[Federal Register Volume 71, Number 127 (Monday, July 3, 2006)]
[Notices]
[Pages 37926-37928]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E6-10398]


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DEPARTMENT OF EDUCATION


Upward Bound Program

AGENCY: Office of Postsecondary Education, Department of Education.

ACTION: Notice of proposed priority.

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SUMMARY: The Assistant Secretary for Postsecondary Education proposes 
to establish a priority under the Upward Bound Program. We are 
proposing to establish this priority to focus Federal resources on 
students most in need of academic assistance and to increase the 
effectiveness of the Upward Bound Program. We propose this priority to 
increase the number of low-income, first generation students with the 
``greatest academic need'' for program services that participate in the 
Upward Bound program, and to provide all Upward Bound participants an 
opportunity to receive services for four years.

DATES: We must receive your comments on or before August 2, 2006.

ADDRESSES: Address all comments about this proposed priority to 
Geraldine Smith, U.S. Department of Education, 1990 K Street, NW., room 
7020, Washington, DC 20006-8512. If you prefer to send your comments 
through the Internet, use the following address: [email protected].
    You must include the term ``Upward Bound Comments'' in the subject 
line of your electronic message.

FOR FURTHER INFORMATION CONTACT: Gaby Watts. Telephone: (202) 502-7545 
or via Internet: [email protected].
    If you use a telecommunications device for the deaf (TDD), you may 
call the Federal Relay Service (FRS) 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 person listed under FOR FURTHER 
INFORMATION CONTACT.

SUPPLEMENTARY INFORMATION:

Invitation To Comment

    We invite you to submit comments regarding this proposed priority.
    We invite you to assist us in complying with the specific 
requirements of Executive Order 12866 and its overall requirement of 
reducing

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regulatory burden that might result from this proposed priority. Please 
let us know of any further opportunities we should take to reduce 
potential costs or increase potential benefits while preserving the 
effective and efficient administration of the program.
    During and after the comment period, you may inspect all public 
comments about this proposed priority in room 7020, 1990 K Street, NW., 
Washington, DC, between the hours of 8:30 a.m. and 4 p.m., Eastern 
time, Monday through Friday of each week except Federal holidays.

Assistance to Individuals With Disabilities in Reviewing the Rulemaking 
Record

    On request, we will supply an appropriate aid, such as a reader or 
print magnifier, to an individual with a disability who needs 
assistance to review the comments or other documents in the public 
rulemaking record for this proposed priority. If you want to schedule 
an appointment for this type of aid, please contact the person listed 
under FOR FURTHER INFORMATION CONTACT.

Background

    The Upward Bound Program is one of eight programs known as the 
Federal TRIO Programs. Under the Upward Bound Program, the Department 
provides discretionary grants to institutions of higher education, 
public and private agencies and organizations, and combinations of 
institutions, agencies and organizations. The Upward Bound Program 
supports projects that are designed to generate, in eligible students, 
the skills and motivation necessary for success in education beyond 
secondary school. Projects under the Upward Bound Program provide, 
among other services, instruction in reading, writing, mathematics, 
science, study skills, and other subjects necessary for success in 
education beyond high school.
    An assessment of the Upward Bound Program using the Office of 
Management and Budget's Program Assessment Rating Tool resulted in an 
``Ineffective'' rating because the program has not been able to 
demonstrate positive overall results. In 1991, Mathematica Policy 
Research, Inc., under contract to the Department of Education, 
initiated an ongoing evaluation of Upward Bound, based on a random 
assignment design. A 2004 report titled, The Impacts of Regular Upward 
Bound: Results from the Third Follow-Up Data Collection (``The 
Study''), found that the overall impact of Upward Bound programs on the 
high school and early college outcomes of participants was not 
significantly different from those of a control group. However, the 
Study did indicate that Upward Bound has a statistically significant 
positive impact on students with lower educational expectations. For 
students with lower educational expectations, i.e., students who did 
not expect to complete a bachelor's degree when they applied to Upward 
Bound, participation in the program more than doubles the likelihood 
those students attend a four-year college or university, raising the 
enrollment rate from 18 percent to 38 percent. For this group of 
students, participation in Upward Bound also improves high school 
preparation for postsecondary education, increasing the total number of 
academic credits earned in high school and the number of Advanced 
Placement credits earned. It also increases early college persistence. 
The Study may be reviewed at: http://www.ed.gov/rschstat/eval/highered/upward/upward-3rd-report.html.
    It is difficult, however, to screen applicants based on their 
educational expectations. There is no reliable way of objectively 
determining a person's expectation. If it became common knowledge that 
students with lower expectations were more likely to be admitted than 
were students with higher expectations, applicants would have a strong 
incentive to understate their educational expectations in the 
application process. We do know that low educational expectations are 
more prevalent among students with high academic risk for failure. 
Therefore, we propose this priority to target the program to students 
with a high academic risk for failure.
    Under this proposed priority, otherwise eligible students deemed to 
have ``high academic risk for failure'' would be those who--
    1. Have not achieved at the proficient level on State assessments 
in reading/language arts for grade eight;
    2. Have not achieved at the proficient level on State assessments 
in math for grade eight; 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.
    These criteria are consistent with the overall purpose and goals of 
the Upward Bound Program. Section 402C(a) of the HEA requires Upward 
Bound projects to be designed to generate skills and motivation 
necessary for success in education beyond secondary school. The 
Department's regulations for the Upward Bound Program in 34 CFR 645.3 
implement this statutory goal in the eligibility requirements for 
participating in an Upward Bound project. Those requirements specify, 
among other things, that a student must have a need for academic 
support, as determined by the grantee, in order to pursue successfully 
a program of education beyond high school. Commonly used criteria for 
determining a student's ``need for academic support'' are the student's 
GPA and performance on standardized tests.
    In addition, by using State academic achievement assessments to 
determine student eligibility for services, Upward Bound projects will 
be able to align their programs with the requirements and activities 
supported by the No Child Left Behind Act of 2001.
    The Study also revealed that, among Upward Bound participants, 35 
percent participate for 1 to 12 months, 28 percent participate for 13 
to 24 months and 36 percent participate for 25 or more months. The 
Study found that 40 percent complete the program, that is, participate 
in Upward Bound through high school graduation. Students who applied 
for Upward Bound in the summer after completing eighth grade typically 
spent more time in Upward Bound than other participants (42 months). 
The Study concluded that, for students who participated in Upward Bound 
for less than two years, an additional year of Upward Bound 
participation could raise the postsecondary enrollment rate by as much 
as nine percentage points. For Upward Bound participants who did not 
complete the program, the Study found that program completion could 
raise postsecondary enrollment by as much as 17 percentage points. 
Therefore, we are proposing in this priority to give students an 
opportunity to receive a minimum of three years, and potentially four 
years of Upward Bound services by targeting projects that propose to 
select all first-time participants from among otherwise eligible 
students who have completed the 8th grade, but not the 9th grade, in 
secondary school.
    To evaluate the outcomes of projects funded under this priority, 
the Department plans to conduct a rigorous evaluation of the impacts of 
the Upward Bound Program. Under 34 CFR 75.591, grantees must cooperate 
in the evaluation. As specified in the proposed priority, any regular 
Upward Bound grantee may be selected to participate in the evaluation. 
Each selected grantee would be required to recruit at least twice as 
many eligible new students in project year 2007-2008 as the grantee 
plans to serve in its project. Of that larger pool of eligible new 
students at

[[Page 37928]]

least 30 percent must meet the definition of ``high academic risk for 
failure.'' Grantees selected to participate in the evaluation would be 
required to refrain from admitting new students into their Upward Bound 
projects for project year 2007-2008 until the evaluator has completed 
its data collection and random assignment for those students. Eligible 
new students will be assigned randomly by the evaluator either to 
participate in Upward Bound or to serve as part of a control group (not 
in Upward Bound).
    We will announce the final priority in a notice in the Federal 
Register. We will determine the final priority after considering 
responses to this notice and other information available to the 
Department. This notice does not preclude us from proposing or funding 
additional priorities, subject to meeting applicable requirements.


    Note: This notice does not solicit applications. In any year in 
which we choose to use this proposed priority, we will invite 
applications through a notice in the Federal Register.

Priority

Proposed Absolute Priority: Upward Bound Program Participant Selection

    This priority supports Upward Bound Program projects that select 
first-time participants from otherwise eligible students who have 
completed the 8th grade but not the 9th grade in secondary school, and 
that select not less than 30 percent of all first-time participants 
from students who have ``high academic risk for failure.''
    Otherwise eligible students deemed to have ``high academic risk for 
failure'' are those who--
    1. Have not achieved at the proficient level on State assessments 
in reading/language arts for grade eight;
    2. Have not achieved at the proficient level on State assessments 
in math for grade eight; 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.
    To meet this priority, an applicant also must agree to conduct its 
Upward Bound project in a manner consistent with the evaluation that 
the Department plans to conduct for the Upward Bound Program. An 
applicant also must agree, if selected to participate in the 
evaluation, to--
    1. Recruit at least twice as many eligible new students in project 
year 2007-2008 as the grantee plans to serve in its project. Of that 
larger pool of eligible new students at least 30 percent must meet the 
definition of ``high academic risk for failure;''
    2. Refrain from admitting new students into its Upward Bound 
project for project year 2007-2008 until the evaluator has completed 
its data collection and random assignment for those students; and
    3. Agree that eligible new students will be assigned randomly by 
the evaluator either to participate in Upward Bound or to serve as part 
of a control group (not in Upward Bound).
    This proposed absolute priority does not apply to the Veterans 
Upward Bound projects and Upward Bound Math/Science projects.

Executive Order 12866

    This notice of proposed priority has been reviewed in accordance 
with Executive Order 12866. Under the terms of the order, we have 
assessed the potential costs and benefits of this regulatory action.
    The potential costs associated with the notice of proposed priority 
are those resulting from statutory requirements and those we have 
determined are necessary for administering this program effectively and 
efficiently.
    In assessing the potential costs and benefits--both quantitative 
and qualitative--of this notice of proposed priority, we have 
determined that the benefits of the proposed priority justify the 
costs.
    We have also determined that this action does not unduly interfere 
with State, local, and tribal governments in the exercise of their 
governmental functions.

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 documents of this 
Department published in the Federal Register, in text or Adobe Portable 
Document Format (PDF) on the Internet at the following site: http://www.ed.gov/news/fedregister.
    To use PDF you must have 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.gpoaccess.gov/nara/index.html.

(Catalog of Federal Domestic Assistance Number 84.047A Upward Bound 
Program)

    Program Authority: 20 U.S.C. 1070a-13.

    Dated: June 28, 2006.
James F. Manning,
Acting Assistant Secretary for Postsecondary Education.
[FR Doc. E6-10398 Filed 6-30-06; 8:45 am]
BILLING CODE 4000-01-P