a Regular Upward Bound 
project, a Math and Science Upward Bound project, or a Veterans Upward 
Bound project.

(Authority: 20 U.S.C. 1070a-11 and 1070 a-13)


Sec. 645.21   What assurances must an applicant include in an 
application?

    An applicant must assure the Secretary that--
    (a) Not less than two-thirds of the project's participants will be 
low-income individuals who are potential first generation college 
students; and
    (b) That the remaining participants be either low-income 
individuals or potential first generation college students.

(Authority 20 U.S.C. 1070a-13)

Subpart D--How Does the Secretary Make a Grant?
Sec. 645.30   How does the Secretary decide which grants to make?

    (a) The Secretary evaluates an application for a grant as follows:
    (1)(i) The Secretary evaluates the application on the basis of the 
selection criteria in Sec. 645.31.
    (ii) The maximum score for all the criteria in Sec. 645.31 is 100 
points. The maximum score for each criterion is indicated in 
parentheses with the criterion.
    (2)(i) If an applicant for a new grant proposes to continue to 
serve substantially the same target population or schools that the 
applicant is serving under an expiring project, the Secretary evaluates 
the applicant's prior experience in delivering services under the 
expiring Upward Bound project on the basis of the criteria in 
Sec. 645.32.
    (ii) The maximum score for all the criteria in Sec. 645.32 is 15 
points. The maximum score for each criterion is indicated in 
parentheses with the criterion.
    (b) The Secretary makes grants in rank order on the basis of the 
application's total scores under paragraphs (a)(1) and (a)(2) of this 
section.
    (c) If the total scores of two or more applications are the same 
and there are insufficient funds for these applications after the 
approval of higher-ranked applications, the Secretary uses whatever 
remaining funds are available to serve geographic areas that have been 
underserved by the Upward Bound program.
    (d) The Secretary may decline to make a grant to an applicant that 
carried out a project that involved the fraudulent use of funds under 
section 402A(c)(2)(B) of the HEA.

(Authority: 20 U.S.C. 1070a-11, 1070a-13)


Sec. 645.31   What selection criteria does the Secretary use?

    The Secretary uses the following criteria to evaluate an 
application for a grant:
    (a) Need for the project (24 points). In determining need for an 
Upward Bound project, the Secretary reviews each type of project 
(Regular, Math and Science, or Veterans) using different need criteria. 
The criteria for each type of project contain the same total weight of 
24 points and are as follows:
    (1) The Secretary evaluates the need for a Regular Upward Bound 
project in the proposed target area on the basis of--(i) High school 
dropout rates in the target area;
    (ii) College-going rates of the high schools in the target area;
    (iii) Student/counselor ratios of the high schools in the target 
area;
    (iv) Income level of families within the target area;
    (v) Education attainment levels of families within the target area; 
and
    (vi) Unaddressed academic, social, or economic problems of low-
income, potentially first-generation students in the target area.
    (2) The Secretary evaluates the need for an Upward Bound Math and 
Science project in the proposed target area on the basis of--
    (i) The extent to which student performance on standardized 
aptitude or achievement tests in mathematics and science in the 
proposed target schools, is lower than State and national norms.
    (ii) The extent to which target schools lack the resources to offer 
a full range of mathematics and science courses, which are 
prerequisites for entry into postsecondary programs in mathematics, 
science, or engineering;
    (iii) The extent to which attendance data, dropout rates, college-
going rates and student/counselor ratios in the target schools indicate 
the importance of having additional educational opportunities available 
to low-income, first-generation students; and
    (iv) The extent to which there are eligible students in the target 
schools who have demonstrated interest and capacity to pursue academic 
programs and careers in mathematics and science, and who could benefit 
from an Upward Bound Math and Science program.
    (3) The Secretary evaluates the need for a Veterans Upward Bound 
project in the proposed target area on the basis of clear evidence that 
shows--
    (i) The proposed target area lacks the services for eligible 
veterans that the applicant proposes to provide;
    (ii) A large number of veterans who reside in the target area are 
low income and potential first generation;
    (iii) A large number of veterans who reside in the target area, 
have not completed high school or, have completed high school but have 
not enrolled in a program of postsecondary education; and
    (iv) Other indicators of need for a Veterans Upward Bound project, 
including the presence of unaddressed academic or socio-economic 
problems of veterans in the area.
    (b) Objectives (9 points). The Secretary evaluates the quality of 
the applicant's proposed project objectives on the basis of the extent 
to which they--
    (1) Include both process and outcome objectives relating to the 
purpose of the applicable Upward Bound programs for which they are 
applying;
    (2) Address the needs of the target area or target population; and
    (3) Are measurable, ambitious, and attainable over the life of the 
project.
    (c) Plan of operation (30 points). The Secretary determines the 
quality of the applicant's plan of operation by assessing the quality 
of--
    (1) The plan for identifying, recruiting, and selecting 
participants to be served by the project;
    (2) The plan for assessing individual participant needs and for 
monitoring the academic growth of participants while they are in an 
Upward Bound project;
    (3) A follow-up plan for tracking the academic accomplishments of 
participants after they are no longer participating in the Upward Bound 
project;
    (4) The plan for locating the project within the applicant's 
organizational structure, and the plan to inform the applicant 
community of the goals and objectives of the project;
    (5) The various services and activities to be provided to project 
participants and their parents;
    (6) The extent to which the timelines presented are appropriate for 
accomplishing critical elements of the project;
    (7) The extent to which proposed services and activities relate 
logically to the needs in the target area;
    (8) The plan to ensure effective and efficient administration of 
the project, including, but not limited to matters such as financial 
management, quality control, student records management, personnel 
management, and the plan for coordinating the Upward Bound project with 
other programs for disadvantaged students;
    (9) The quality of the applicants plan to use its resources and 
personnel to achieve project objectives; and
    (10) The plan to work cooperatively with key administrative, 
teaching and counseling personnel at the target schools to achieve 
project objectives.
    (d) Applicant and community support (16 points). The Secretary 
evaluates the applicant and community support for the proposed project 
on the basis of the extent to which the applicant demonstrates that--
    (1) The applicant is committed to supplementing the project with 
resources such as space, furniture and equipment, supplies, and 
personnel that enhance the project;
    (2) The applicant has secured written commitments of support from 
schools, community organizations, and businesses, including the 
commitment of resources that will enhance the project as described in 
paragraph (d)(1) of this section.
    (e) Quality of personnel (8 points). To determine the quality of 
personnel the applicant plans to use, the Secretary looks for 
information that shows--
    (1) The qualifications required of the project director, including 
formal educational training in fields related to the objectives of the 
project and experience in designing, managing, or implementing similar 
projects;
    (2) The qualifications required of each of the other personnel to 
be used in the project, including formal educational training and work 
experience in fields related to the objectives of the project; and
    (3) The quality of the applicant's plan for employing personnel who 
have succeeded in overcoming barriers similar to those confronting the 
project's target population.
    (f) Budget and cost effectiveness (5 points). The Secretary reviews 
each application to determine the extent to which--
    (1) The budget for the project is adequate to support planned 
project services and activities; and
    (2) Costs are reasonable in relation to the objectives and scope of 
the project.
    (g) Evaluation plan (8 points). The Secretary evaluates the quality 
of the evaluation plan for the project on the basis of the extent to 
which the applicant's methods of evaluation--
    (1) Are appropriate to the project and include both quantitative 
and qualitative evaluation measures; and
    (2) Examine in specific and measurable ways, the success of the 
project in--
    (i) Making progress toward achieving its process objectives; and
    (ii) Achieving its outcomes objectives.

(Authority: 20 U.S.C. 1070a-16)


Sec. 645.32    How does the Secretary evaluate prior experience?

    (a) In the case of an application described in Sec. 645.30(a)(2), 
the Secretary reviews information relating to an applicant's 
performance under its expiring Upward Bound grant. This information 
includes information derived from annual performance reports, audit 
reports, site visit reports, project evaluation reports, and any other 
verifiable information submitted by the applicant.
    (b) The Secretary evaluates the applicant's prior experience in 
delivering services on the basis of the following criteria:
    (1) (3 points) Whether the applicant consistently provided services 
to the number of participants required to be served under the approved 
application;
    (2) (3 points) The extent to which project participants' 
competencies, aptitude and motivation necessary for entry into an 
educational program beyond high school have improved;
    (3) (3 points) The extent to which project participants are 
retained in the project throughout their secondary education program;
    (4) (3 points) The extent to which project participants undertake 
programs of postsecondary education upon completion of project 
activities and secondary education; and
    (5) (3 points) The extent to which former project participants 
succeeded in education beyond high school, including the extent to 
which they graduate from postsecondary education programs;

(Authority: 20 U.S.C. 1070a-11 and 1070a-13)


Sec. 645.33  How does the Secretary set the amount of a grant?

    (a) The Secretary sets the amount of a grant on the basis of--
    (1) 34 CFR 75.232 and 75.233, for new grants; and
    (2) 34 CFR 75.253, for the second and subsequent years of a project 
period.
    (b) If the circumstances described in section 402A(b)(3) of the HEA 
exist, the Secretary uses the available funds to set the amount of the 
grant beginning in fiscal year 1995 at the lesser of--
    (1) $190,000; or
    (2) The amount requested by the applicant.

(Authority: 20 U.S.C. 1070a-11)


Sec. 645.34  How long is a project period?

    (a) Except as provided in paragraph (b) of this section, a project 
period under the Upward Bound program is four years.
    (b) The Secretary approves a project period of five years for 
applications that score in the highest ten percent of all applications 
approved for new grants under the criteria in Sec. 645.31.

(Authority: 20 U.S.C. 1070a-11)

Subpart E--What Conditions Must Be Met by a Grantee?


Sec. 645.40  What are allowable costs?

    The cost principles that apply to the Upward Bound Program are in 
34 CFR Part 74, Subpart Q. Allowable costs include the following if 
they are reasonably related to the objectives of the project:
    (a) In-service training of project staff.
    (b) Rental of space if space is not available at the host 
institution and the space rented is not owned by the host institution.
    (c) For participants in an Upward Bound residential summer 
component, room and board--computed on a weekly basis--not to exceed 
the weekly rate the host institution charges regularly enrolled 
students at the institution.
    (d) Room and board for those persons responsible for dormitory 
supervision of participants during a residential summer component.
    (e) Educational pamphlets and similar materials for distribution at 
workshops for the parents of participants.
    (f) Student activity fees for Upward Bound participants.
    (g) Admissions fees, transportation, Upward Bound T-shirts, and 
other costs necessary to participate in field trips, attend educational 
activities, visit museums, and attend other events that have as their 
purpose the intellectual, social, and cultural development of 
participants.
    (h) Costs for one project-sponsored banquet or ceremony.
    (i) Tuition costs for postsecondary credit courses at the host 
institution for participants in the summer bridge component.
    (j)(1) Accident insurance to cover any injuries to a project 
participant while participating in a project activity; and
    (2) Medical insurance and health service fees for the project 
participants while participating full-time in the summer component.
    (k) Courses in English language instruction for project 
participants with limited proficiency in English, only if these classes 
are not available at a target school.
    (l) Transportation costs of participants for regularly scheduled 
project activities.
    (m) Transportation, meals, and overnight accommodations for staff 
members when they are required to accompany participants in project 
activities such as field trips.
    (n) Purchase of computer hardware, computer software, or other 
equipment for student development, project administration and 
recordkeeping, if the applicant demonstrates to the Secretary's 
satisfaction that the equipment is required to meet the objectives of 
the project more economically or efficiently.

(Authority: 20 U.S.C. 1070a-11 and 1070a-13)


Sec. 645.41  What are unallowable costs?

    Costs that may not be charged against a grant under this program 
include the following:
    (a) Research not directly related to the evaluation or improvement 
of the project.
    (b) Meals for staff except as provided in Sec. 645.40(d) and (m) 
and in paragraph (c) of this section.
    (c) Room and board for administrative and instructional staff 
personnel who do not have responsibility for dormitory supervision of 
project participants during a residential summer component, unless 
these costs are approved by the Secretary.
    (d) Room and board for participants in Veterans Upward Bound 
projects.
    (e) Construction, renovation or remodeling of any facilities.
    (f) Tuition, stipends, or any other form of student financial 
support for project staff.

(Authority: 20 U.S.C. 1070a-11 and 1070a-13)


Sec. 645.42  What are Upward Bound stipends?

    (a) An Upward Bound project may provide stipends for all 
participants who participate on a full-time basis.
    (b) In order to receive the stipend, the participant must show 
evidence of satisfactory participation in activities of the project 
including--
    (1) Regular attendance; and
    (2) Performance in accordance with standards established by the 
grantee and described in the application.
    (c) The grantee may prorate the amount of the stipend according to 
the number of the scheduled sessions in which the student participated.
    (d) The following rules govern the amounts of stipends a grantee is 
permitted to provide:
    (1) For Regular Upward Bound projects and Upward Bound Math and 
Science projects--
    (i) For the academic year component, the stipend may not exceed $40 
per month; and
    (ii) For the summer component, the stipend may not exceed $60 per 
month.
    (2) For Veterans Upward Bound projects, the stipend may not exceed 
$40 per month.

(Authority: 20 U.S.C. 1070a-11 and 1070a-13)


Sec. 645.43  What other requirements must a grantee meet?

    (a) Number of participants. (1) In each budget period, Regular 
Upward Bound projects shall serve between 50 and 150 participants and 
Upward Bound Math and Science projects shall serve between 50 and 75 
participants.
    (2) Veterans Upward Bound projects shall serve a minimum of one 
hundred and twenty veterans in each budget period.
    (3) The Secretary may waive the requirements of paragraphs (a)(1) 
and (a)(2) of this section if the applicant can demonstrate that the 
project will be more cost effective and consistent with the objectives 
of the project if a greater or lesser number of participants will be 
served.
    (b) Project director. (1) A grantee shall employ a full-time 
project director unless paragraph (b)(3) of this section applies.
    (2) The grantee shall give the project director sufficient 
authority to administer the project effectively.
    (3) The Secretary waives the requirement in paragraph (b)(1) of 
this section if the applicant demonstrates that the requirement will 
hinder coordination--
    (i) Among the Federal TRIO Programs; or
    (ii) Between the programs funded under sections 402A through 410 of 
the HEA and similar programs funded through other sources.
    (c) Recordkeeping. For each participant, a grantee shall maintain a 
record of--
    (1) The basis for the grantee's determination that the participant 
is eligible to participate in the project under Sec. 645.3;
    (2) The basis for the grantee's determination that the participant 
has a need for academic support in order to pursue successfully a 
program of education beyond secondary school;
    (3) The services that are provided to the participant;
    (4) The educational progress of the participant during high school 
and, to the degree possible, during the participant's pursuit of a 
postsecondary education program.

(Authority: 20 U.S.C. 1070a-11 and 1070a-13).

[FR Doc. 94-21744 Filed 9-1-94; 8:45 am]
BILLING CODE 4000-01-P