[Federal Register Volume 82, Number 47 (Monday, March 13, 2017)]
[Notices]
[Pages 13442-13450]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-04801]


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DEPARTMENT OF EDUCATION


Applications for New Awards; Gaining Early Awareness and 
Readiness for Undergraduate Programs (State Grants)

AGENCY: Office of Postsecondary Education, Department of Education.

ACTION: Notice.

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SUMMARY: Gaining Early Awareness and Readiness for Undergraduate 
Programs (GEAR UP): Notice inviting applications for new awards for 
fiscal year (FY) 2017. Catalog of Federal Domestic Assistance (CFDA) 
Number: 84.334S.

DATES: 
    Applications Available: March 13, 2017.
    Deadline for Transmittal of Applications: April 24, 2017.
    Deadline for Intergovernmental Review: June 21, 2017.

FOR FURTHER INFORMATION CONTACT: Karmon Simms-Coates, U.S. Department 
of Education, 400 Maryland Avenue SW., Room 5W250, Washington, DC 
20202-6450. Telephone: (202) 453-7917 or by email: [email protected].
    If you use a TDD or a TTY, call the FRS, toll free, at 1-800-877-
8339.

SUPPLEMENTARY INFORMATION:

Gaining Early Awareness and Readiness for Undergraduate Programs (GEAR 
UP)
Notice inviting applications for new awards for fiscal year (FY) 2017

Full Text of Announcement

I. Funding Opportunity Description

    Purpose of Program: The GEAR UP Program is a discretionary grant 
program that provides funding for academic and related support services 
to eligible low-income students, including students with disabilities 
and English learners, to help them to obtain a secondary school diploma 
and to prepare for and succeed in postsecondary education. Under the 
GEAR UP Program, the Department awards grants to two types of entities: 
(1) States and (2) partnerships comprised, at minimum, of institutions 
of higher education (IHE)s and local educational agencies (LEAs).
    In this notice we invite applications for State grants only. We 
will invite applications for partnership grants in another notice. 
Required services under the GEAR UP Program are specified in sections 
404D(a) of the Higher Education Act of 1965, as amended (HEA) (20 
U.S.C. 1070a-24(a)), and permissible services under the GEAR UP Program 
are specified in section 404D(b) and (c) of the HEA (20 U.S.C. 1070a-
24(b) and (c)). For State grantees, services must include providing 
financial aid information, encouraging enrollment in challenging 
coursework in order to reduce the need for remediation at the 
postsecondary level, implementing activities to improve the number of 
students who obtain a high school diploma and complete applications for 
and enroll in a program of postsecondary education, and provision of 
scholarships as specified in section 404E of the HEA. GEAR UP funds may 
also be used to provide a number of additional support services such as 
mentoring, tutoring, academic English language development, academic 
and career counseling, and exposure to college campuses.

Background

    The GEAR UP Program is a critical component of the Department's 
efforts to improve college access and completion for students who have 
been traditionally underrepresented in postsecondary education. The 
Department believes that GEAR UP projects can play an essential role in 
improving postsecondary outcomes of their participants by placing a 
greater emphasis on increasing readiness for success once students 
reach the postsecondary level.
    Each year, rather than being able to enroll in entry-level general 
education courses in subject areas such as reading or math that are 
required as a part of almost any postsecondary program of study, 
hundreds of thousands of beginning college students are referred to 
noncredit-bearing ``developmental'' or ``remedial'' courses based on 
their performance on a placement test or academic reference. Remedial 
or developmental courses are designed to bring academically 
underprepared students to expected competency levels for college-level 
work.
    Remediation needs are common at all types of colleges. According to 
recent National Center for Education Statistics (NCES) research, 68 
percent of public two-year students and 40 percent of public four-year 
students who began their postsecondary education in 2003 took at least 
one remedial course by 2009.\1\ Remedial course-taking rates are higher 
among some subgroups of students, including African American students, 
Hispanic students, English learners, students from low-income families, 
and first-generation students.\2\
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    \1\ http://nces.ed.gov/pubs2016/2016405.pdf.
    \2\ http://nces.ed.gov/pubs2016/2016405.pdf.
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    Unfortunately, for too many students remedial education represents 
a barrier to postsecondary persistence and completion.\3\ While in 
remediation, students spend time and money, may accumulate debt, add to 
their opportunity costs of lost earnings, and in some cases, deplete a 
significant portion of their eligibility for financial aid. Further, 
available evidence suggests that participation in remedial education, 
especially longer sequences of remedial courses, generally does not 
improve outcomes; on the contrary, data show that students who take 
remedial education courses are more likely to drop out before 
completing a degree.\4\ Remedial education also carries significant 
costs to the Federal

[[Page 13443]]

government and to States, in addition to the costs borne by students 
and families.
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    \3\ MDRC, Unlocking the Gate: What We Know About Improving 
Developmental Education, June 2011 (/www.mdrc.org/sites/default/files/full_595.pdf).
    \4\ Attewell, P.A., Lavin, D.E., Domina, T., & Levey, T., 2006, 
New Evidence on College Remediation, The Journal of Higher 
Education. (www.jstor.org/stable/3838791 (even after controlling for 
high school preparation and family background, taking developmental 
courses reduced the chances of graduation at four-year colleges and 
universities by 6 to 7 percent). Thomas Bailey, Dong Wook Jeong, 
Sung-Woo Cho, Referral, Enrollment, and Completion in Developmental 
Education Sequences in Community Colleges, Community College 
Research Center, Working Paper No. 15, November 2009 (http://ccrc.tc.columbia.edu/media/k2/attachments/referral-enrollment-completion-developmental.pdf). Nguyen Barry, M. & Dannenberg, M., 
2016, The high cost of inadequate high schools and high school 
student achievement on college affordability, Retrieved from https://edreformnow.org/wp-content/uploads/2016/04/EdReformNow-O-O-P-Embargoed-Final.pdf.
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    GEAR UP grantees can improve college readiness by identifying at an 
early age students likely to be referred to remediation at the 
postsecondary level and by engaging in strategies to address their 
needs at the secondary level, limiting their need to take remedial 
courses in college. For these reasons, this notice includes a 
competitive preference priority intended to encourage applicants to 
propose GEAR UP projects that address remediation strategies designed 
to help students address deficiency gaps well before they graduate and 
enroll in postsecondary education.
    In addition, to more strategically align GEAR UP grants with 
broader reform strategies intended to improve postsecondary access and 
completion, this notice includes a competitive preference priority that 
encourages applicants to propose activities that are supported by 
moderate evidence of effectiveness (as defined in this notice). The 
Department is particularly interested in receiving applications that 
include plans to provide services for students, supported by evidence, 
that increase the likelihood that students will complete high school 
and enroll in and complete a program of postsecondary education.
    Priorities: This notice contains three competitive preference 
priorities. In accordance with 34 CFR 75.105(b)(2)(ii), Competitive 
Preference Priority 1 is from section 404A(b)(3) of the HEA (20 U.S.C. 
1070a-21(b)(3)) and the GEAR UP Program regulations in 34 CFR 694.19, 
and Competitive Preference Priority 3 is from 34 CFR 75.226. In 
accordance with 34 CFR 75.105(b)(2)(iv), Competitive Preference 
Priority 2 is from section 404Aa(1) of the HEA(20 H.S.C. 1070a-21-
1070a-28).
    Competitive Preference Priority 1: For FY 2017 and any subsequent 
year in which we make awards from the list of unfunded applications 
from this competition, this priority is a competitive preference 
priority. Under 34 CFR 75.105(c)(2)(i), we award up to an additional 
two points, depending on how well the application meets this priority.
    This priority is:
    We give priority to an eligible applicant for a State GEAR UP grant 
that has: (a) Carried out a successful State GEAR UP grant prior to 
August 14, 2008, determined on the basis of data (including outcomes 
data) submitted by the applicant as part of its annual and final 
performance reports from prior GEAR UP state grants administered by the 
applicant and the applicant's history of compliance with applicable 
statutory and regulatory requirements; and (b) a prior demonstrated 
commitment to early intervention leading to college access through 
collaboration and replication of successful strategies.
    Competitive Preference Priority 2: For FY 2017 and any subsequent 
year in which we make awards from the list of unfunded applications 
from this competition, this priority is a competitive preference 
priority. Under 34 CFR 75.105(c)(2)(i), we award up to five additional 
points to an application, depending on how well the application meets 
this priority.
    This priority is:
    Projects designed to reduce the need for remedial education for 
secondary school students, including students with disabilities, at the 
postsecondary level.

    Note: GEAR UP projects begin well before participating students 
are ready to apply for admission to a postsecondary institution. 
Therefore, as they consider how to respond to this competitive 
preference priority, we encourage applicants to think about how 
their projects will determine throughout the project period what 
services students will need in order to reduce or eliminate their 
need for remedial education at the postsecondary level. In addition, 
we encourage all applicants applying for a seventh project year to 
think about how the services they would provide during a seventh 
project year will include strategies to help those new 
postsecondary-level students progress into college-level coursework.

    Competitive Preference Priority 3: For FY 2017 and any subsequent 
year in which we make awards from the list of unfunded applications 
from this competition, this priority is a competitive preference 
priority. Under 34 CFR 75.105(c)(2)(i), we award two points to an 
application that meets this priority.
    This priority is:
    Projects designed to implement at least one strategy supported by 
evidence of effectiveness that meets the conditions set out in the 
definition of ``moderate evidence of effectiveness'' in 34 CFR 77.1(c) 
(and as defined in this notice).
    To address the priority, an applicant may submit up to two studies 
that it believes supports the implementation of an authorized activity 
proposed in the application that meets the moderate evidence of 
effectiveness standard. The Department will review the studies cited by 
the applicant to determine if they meet requirements for moderate 
evidence of effectiveness, which, depending on methodology, may require 
reference to either one or two studies) as well as whether they are 
sufficiently aligned with the project proposed.
    Cited studies may include both those already listed in the 
Department's What Works Clearinghouse (WWC) Database of Individual 
Studies (see http://ies.ed.gov/ncee/wwc/ReviewedStudies#/OnlyStudiesWithPositiveEffects:false.SetNumber:1) and those that have 
not yet been reviewed by the WWC. Studies listed in the WWC Database of 
Individual Studies do not necessarily satisfy any or all of the 
criteria needed to meet the moderate evidence of effectiveness 
standard. Therefore, it is important that applicants themselves 
ascertain the suitability of the study for the evidence priority. 
Competitive preference priority points can only be awarded if the study 
or studies submitted by the applicant meet the Department standard for 
moderate evidence of effectiveness and if the study or studies cited 
are relevant to the proposed project. The proposed studies must be 
cited in the section of the application that addresses competitive 
preference priority three.

    Note: As they consider the activities they propose to implement 
in their GEAR UP projects and how to respond to this competitive 
preference priority, we encourage applicants to review research 
related to authorized GEAR UP activities to identify evidence that 
meets the moderate evidence of effectiveness standard.

    For State grantees, required GEAR UP services are specified in 
sections 404D(a) of the HEA (20 U.S.C. 1070a-24(a)), and permissible 
services under the GEAR UP Program are specified in section 404D(b) and 
(c) of the HEA (20 U.S.C. 1070a-24(b) and (c)).
    Definitions: These definitions are from 34 CFR 77.1.
    Evidence of Promise means there is empirical evidence to support 
the theoretical linkage(s) between at least one critical component and 
at least one relevant outcome presented in the logic model for the 
proposed process, product, strategy, or practice. Specifically, 
evidence of promise means the conditions in both paragraphs (i) and 
(ii) of this definition are met:
    (i) There is at least one study that is a
    (A) Correlational study with statistical controls for selection 
bias;
    (B) Quasi-experimental design (QED) study that meets the What Works 
Clearinghouse Evidence Standards with reservations; or
    (C) Randomized controlled trial (RCT) that meets the What Works 
Clearinghouse Evidence Standards with or without reservations.
    (ii) The study referenced in paragraph (i) of this definition found 
a statistically

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significant or substantively important (defined as a difference of 0.25 
standard deviations or larger) favorable association between at least 
one critical component and one relevant outcome presented in the logic 
model for the proposed process, product, strategy, or practice.
    Large Sample means an analytic sample of 350 or more students (or 
other single analysis units), or 50 or more groups (such as classrooms 
or schools) that contain 10 or more students (or other single analysis 
units).
    Moderate evidence of effectiveness means one of the following 
conditions is met:
    (i) There is at least one study of the effectiveness of the 
process, product, strategy, or practice being proposed that meets the 
WWC Evidence Standards without reservations, found a statistically 
significant favorable impact on a relevant outcome (with no 
statistically significant and overriding unfavorable impacts on that 
outcome for relevant populations in the study or in other studies of 
the intervention reviewed by and reported on by the WWC), and includes 
a sample that overlaps with the populations or settings proposed to 
receive the process, product, strategy, or practice.
    (ii) There is at least one study of the effectiveness of the 
process, product, strategy, or practice being proposed that meets the 
WWC Evidence Standards with reservations, found a statistically 
significant favorable impact on a relevant outcome (with no 
statistically significant and overriding unfavorable impacts on that 
outcome for relevant populations in the study or in other studies of 
the intervention reviewed by and reported on by the WWC), includes a 
sample that overlaps with the populations or settings proposed to 
receive the process, product, strategy, or practice, and includes a 
large sample and a multi-site sample.

    Note: Multiple studies can cumulatively meet the large and 
multi-site sample requirements as long as each study meets the other 
requirements in this paragraph.

    Multi-site sample means more than one site, where site can be 
defined as an LEA, locality, or State.
    QED means a study using a design that attempts to approximate an 
experimental design by identifying a comparison group that is similar 
to the treatment group in important respects. These studies, depending 
on design and implementation, can meet What Works Clearinghouse 
Evidence Standards with reservations (but not What Works Clearinghouse 
Evidence Standards without reservations).
    RCT means a study that employs random assignment of, for example, 
students, teachers, classrooms, schools, or districts to receive the 
intervention being evaluated (the treatment group) or not to receive 
the intervention (the control group). The estimated effectiveness of 
the intervention is the difference between the average outcomes for the 
treatment group and for the control group. These studies, depending on 
design and implementation, can meet What Works Clearinghouse Evidence 
Standards without reservations.
    Relevant outcome means the student outcome(s) (or the ultimate 
outcome if not related to students) the proposed process, product, 
strategy, or practice is designed to improve; consistent with the 
specific goals of a program.
    WWC Evidence Standards means the standards set forth in the WWC 
Procedures and Standards Handbook (Version 3.0, March 2014), which can 
be found at the following link: http://ies.ed.gov/ncee/wwc/DocumentSum.aspx?sid=19.
    Program Authority: 20 U.S.C. 1070a-21-1070a-28.
    Applicable Regulations: (a) The Education Department General 
Administrative Regulations (EDGAR) in 34 CFR parts 75, 77, 79, 81, 82, 
84, 97, 98, and 99. (b) The Office of Management and Budget Guidelines 
to Agencies on Governmentwide Debarment and Suspension (Nonprocurement) 
in 2 CFR part 180, as adopted and amended as regulations of the 
Department in 2 CFR part 3485. (c) The Uniform Administrative 
Requirements, Cost Principles, and Audit Requirements for Federal 
Awards in 2 CFR part 200, as adopted and amended as regulations of the 
Department in 2 CFR part 3474. (d) The regulations for this program in 
34 CFR part 694.

II. Award Information

    Type of Award: Discretionary grants.
    Estimated Available Funds: The Administration has requested 
$322,754,000 for the GEAR UP Program for FY 2017, of which we intend to 
use an estimated $49,000,000 for new GEAR UP awards. The estimated 
funding available for the new GEAR UP State awards is $24,500,000. The 
actual level of funding, if any, depends on final congressional action. 
However, we are inviting applications to allow enough time to complete 
the grant process if Congress appropriates funds for this program.
    Contingent upon the availability of funds and the quality of 
applications, we may make additional awards in FY 2018 and subsequent 
years from the list of unfunded applications from this competition.
    Estimated Range of Awards: $2,500,000-$3,500,000.
    Estimated Average Size of Awards: $3,000,000.
    Maximum Award: We will not fund any application for a State grant 
above the maximum award of $3,500,000 for a single budget period of 12 
months. Additionally, no funding will be awarded for increases in 
budget after the first 12-month budget period. The Assistant Secretary 
for Postsecondary Education may change the maximum amounts through a 
notice published in the Federal Register.
    Estimated Number of Awards: Seven.
    Project Period: Either 72 months or 84 months.

    Note: An applicant that wishes to seek funding for a seventh 
project year (i.e., for a project period of greater than 72 months), 
in order to provide project services to GEAR UP students through 
their first year of attendance at an IHE, must propose to do so in 
the application provided in response to this notice.

III. Eligibility Information

    1. Eligible Applicants: States.
    2.a. Cost Sharing or Matching: Section 404C(b)(1) of the HEA 
requires grantees under this program to provide from State, local, 
institutional, or private funds, not less than 50 percent of the cost 
of the program (or $1 of non-Federal funds for every $1 of Federal 
funds awarded), which may be provided in cash or in-kind. The provision 
also specifies that the match may be accrued over the full duration of 
the grant award period, except that the grantee must make substantial 
progress towards meeting the matching requirement in each year of the 
grant award period. In-kind contributions may include equipment and 
supplies, cash contributions from non-Federal sources, discounted 
program services and facility usage. Section 404C(c) of the HEA 
provides that in-kind contributions may include (1) financial 
assistance obligated under GEAR UP to students from State, local, 
institutional, or private funds, (2) the amount of tuition, fees, room 
or board waived or reduced for recipients of financial assistance under 
GEAR UP, (3) the amount expended on documented, targeted, long-term 
mentoring and counseling provided by volunteers or paid staff of non-
school organizations, including businesses, religious organizations, 
community groups, postsecondary educational institutions, nonprofit and 
philanthropic organizations, and other organizations, and (4) equipment 
and

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supplies, cash contributions from non-Federal sources, transportation 
expenses, in-kind or discounted program services, indirect costs, and 
facility usage.
    b. Supplement-Not-Supplant: This program involves supplement-not-
supplant funding requirements. Under section 404B(e) of the HEA (20 
U.S.C. 1070a-22)), grant funds awarded under this program must be used 
to supplement, and not supplant, other Federal, State, and local funds 
that would otherwise be expended to carry out activities assisted under 
this program.
    3. Other: Under Section 404E(b)(1) of the HEA (20 U.S.C. 1070a-
25)(b)(1)), a State must use not less than 25 percent and not more than 
50 percent of the grant funds for activities targeted at the school and 
LEA level as described in section 404D 20 U.S.C. 1070a-24) (excluding 
the provision of funds for postsecondary scholarships required by 
section 404D(a)(4) and with the remainder of grant funds spent on 
postsecondary scholarships to eligible GEAR UP students as described in 
section 404E). However, section 404E(b)(2), of the HEA permits the 
Secretary to allow a State to use more than 50 percent of grant funds 
received under this program for activities targeted at the LEA level if 
the State demonstrates in its grant application that it has another 
means of providing the students with the financial assistance described 
in section 404E.

IV. Application and Submission Information

    1. Address to Request Application Package: You can obtain an 
application package via the Internet by downloading the package from 
the program Web site at: http://www2.ed.gov/programs/gearup/index.html.
    You also can request a copy of the application package from the 
following: Karmon Simms-Coates, Gaining Early Awareness and Readiness 
for Undergraduate Programs, U.S. Department of Education, 400 Maryland 
Avenue SW., Room 5W250, Washington, DC 20202-6450. Telephone: (202) 
453-7917 or by email: [email protected].
    If you use a telecommunications device for the deaf (TDD) or a text 
telephone (TTY), call, toll free: 1-877-576-7734.
    Individuals with disabilities can obtain a copy of the application 
package in an accessible format (e.g., braille, large print, audiotape, 
or compact disc) by contacting the program contact person listed in 
this section.
    2. Content and Form of Application Submission: Requirements 
concerning the content of an application, together with the forms you 
must submit, are in the application package for this program.
    Page Limit: The application narrative is where you, the applicant, 
address the selection criteria that reviewers use to assess your 
application. There is a limit for the application narrative of no more 
than 40 pages using the following standards:
     A ``page'' is 8.5 x 11, on one side 
only, with 1 margins at the top, bottom, and both sides. 
Page numbers and an identifier may be within the 1 margin.
     Each page on which there is text or graphics will be 
counted as one full page.
     Double space (no more than three lines per vertical inch) 
all text in the application narrative, including charts, tables, 
figures, and graphs. Titles, headings, footnotes, quotations, 
references, and captions may be singled spaced.
     Use a font that is either 12 point or larger, or no 
smaller than 10 pitch (characters per inch).
     Use one of the following fonts: Times New Roman, Courier, 
Courier New, or Arial. An application submitted in any other font 
(including Times Roman and Arial Narrow) will not be accepted.
    The page limits do not apply to the cover sheet; the budget 
section, including the budget narrative and summary form; the 
assurances and certifications; or the one-page abstract. If you include 
any attachments or appendices not specifically requested and required 
for the application, these items will be counted as part of the 
narrative for the purposes of the page limit.
    Any application addressing the competitive preference priorities 
may include up to four additional pages for each priority. These 
additional pages must be used to discuss how the application meets the 
competitive preference priority. The additional pages allotted to 
address the competitive preference priority cannot be used for or 
transferred to the project narrative or any other section of the 
application.
    We will reject your application if--
     You apply these standards and exceed the page limit; or
     You apply other standards and exceed the equivalent of the 
page limit.
    3. Submission Dates and Times:
    Applications Available: March 13, 2017.
    Deadline for Transmittal of Applications: April 24, 2017.
    Applications for grants under this program must be submitted 
electronically using the Grants.gov Apply site (Grants.gov). For 
information (including dates and times) about how to submit your 
application electronically, or in paper format by mail or hand delivery 
if you qualify for an exception to the electronic submission 
requirement, please refer to Other Submission Requirements in section 
IV of this notice.
    We do not consider an application that does not comply with the 
deadline requirements.
    Individuals with disabilities who need an accommodation or 
auxiliary aid in connection with the application process should contact 
the program contact person listed under Contact Information in section 
VII of this notice. If the Department provides an accommodation or 
auxiliary aid to an individual with a disability in connection with the 
application process, the individual's application remains subject to 
all other requirements and limitations in this notice.
    Deadline for Intergovernmental Review: June 21, 2017.
    4. Intergovernmental Review: This program is subject to Executive 
Order 12372 and the regulations in 34 CFR part 79. Information about 
Intergovernmental Review of Federal Programs under Executive Order 
12372 is in the application package for this program.
    5. Funding Restrictions: We reference regulations outlining funding 
restrictions in the Applicable Regulations section of this notice.
    6. Data Universal Numbering System Number, Taxpayer Identification 
Number, and System for Award Management: To do business with the 
Department of Education, you must--
    a. Have a Data Universal Numbering System (DUNS) number and a 
Taxpayer Identification Number (TIN);
    b. Register both your DUNS number and TIN with the System for Award 
Management (SAM), the Government's primary registrant database;
    c. Provide your DUNS number and TIN on your application; and
    d. Maintain an active SAM registration with current information 
while your application is under review by the Department and, if you 
are awarded a grant, during the project period.
    You can obtain a DUNS number from Dun and Bradstreet at the 
following Web site: http://fedgov.dnb.com/webform. A DUNS number can be 
created within one to two business days.

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    If you are a corporate entity, agency, institution, or 
organization, you can obtain a TIN from the Internal Revenue Service. 
If you are an individual, you can obtain a TIN from the Internal 
Revenue Service or the Social Security Administration. If you need a 
new TIN, please allow two to five weeks for your TIN to become active.
    The SAM registration process can take approximately seven business 
days, but may take upwards of several weeks, depending on the 
completeness and accuracy of the data you enter into the SAM database. 
Thus, if you think you might want to apply for Federal financial 
assistance under a program administered by the Department, please allow 
sufficient time to obtain and register your DUNS number and TIN. We 
strongly recommend that you register early.

    Note: Once your SAM registration is active, it may be 24 to 48 
hours before you can access the information in, and submit an 
application through, Grants.gov.

    If you are currently registered with SAM, you may not need to make 
any changes. However, please make certain that the TIN associated with 
your DUNS number is correct. Also note that you will need to update 
your registration annually. This may take three or more business days.
    Information about SAM is available at www.SAM.gov. To further 
assist you with obtaining and registering your DUNS number and TIN in 
SAM or updating your existing SAM account, we have prepared a SAM.gov 
Tip Sheet, which you can find at: http://www2.ed.gov/fund/grant/apply/sam-faqs.html.
    In addition, if you are submitting your application via Grants.gov, 
you must (1) be designated by your organization as an Authorized 
Organization Representative (AOR); and (2) register yourself with 
Grants.gov as an AOR. Details on these steps are outlined at the 
following Grants.gov Web page: www.grants.gov/web/grants/register.html.
    7. Other Submission Requirements: Applications for grants under 
this program must be submitted electronically unless you qualify for an 
exception to this requirement in accordance with the instructions in 
this section.
    a. Electronic Submission of Applications.
    Applications for grants under the GEAR UP Program, CFDA number 
84.334S, must be submitted electronically using the Governmentwide 
Grants.gov Apply site at www.Grants.gov. Through this site, you will be 
able to download a copy of the application package, complete it 
offline, and then upload and submit your application. You may not email 
an electronic copy of a grant application to us.
    We will reject your application if you submit it in paper format 
unless, as described elsewhere in this section, you qualify for one of 
the exceptions to the electronic submission requirement and submit, no 
later than two weeks before the application deadline date, a written 
statement to the Department that you qualify for one of these 
exceptions. Further information regarding calculation of the date that 
is two weeks before the application deadline date is provided later in 
this section under Exception to Electronic Submission Requirement.
    You may access the electronic grant application for the GEAR UP 
Program at www.Grants.gov. You must search for the downloadable 
application package for this program by the CFDA number. Do not include 
the CFDA number's alpha suffix in your search (e.g., search for 84.334, 
not 84.334S).
    Please note the following:
     When you enter the Grants.gov site, you will find 
information about submitting an application electronically through the 
site, as well as the hours of operation.
     Applications received by Grants.gov are date and time 
stamped. Your application must be fully uploaded and submitted and must 
be date and time stamped by the Grants.gov system no later than 4:30:00 
p.m., Washington, DC time, on the application deadline date. Except as 
otherwise noted in this section, we will not accept your application if 
it is received--that is, date and time stamped by the Grants.gov 
system--after 4:30:00 p.m., Washington, DC time, on the application 
deadline date. We do not consider an application that does not comply 
with the deadline requirements. When we retrieve your application from 
Grants.gov, we will notify you if we are rejecting your application 
because it was date and time stamped by the Grants.gov system after 
4:30:00 p.m., Washington, DC time, on the application deadline date.
     The amount of time it can take to upload an application 
will vary depending on a variety of factors, including the size of the 
application and the speed of your Internet connection. Therefore, we 
strongly recommend that you do not wait until the application deadline 
date to begin the submission process through Grants.gov.
     You should review and follow the Education Submission 
Procedures for submitting an application through Grants.gov that are 
included in the application package for this program to ensure that you 
submit your application in a timely manner to the Grants.gov system. 
You can also find the Education Submission Procedures pertaining to 
Grants.gov under News and Events on the Department's G5 system home 
page at www.G5.gov. In addition, for specific guidance and procedures 
for submitting an application through Grants.gov, please refer to the 
Grants.gov Web site at: www.grants.gov/web/grants/applicants/apply-for-grants.html.
     You will not receive additional point value because you 
submit your application in electronic format, nor will we penalize you 
if you qualify for an exception to the electronic submission 
requirement, as described elsewhere in this section, and submit your 
application in paper format.
     You must submit all documents electronically, including 
all information you typically provide on the following forms: 
Application for Federal Assistance (SF 424), the Department of 
Education Supplemental Information for SF 424, Budget Information--Non-
Construction Programs (ED 524), and all necessary assurances and 
certifications.
     You must upload any narrative sections and all other 
attachments to your application as files in a read-only, non-modifiable 
Portable Document Format (PDF). Do not upload an interactive or 
fillable PDF file. If you upload a file type other than a read-only, 
non-modifiable PDF (e.g., Word, Excel, WordPerfect, etc.) or submit a 
password-protected file, we will not review that material. Please note 
that this could result in your application not being considered for 
funding because the material in question--for example, the application 
narrative--is critical to a meaningful review of your proposal. For 
that reason it is important to allow yourself adequate time to upload 
all material as PDF files. The Department will not convert material 
from other formats to PDF.
     Your electronic application must comply with any page-
limit requirements described in this notice.
     After you electronically submit your application, you will 
receive from Grants.gov an automatic notification of receipt that 
contains a Grants.gov tracking number. This notification indicates 
receipt by Grants.gov only, not receipt by the Department. Grants.gov 
will also notify you automatically by email if your application met all 
the Grants.gov validation requirements or if there were any errors 
(such as submission of your application by someone other than a 
registered Authorized Organization

[[Page 13447]]

Representative, or inclusion of an attachment with a file name that 
contains special characters). You will be given an opportunity to 
correct any errors and resubmit, but you must still meet the deadline 
for submission of applications.
    Once your application is successfully validated by Grants.gov, the 
Department then will retrieve your application from Grants.gov and send 
you an email with a unique PR/Award number for your application.
    These emails do not mean that your application is without any 
disqualifying errors. While your application may have been successfully 
validated by Grants.gov, it must also meet the Department's application 
requirements as specified in this notice and in the application 
instructions. Disqualifying errors could include, for instance, failure 
to upload attachments in a read-only, non-modifiable PDF; failure to 
submit a required part of the application; or failure to meet applicant 
eligibility requirements. It is your responsibility to ensure that your 
submitted application has met all of the Department's requirements.
     We may request that you provide us original signatures on 
forms at a later date.
    Application Deadline Date Extension in Case of Technical Issues 
With the Grants.gov System: If you are experiencing problems submitting 
your application through Grants.gov, please contact the Grants.gov 
Support Desk, toll free, at 1-800-518-4726. You must obtain a 
Grants.gov Support Desk Case Number and must keep a record of it.
    If you are prevented from electronically submitting your 
application on the application deadline date because of technical 
problems with the Grants.gov system, we will grant you an extension 
until 4:30:00 p.m., Washington, DC time, the following business day to 
enable you to transmit your application electronically or by hand 
delivery. You also may mail your application by following the mailing 
instructions described elsewhere in this notice.
    If you submit an application after 4:30:00 p.m., Washington, DC 
time, on the application deadline date, please contact the program 
contact person listed under Contact Information in section VII of this 
notice and provide an explanation of the technical problem you 
experienced with Grants.gov, along with the Grants.gov Support Desk 
Case Number. We will accept your application if we can confirm that a 
technical problem occurred with the Grants.gov system and that the 
problem affected your ability to submit your application by 4:30:00 
p.m., Washington, DC time, on the application deadline date. We will 
contact you after we determine whether your application will be 
accepted.

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

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

and

     No later than two weeks before the application deadline 
date (14 calendar days; or, if the fourteenth calendar day before the 
application deadline date falls on a Federal holiday, the next business 
day following the Federal holiday), you mail or fax a written statement 
to the Department, explaining which of the two grounds for an exception 
prevents you from using the Internet to submit your application.
    If you mail your written statement to the Department, it must be 
postmarked no later than two weeks before the application deadline 
date. If you fax your written statement to the Department, we must 
receive the faxed statement no later than two weeks before the 
application deadline date.
    Address and mail or fax your statement to: Eileen Bland, U.S. 
Department of Education, 400 Maryland Avenue SW., Room 5C135, 
Washington, DC 20202-6450. Fax: (202) 260-7464.
    Your paper application must be submitted in accordance with the 
mail or hand delivery instructions described in this notice.
    b. Submission of Paper Applications by Mail.
    If you qualify for an exception to the electronic submission 
requirement, you may mail (through the U.S. Postal Service or a 
commercial carrier) your application to the Department. You must mail 
the original and two copies of your application, on or before the 
application deadline date, to the Department at the following address: 
U.S. Department of Education, Application Control Center, Attention: 
(CFDA Number 84.334S), LBJ Basement Level 1, 400 Maryland Avenue SW., 
Washington, DC 20202-4260.
    You must show proof of mailing consisting of one of the following:
    (1) A legibly dated U.S. Postal Service postmark.
    (2) A legible mail receipt with the date of mailing stamped by the 
U.S. Postal Service.
    (3) A dated shipping label, invoice, or receipt from a commercial 
carrier.
    (4) Any other proof of mailing acceptable to the Secretary of the 
U.S. Department of Education.
    If you mail your application through the U.S. Postal Service, we do 
not accept either of the following as proof of mailing:
    (1) A private metered postmark.
    (2) A mail receipt that is not dated by the U.S. Postal Service.

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

    We will not consider applications postmarked after the application 
deadline date.
    c. Submission of Paper Applications by Hand Delivery.
    If you qualify for an exception to the electronic submission 
requirement, you (or a courier service) may deliver your paper 
application to the Department by hand. You must deliver the original 
and two copies of your application, by hand, on or before the 
application deadline date, to the Department at the following address: 
U.S. Department of Education, Application Control Center, Attention: 
(CFDA Number 84.334S), 550 12th Street SW., Room 7039, Potomac Center 
Plaza, Washington, DC 20202-4260.
    The Application Control Center accepts hand deliveries daily 
between 8:00 a.m. and 4:30:00 p.m., Washington, DC time, except 
Saturdays, Sundays, and Federal holidays.

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


[[Page 13448]]



V. Application Review Information

    1. Selection Criteria: The selection criteria for this competition 
are from 34 CFR 75.210 of EDGAR.
    a. Need for the project (15 points).
    The Secretary evaluates the need for a GEAR UP project in the 
proposed target area on the basis of--
     The magnitude or severity of the problem to be addressed 
by the proposed project; and
     The extent to which specific gaps or weaknesses in 
services, infrastructure, or opportunities have been identified and 
will be addressed by the proposed project, including the nature and 
magnitude of those gaps or weaknesses.
    b. Quality of project design (15 points).
    In determining the quality of project design, the Secretary 
considers the following factors:
     The extent to which the goals, objectives, and outcomes to 
be achieved by the proposed project are clearly specified and 
measurable;
     The extent to which the project design reflects up-to- 
date research and the replication of effective practices;
     The extent to which the project supports systemic changes 
from which future cohorts of students will benefit; and
     The extent to which the proposed project is supported by 
strong theory.
    c. Quality of project services (15 points).
    In determining the quality of project services provided by the 
proposed project, the Secretary considers:
    (1) The quality and sufficiency of strategies for ensuring equal 
access and treatment for eligible project participants who are members 
of groups that have traditionally been underrepresented based on race, 
color, national origin, gender, age, or disability.
    (2) In addition, the Secretary considers the following factors:
     The extent to which the project services are likely to 
increase the percentage of students taking rigorous courses that 
reflect challenging academic standards and reduce the need for remedial 
education at the postsecondary level; increase the percentage of 
secondary school completion; increase students' knowledge of and access 
to financial assistance for postsecondary education; increase the 
percentage of students enrolling and succeeding in postsecondary 
education; and are appropriate to the needs of the intended recipients 
or beneficiaries of those services; and
     The extent to which the services to be provided by the 
proposed project involve the collaboration of appropriate partners for 
maximizing the effectiveness of project services.
    d. Quality of project personnel (10 points).
    In determining the quality of project personnel, the Secretary 
considers:
    (1) The extent to which the applicant encourages applications for 
employment from persons who are members of groups that have 
traditionally been underrepresented based on race, color, national 
origin, gender, age or disability.
    (2) In addition, the Secretary considers the following factors:
     The qualifications, including relevant training and 
experience, of the project director or principal investigator; and
     The qualifications, including relevant training and 
experience, of key personnel.
    e. Quality of the management plan (10 points).
    In determining the quality of the management plan for the proposed 
project, the Secretary considers the following factors:
     The adequacy of the management plan to achieve the 
objectives of the proposed project on time and within budget, including 
clearly defined responsibilities, timelines, and milestones for 
accomplishing project tasks;
     The adequacy of procedures for ensuring feedback and 
continuous improvement in the operation of the proposed project;
     The extent to which the time commitments of the project 
director and other key project personnel are appropriate and adequate 
to meet the objectives of the proposed project; and
     How the applicant will ensure that a diversity of 
perspectives are brought to bear in the operation of the proposed 
project, including those of parents, teachers, the business community, 
a variety of disciplinary and professional fields, recipients or 
beneficiaries of services, or others, as appropriate.
    f. Quality of the project evaluation (20 points).
    In determining the quality of the project evaluation, the Secretary 
considers the following factors:
     The extent to which the methods of evaluation are 
thorough, feasible, and appropriate to the goals, objectives, and 
outcomes of the proposed project;
     The extent to which the methods of evaluation include the 
use of objective performance measures that are clearly related to the 
intended outcomes of the project and will produce quantitative and 
qualitative data to the extent possible;
     The extent to which the methods of evaluation will provide 
performance feedback and permit periodic assessment of progress toward 
achieving intended outcomes;
     The extent to which the evaluation will provide guidance 
about effective strategies suitable for replication or testing in other 
settings; and
    g. Adequacy of resources (15 points).
    In determining the adequacy of resources for the proposed project, 
the Secretary considers the following factors:
     The adequacy of support, including facilities, equipment, 
supplies and other resources from the applicant organization or the 
lead applicant organization;
     The relevance and demonstrated commitment of each partner 
in the proposed project to the implementation and success of the 
project;
     The extent to which the costs are reasonable in relation 
to the number of persons to be served and to the anticipated results 
and benefits; and
     The potential for continued support of the project after 
Federal funding ends, including, as appropriate, the demonstrated 
commitment of appropriate entities to such support.
    2. Review and Selection Process: We remind potential applicants 
that in reviewing applications in any discretionary grant competition, 
the Secretary may consider, under 34 CFR 75.217(d)(3), the past 
performance of the applicant in carrying out a previous award, such as 
the applicant's use of funds, achievement of project objectives, and 
compliance with grant conditions. The Secretary may also consider 
whether the applicant failed to submit a timely performance report or 
submitted a report of unacceptable quality.
    In addition, in making a competitive grant award, the Secretary 
requires various assurances including those applicable to Federal civil 
rights laws that prohibit discrimination in programs or activities 
receiving Federal financial assistance from the Department of Education 
(34 CFR 100.4, 104.5, 106.4, 108.8, and 110.23).
    For this competition, a panel of non-Federal reviewers will review 
each application in accordance with the selection criteria in 
75.217(d)(3) and the competitive preference priorities. The individual 
scores of the reviewers will be added and the sum divided by the number 
of reviewers to determine the peer review score received in the review 
process.
    If there are insufficient funds for all applications with the same 
total scores, the Secretary will choose among the tied applications so 
as to serve geographic areas with consideration to the

[[Page 13449]]

distribution of grant awards between urban and rural applicants for the 
GEAR UP Program.
    3. Risk Assessment and Special Conditions: Consistent with 2 CFR 
200.205, before awarding grants under this competition the Department 
conducts a review of the risks posed by applicants. Under 2 CFR 
3474.10, the Secretary may impose special conditions and, in 
appropriate circumstances, high-risk conditions on a grant if the 
applicant or grantee is not financially stable; has a history of 
unsatisfactory performance; has a financial or other management system 
that does not meet the standards in 2 CFR part 200, subpart D; has not 
fulfilled the conditions of a prior grant; or is otherwise not 
responsible.
    4. Integrity and Performance System: If you are selected under this 
competition to receive an award that over the course of the project 
period may exceed the simplified acquisition threshold (currently 
$150,000), under 2 CFR 200.205(a)(2) we must make a judgment about your 
integrity, business ethics, and record of performance under Federal 
awards--that is, the risk posed by you as an applicant--before we make 
an award. In doing so, we must consider any information about you that 
is in the integrity and performance system (currently referred to as 
the Federal Awardee Performance and Integrity Information System 
(FAPIIS)), accessible through SAM. You may review and comment on any 
information about yourself that a Federal agency previously entered and 
that is currently in FAPIIS.
    Please note that, if the total value of your currently active 
grants, cooperative agreements, and procurement contracts from the 
Federal Government exceeds $10,000,000, the reporting requirements in 2 
CFR part 200, Appendix XII, require you to report certain integrity 
information to FAPIIS semiannually. Please review the requirements in 2 
CFR part 200, Appendix XII, if this grant plus all the other Federal 
funds you receive exceed $10,000,000.

VI. Award Administration Information

    1. Award Notices: If your application is successful, we notify your 
U.S. Representative and U.S. Senators and send you a Grant Award 
Notification (GAN); or we may send you an email containing a link to 
access an electronic version of your GAN. We may notify you informally, 
also.
    If your application is not evaluated or not selected for funding, 
we notify you.
    2. Administrative and National Policy Requirements: We identify 
administrative and national policy requirements in the application 
package and reference these and other requirements in the Applicable 
Regulations section of this notice.
    We reference the regulations outlining the terms and conditions of 
an award in the Applicable Regulations section of this notice and 
include these and other specific conditions in the GAN. The GAN also 
incorporates your approved application as part of your binding 
commitments under the grant.
    3. Reporting: (a) If you apply for a grant under this competition, 
you must ensure that you have in place the necessary processes and 
systems to comply with the reporting requirements in 2 CFR part 170 
should you receive funding under the competition. This does not apply 
if you have an exception under 2 CFR 170.110(b).
    (b) At the end of your project period, you must submit a final 
performance report, including financial information, as directed by the 
Secretary. If you receive a multiyear award, you must submit an annual 
performance report and biennial report that provides the most current 
performance and financial expenditure information as directed by the 
Secretary under 34 CFR 75.118. The Secretary may also require more 
frequent performance reports under 34 CFR 75.720(c). For specific 
requirements on reporting, please go to www.ed.gov/fund/grant/apply/appforms/appforms.html.
    (c) Under 34 CFR 75.250(b), the Secretary may provide a grantee 
with additional funding for data collection analysis and reporting. In 
this case the Secretary establishes a data collection period.
    4. Performance Measures: The objectives of the GEAR UP Program 
are--(1) to increase the academic performance and preparation for 
postsecondary education of participating students; (2) to increase the 
rate of high school graduation and participation in postsecondary 
education of participating students; and (3) to increase educational 
expectations for participating students and increase student and family 
knowledge of postsecondary education options, preparation, and 
financing.
    The effectiveness of this program depends on the rate at which 
program participants complete high school and enroll in and complete a 
postsecondary education. Under the Government Performance and Results 
Act of 1993 (GPRA), we developed the following performance measures to 
track progress toward achieving the program's goals:
    1. The percentage of GEAR UP students who pass Pre-algebra by the 
end of 8th grade.
    2. The percentage of GEAR UP students who pass Algebra 1 by the end 
of 9th grade.
    3. The percentage of GEAR UP students who take two years of 
mathematics beyond Algebra 1 by the 12th grade.
    4. The percentage of GEAR UP students who are on track for 
graduation at the end of each grade.
    5. The percentage of GEAR UP students who are on track to apply for 
college as measured by completion of the SAT or ACT by the end of 11th 
grade.
    6. The percentage of GEAR UP students who graduate from high 
school.

    Note:  For each GEAR UP project, the State's high school 
graduation rate is defined in the State's approved accountability 
plan under Part A of Title I of the Elementary and Secondary 
Education Act of 1965, as amended (ESEA).

    7. The percentage of GEAR UP students who complete the Free 
Application for Federal Student Aid.
    8. The percentage of GEAR UP students and former GEAR UP students 
who are enrolled in college.
    9. The percentage of GEAR UP students who place into college-level 
Math and English without need for remediation.
    10. The percentage of current GEAR UP students and former GEAR UP 
students enrolled in college who are on track to graduate college.
    In addition, to assess the efficiency of the program, we track the 
average cost in Federal funds, of achieving a successful outcome, where 
success is defined as enrollment in postsecondary education of GEAR UP 
students immediately after high school graduation. These performance 
measures constitute GEAR UP's indicators of the success of the program. 
Under Section 1116 of the HEA, grant recipients must collect and report 
data on steps they have taken toward achieving these goals. 
Accordingly, we request that applicants include these performance 
measures in conceptualizing the design, implementation, and evaluation 
of their proposed projects.
    5. Continuation Awards: In making a continuation award under 34 CFR 
75.253, the Secretary considers, among other things: Whether a grantee 
has made substantial progress in achieving the goals and objectives of 
the project; whether the grantee has expended funds in a manner that is 
consistent with its approved application and budget; and, if the 
Secretary has established performance measurement

[[Page 13450]]

requirements, the performance targets in the grantee's approved 
application.
    In making a continuation grant, the Secretary also considers 
whether the grantee is operating in compliance with the assurances in 
its approved application, including those applicable to Federal civil 
rights laws that prohibit discrimination in programs or activities 
receiving Federal financial assistance from the Department (34 CFR 
100.4, 104.5, 106.4, 108.8, and 110.23).

VII. Agency Contact

    Contact Information: Karmon Simms-Coates, U.S. Department of 
Education, 400 Maryland Avenue SW., Room 5W250, Washington, DC 20202-
6450. Telephone: (202) 453-7917 or by email: [email protected].
    If you use a TDD or a TTY, call the FRS, toll free, at 1-800-877-
8339.

VIII. Other Information

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

    Dated: March 7, 2017.
Linda Byrd-Johnson,
Acting Deputy Assistant Secretary, Higher Education Programs, and 
Senior Director, Student Service.
[FR Doc. 2017-04801 Filed 3-10-17; 8:45 am]
 BILLING CODE 4000-01-P