[Federal Register Volume 68, Number 163 (Friday, August 22, 2003)]
[Notices]
[Pages 50958-50960]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-21582]



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Part VII





Department of Education





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Upward Bound Program Participant Expansion Initiative; Notice

  Federal Register / Vol. 68 , No. 163 / Friday, August 22, 2003 / 
Notices  

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DEPARTMENT OF EDUCATION

RIN 1840-ZA03


Upward Bound Program Participant Expansion Initiative

AGENCY: Office of Postsecondary Education, Department of Education.

ACTION: Notice of final priority.

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SUMMARY: The Secretary of Education announces an absolute priority to 
provide supplemental funds of up to $100,000 in fiscal year (FY) 2003 
to currently funded Upward Bound projects that (1) serve at least one 
target high school in which at least 50 percent of the students were 
eligible for free lunch under the National School Lunch Act (Free Lunch 
program) during the 2001-2002 or 2002-2003 school year, and (2) 
received supplemental funds in FY 2000 under the Upward Bound Program 
Participant Expansion Initiative (UBP-PEI).
    The Secretary further requires that projects that receive 
supplemental funds under this priority will use those funds to select 
and serve students eligible to participate in Upward Bound who (1) 
attend a target high school in which at least 50 percent of the 
students were eligible for free lunch under the National School Lunch 
Act during the 2001-2002 or 2002-2003 school year, and (2) have the 
greatest need for Upward Bound services. Eligible students having the 
greatest need for Upward Bound services are those who:
    1. Have not met the state academic achievement standard for grade 
eight in reading/language arts; or
    2. Have not met the state academic achievement standard for grade 
eight in math; or
    3. Have a grade point average of 2.5 or less (on a 4.0 scale) for 
the most recent school year for which grade point averages are 
available.
    By using state academic achievement assessments to determine 
student eligibility for services, schools can align this initiative 
with the requirements and activities supported by the No Child Left 
Behind Act of 2001, Pub. L. 107-110.
    Applicants not eligible for the absolute priority are invited to 
apply and will be funded, subject to the availability of funds, as 
described in the funding order below. The selected projects must use 
the supplemental funds to provide services to eligible project 
participants with the greatest need for those services.

EFFECTIVE DATE: This priority is effective 30 days after the date of 
publication in the Federal Register.

FOR FURTHER INFORMATION CONTACT: Dr. Margarita Benitez, Sheryl Wilson, 
or Gaby Watts, U.S. Department of Education, 1990 K Street, NW., Room 
7020, Washington, DC 20006-8510. Telephone (202) 502-7600. The e-mail 
address for the Federal TRIO Programs is: [email protected]. The e-mail 
address for Dr. Margarita Benitez is: [email protected].
    If you use a telecommunications device for the deaf (TDD), you may 
call the Federal Information Relay Service (FIRS) at 1-800-877-8339.
    Individuals with disabilities may obtain this document in an 
alternative format (e.g., Braille, large print, audiotape, or computer 
diskette) on request to the contact persons listed in the preceding 
paragraph.

SUPPLEMENTARY INFORMATION: The Secretary of Education published a 
notice of proposed priority in the Federal Register on June 24, 2003 
(68 FR 37469-37470). This notice of final priority contains several 
changes from the notice of proposed priority, which are explained fully 
in the Analysis of Comments and Changes section in this notice.

Background

    In FY 2003, the Congress appropriated funds for the Federal TRIO 
Programs. In examining the options available to the Secretary for 
allocating these funds, the Secretary determined that a portion of the 
funds should be used to increase support to the Upward Bound Program. 
The Upward Bound Program, authorized under section 402C of the Higher 
Education Act of 1965, as amended (HEA), 20 U.S.C. 1070a-13, helps low-
income, potential first-generation college students acquire the skills 
and motivation necessary for success in education beyond secondary 
school.
    The purpose of this supplement is to help the Upward Bound Program 
achieve one of its key performance goals: increasing the college 
enrollment rate of low-income, first generation college students. A 
recent evaluation of the Upward Bound Program found that the program 
has significant effects on higher risk students, but that the program 
was inadequately targeting these students.
    We intend that, under the absolute priority, there will be an 
increase in the number of eligible students with the greatest need who 
are served by the Upward Bound Program. The students with the greatest 
need are generally those from the lowest income levels who have 
potential for college but are not performing successfully in high 
school. The Secretary believes that limiting supplemental funds to 
projects that serve the above described target schools is a good way to 
ensure that projects serve the lowest income students because the Free 
Lunch program is limited to students from families with the lowest 
family income. An estimated 180 current Upward Bound projects could 
receive supplemental funds to serve additional students.
    The effectiveness of UBP-PEI will be ultimately measured by the 
college enrollment rate of these higher-risk, low-income, first 
generation college students who participate in this initiative. 
However, in addition to the ultimate measure of college enrollment, the 
Secretary will also look at ``what works'' in preparing these students 
for college, in order to inform program improvements in Upward Bound. 
Each grantee will be required to work with an independent evaluator 
retained by the Secretary to measure the expansion initiative's 
effectiveness.
    The Secretary will consider requests for $100,000, $75,000, and 
$50,000 under this initiative. An institution that requests $100,000 
must serve at least 20 students, an institution that requests $75,000 
must serve at least 15 students, and an institution that requests 
$50,000 must serve at least 10 students.

    Note: This notice does not solicit applications. In any year in 
which we choose to use this priority, we invite applications through 
a notice in the Federal Register. When inviting applications we 
designate the priority as absolute, competitive preference, or 
invitational. The effect of each type of priority follows:
    Absolute priority: Under an absolute priority we consider only 
applications that meet the priority (34 CFR 75.105(c)(3)).
    Competitive preference priority: Under a competitive preference 
priority we give competitive preference to an application by either 
(1) awarding additional points, depending on how well or the extent 
to which the application meets the competitive priority (34 CFR 
75.105(c)(2)(i)); or (2) selecting an application that meets the 
competitive priority over an application of comparable merit that 
does not meet the priority (34 CFR 75.105(c)(2)(ii)).
    Invitational priority: Under an invitational priority we are 
particularly interested in applications that meet the invitational 
priority. However, we do not give an application that meets the 
invitational priority a competitive or absolute preference over 
other applications (34 CFR 75.105(c)(1)).

Absolute Priority

    Under 34 CFR 75.105(c)(3), the Secretary will give an absolute 
preference to applications that meet the following absolute priority.
    The Secretary will provide supplemental funds of up to 100,000 to

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regular Upward Bound Program projects that:
    1. Were selected for funding under the FY 2003 Upward Bound Program 
competition.
    2. Serve a target high school in which at least 50 percent of the 
students were eligible to receive free lunch under the National School 
Lunch Act during the 2001-2002 or 2002-2003 school year.
    3. Received supplemental funds in FY 2000 under the Notice of Final 
Priority dated July 24, 2000, 65 FR 45698-45699.
    4. (a) Agree to select and serve at least 20 students who are 
eligible for Upward Bound services, attend a target high school in 
which at least 50 percent of the students were eligible to receive free 
lunch under the National School Lunch Act during the 2001-2002 or 2002-
2003 school year and have the greatest need for project services, if 
requesting $100,000.
    (b) Agree to select and serve at least 15 students who are eligible 
for Upward Bound services, attend a target high school in which at 
least 50 percent of the students were eligible to receive free lunch 
under the National School Lunch Act during the 2001-2002 or 2002-2003 
school year and have the greatest need for project services, if 
requesting $75,000.
    (c) Agree to select and serve at least 10 students who are eligible 
for Upward Bound services, attend a target high school in which at 
least 50 percent of the students were eligible to receive free lunch 
under the National School Lunch Act during the 2001-2002 or 2002-2003 
school year and have the greatest need for project services, if 
requesting $50,000.
    Students who have the greatest need for project services are those 
students who:
    (i) Have not met the state academic achievement standard for grade 
eight in reading/language arts;
    (ii) Have not met the state academic achievement standard for grade 
eight in math; or
    (iii) Have a grade point average of 2.5 or less (on a 4.0 scale) 
for the most recent school year for which grade point averages are 
available.
    Veterans Upward Bound projects and Upward Bound Math-Science 
projects are not eligible to participate in this initiative.
    The Secretary will fund applications in the following order:
    1. Applications that meet the absolute priority.
    2. All other applications that meet criteria 1, 2, and 4 above.
    If funds are available after funding all applications that meet the 
absolute priority, the Secretary will select from among the remaining 
applicants that meet criteria 1, 2, and 4 based upon the highest scores 
received (including prior experience points) in the FY 2003 Upward 
Bound grant competition. If there are insufficient funds for all 
applications with the same score, the Secretary will select for funding 
those applicants with the lowest average cost per Upward Bound 
participant (Federal funds only) for the 2001-2002 program year.

Analysis of Comments and Changes

    In response to the Secretary's invitation in the notice of proposed 
priority, thirty-four parties submitted comments. An analysis of the 
comments and of changes in the priority since publication of the notice 
of proposed priority follows. We group major issues by subject. 
Generally, we do not address technical or other minor changes--and 
suggested changes the law does not authorize us to make under the 
applicable statutory authority.

Target School Eligibility

    Comments: Nine commenters responded. Two recommended that 
eligibility be student-centered, that is, that students with the 
academic profile outlined in the notice of proposed priority be 
eligible to participate in the initiative, regardless of whether they 
were enrolled in a target school. Target schools were defined in the 
notice of proposed priority as those ``in which at least 50 percent of 
the students were eligible for free lunch under the National School 
Lunch Act during the 2001-2002 school year and who have the greatest 
need for Upward Bound services.'' One commenter posited that it was 
unfair to exclude low income, high risk students from the initiative 
simply because they were not enrolled in a school with 50 percent or 
more students participating in the Free Lunch program. A third 
commenter suggested that student eligibility should be determined by 
the project.
    Four commenters questioned the reliability of the Free Lunch 
program data as the criterion for eligibility to qualify for funding 
under the initiative. Two remarked that there are more high-poverty 
areas in the country than those indicated by the Free Lunch program 
statistics. According to one commenter, some regions of the country, 
such as Appalachia, have a tradition of low registration in Federal 
programs, such as the Free Lunch program. All four commenters referred 
to a significant drop in Free Lunch program participation from the 
early grades to middle and high school. Two pointed out that teenagers 
are more averse than younger children to register in ``poverty'' 
programs. One suggested that we use data on both the number of 
participants in the Free Lunch program and the number of students who 
qualify for reduced lunch for target school eligibility.
    Discussion: The Secretary agrees with many of the points made by 
the commenters. However, for purposes of this initiative, the Secretary 
believes that the Free Lunch program criterion is a fair, valid, and 
objective measure of low-income and need for Upward Bound services.
    Changes: None.

Date of Eligibility Data

    Comments: Two commenters indicated that Free Lunch program data for 
the 2002-2003 school year was actually easier to obtain and was more 
current than data for the 2001-2002 school year.
    Discussion: The Secretary proposed using data for the 2001-2002 
year in the notice of proposed priority because the Secretary was 
uncertain whether more recent data would be available. If that data is 
available, the Secretary believes that such data may be used.
    Changes: The Secretary will accept Free Lunch program data for 
either the 2001-2002 or the 2002-2003 school year.

Priority for Currently Funded Programs

    Comments: Six commenters addressed this issue. Four supported the 
priority in favor of currently funded projects that participated in the 
FY 2000 expansion initiative, citing their experience, proven 
commitment, and record of success. Two pointed out the existence of 
other experienced and well qualified projects, and suggested that 
others be given the opportunity to serve students from other needy 
areas.
    Discussion: The Secretary understands that there are usually more 
qualified applicants than available funds, and that forces hard 
choices. In order to increase the chance that this initiative will 
succeed, the Secretary has chosen to give an absolute priority to 
experienced Upward Bound projects that have been successful in the past 
working with eligible target schools and that have the staff capacity 
to serve additional students. Nonetheless, the Secretary expects that 
there will be sufficient funds for this initiative to award 
supplemental grants to a few new projects.
    Changes: None.

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Length of Funding for UBP-PEI

    Comments: Four commenters inquired about the expected funding 
period for this initiative.
    Discussion: To the extent that the commenters were questioning 
whether the Secretary planned to provide additional funding in future 
fiscal years, the Secretary anticipates awarding funds under the UBP-
PEI for the next four project/budget years. However, the expenditure of 
funds in the future is always contingent upon Congressional action, 
including the size of the Congressional appropriation for a program in 
a given fiscal year.
    Changes: None.

Requests for Clarification on Student Eligibility

    Comments: Ten commenters asked whether students already enrolled in 
Upward Bound who took part in the previous Upward Bound initiative 
could participate in this year's initiative. Eight commenters asked 
whether all UBP-PEI students must come from the target schools that 
have 50 percent or more students eligible for the Free Lunch program. 
Another commenter asked whether grades of C or less in 8th grade core 
subjects were acceptable if a student's grade point average was 
unavailable.
    Discussion: Students currently being served by Upward Bound 
projects as a consequence of participating in the FY 2000 expansion 
initiative may participate in UBP-PEI as long as they meet all UBP-PEI 
criteria, that is they are eligible Upward Bound participants who are 
enrolled in an eligible target high school and meet one or more of the 
greatest academic need criteria listed in the priority. With regard to 
the second question, for the reasons explained in a previous response, 
all UBP-PEI students must attend eligible target schools. With regard 
to the third question, the Secretary does not wish to add additional 
criteria. Moreover, the third criterion allows a project to use the 
grade point average for the most recent school year for which grade 
point averages are available. Therefore, a relevant grade point average 
will almost always be available.
    Changes: None.

Request To Reduce the Minimum Number of Participants Served

    Comments: One commenter proposed that eligible projects be given 
the opportunity to serve the number of needy participants they could 
manage best. The commenter indicated that project and institutional 
resources may not be sufficient to accommodate and serve well 20 
additional students, yet resources would be available to serve a 
smaller number adequately.
    Discussion: The Secretary considers this suggestion reasonable and 
viable.
    Changes: A project may request three levels of funding, $100,000, 
$75,000, or $50,000. If a project requests $100,000, it must serve at 
least 20 students; if it requests $75,000, it must serve at least 15 
students; if it requests $50,000, it must serve at least 10 students.

Concerns About Local Impediments That Run Counter to UBP-PEI

    Comments: Three commenters identified local or regional situations 
that present difficulties in meeting the UBP-PEI criteria or providing 
the required services. One was the Appalachia situation that was 
mentioned above, a second was small rural schools, and a third was 
jurisdictions like Chicago, where the School Board has mandated 
students who flunk state tests take summer courses so the students 
would be unable to participate in the Upward Bound summer component.
    Discussion: The change discussed above that allows a project to 
apply for three levels of funding should eliminate the first two 
concerns. Jurisdictions like Chicago are providing a valuable service 
to Chicago students, obviating the need for Upward Bound involvement.
    Changes: See preceding change.

Suggestions for Additional Criteria for Student Eligibility

    Comments: Three commenters suggested additional eligibility 
criteria for program participants: limited English proficiency, English 
as a second language, and a grade of C or less in core academic 
subjects.
    Discussion: As stated earlier, a student currently served by Upward 
Bound projects may be eligible to participate in UBP-PEI if the student 
is enrolled in an eligible target high school, and meets one or more of 
the greatest academic need criteria listed in the priority. The 
Secretary does not wish to add additional criteria that may be hard to 
implement consistently across projects nationwide and may confound the 
evaluation of the impact that UBP-PEI has on the individuals served.
    Changes: None.

Intergovernmental Review

    This program is subject to Executive Order 12372 and the 
regulations in 34 CFR part 79. One of the objectives of the Executive 
order is to foster an intergovernmental partnership and a strengthened 
federalism. The Executive order relies on processes developed by State 
and local governments for coordination and review of proposed Federal 
financial assistance.
    This document provides early notification of our specific plans and 
actions for this program.

Applicable Program Regulations

    34 CFR part 645

Electronic Access to This Document

    You may view this document, as well as all other Department of 
Education documents published in the Federal Register, in text or Adobe 
Portable Document Format (PDF) on the Internet at the following site: 
http://www.ed.gov/legislation/FedRegister.html.
    To use PDF, you must have the Adobe Acrobat Reader which is 
available free at this site. If you have questions about using PDF, 
call the U.S. Government Printing Office (GPO), toll free at 1-888-293-
6498; or in the Washington, DC area at (202) 512-1530.

    Note: The official version of this document is the document 
published in the Federal Register. Free Internet access to the 
official edition of the Federal Register and the Code of Federal 
Regulations is available on GPO access at: http://www.access.gpo.gov/nara/index.html.


(Catalog of Federal Domestic Assistance Number 84.047A, Upward Bound 
Program Participant Expansion Initiative)

    Program Authority: 20 U.S.C. 1070.

    Dated: August 18, 2003.
Sally L. Stroup,
Assistant Secretary, Office of Postsecondary Education.
[FR Doc. 03-21582 Filed 8-19-03; 8:45 am]
BILLING CODE 4000-01-P