Title 34—Education--Volume 1
PART 647—RONALD E. MCNAIR POSTBACCALAUREATE ACHIEVEMENT PROGRAM
§ 647.1   What is the Ronald E. McNair Postbaccalaureate Achievement Program?
The Ronald E. McNair Postbaccalaureate Achievement Program—referred to in these regulations as the McNair program—awards grants to institutions of higher education for projects designed to provide disadvantaged college students with effective preparation for doctoral study.
§ 647.2   Who is eligible for a grant?
Institutions of higher education and combinations of those institutions are eligible for grants to carry out McNair projects.
§ 647.3   Who is eligible to participate in a McNair project?
A student is eligible to participate in a McNair project if the student meets all the following requirements:
(a)(1) Is a citizen or national of the United States; or
(2) Is a permanent resident of the United States; or
(3) Is in the United States for other than a temporary purpose and provides evidence from the Immigration and Naturalization Service of his or her intent to become a permanent resident; or
(4) Is a permanent resident of Guam, the Northern Mariana Islands, or the Trust Territory of the Pacific Islands; or
(5) Is a resident of one of the Freely Associated States.
(b) Is currently enrolled in a degree program at an institution of higher education that participates in the student financial assistance programs authorized under Title IV of the HEA.
(c) Is—
(1) A low-income individual who is a first-generation college student;
(2) A member of a group that is underrepresented in graduate education; or
(3) A member of a group that is not listed in § 647.7 if the group is underrepresented in certain academic disciplines as documented by standard statistical references or other national survey data submitted to and accepted by the Secretary on a case-by-case basis.
(d) Has not enrolled in doctoral level study at an institution of higher education.
§ 647.4   What activities and services does a project provide?
(a) A McNair project must provide the following services and activities:
(1) Opportunities for research or other scholarly activities at the grantee institution or at graduate centers that are designed to provide students with effective preparation for doctoral study.
(2) Summer internships.
(3) Seminars and other educational activities designed to prepare students for doctoral study.
(4) Tutoring.
(5) Academic counseling.
(6) Assistance to students in securing admission to, and financial assistance for, enrollment in graduate programs.
(b) A McNair project may provide the following services and activities:
(1) Education or counseling services designed to improve the financial and economic literacy of students, including financial planning for postsecondary education.
(2) Mentoring programs involving faculty members at institutions of higher education, students, or a combination of faculty members and students.
(3) Exposure to cultural events and academic programs not usually available to disadvantaged students.
(4) Other activities designed to meet the purpose of the McNair Program in § 647.1.
§ 647.5   How long is a project period?
A project period under the McNair program is five years.
§ 647.6   What regulations apply?
(a) The Education Department General Administrative Regulations (EDGAR) in 34 CFR parts 75 (except for §§ 75.215 through 75.221), 77, 79, 82, 84, 86, 97, 98, and 99.
(b) The regulations in this part 647.
(c)(1) 2 CFR part 180 (OMB Guidelines to Agencies on Governmentwide Debarment and Suspension (Nonprocurement)), as adopted at 2 CFR part 3485; and
(2) 2 CFR part 200 (Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards), as adopted at 2 CFR part 3474.
§ 647.7   What definitions apply?
(a) General definitions. The following terms used in this part are defined in 2 CFR part 200, subpart A, or 34 CFR 77.1:
(b) Other definitions. The following definitions also apply to this part:
Different campus means a site of an institution of higher education that—
(1) Is geographically apart from the main campus of the institution;
(2) Is permanent in nature; and
(3) Offers courses in educational programs leading to a degree, certificate, or other recognized educational credential.
Different population means a group of individuals that an eligible entity desires to serve through an application for a grant under the McNair TRIO program and that—
(1) Is separate and distinct from any other population that the entity has applied for a grant to serve; or
(2) While sharing some of the same needs as another population that the eligible entity has applied for a grant to serve, has distinct needs for specialized services.
Financial and economic literacy means knowledge about personal financial decision-making, which may include but is not limited to knowledge about—
(1) Personal and family budget planning;
(2) Understanding credit-building principles to meet long-term and short-term goals ( e.g., loan to debt ratio, credit scoring, negative impacts on credit scores);
(3) Cost planning for postsecondary or postbaccalaureate education (e.g., spending, saving, personal budgeting);
(4) College cost of attendance ( e.g., public vs. private, tuition vs. fees, personal costs);
(5) Financial assistance ( e.g., searches, application processes, and differences between private and government loans, assistanceships); and
(6) Assistance in completing the Free Application for Federal Student Aid (FAFSA).
First-generation college student means—
(1) A student neither of whose natural or adoptive parents received a baccalaureate degree; or
(2) A student who, prior to the age of 18, regularly resided with and received support from only one parent, and whose supporting parent did not receive a baccalaureate degree.
(3) An individual who, prior to the age of 18, did not regularly reside with or receive support from a natural or an adoptive parent.
Graduate center means an institution of higher education as defined in sections 101 and 102 of the HEA; and that—
(1) Provides instruction in one or more programs leading to a doctoral degree;
(2) Maintains specialized library collections;
(3) Employs scholars engaged in research that relates to the subject areas of the center; and
(4) Provides outreach and consultative services on a national, regional or local basis.
Graduate education means studies beyond the bachelor's degree leading to a postbaccalaureate degree.
Groups underrepresented in graduate education. The following ethnic and racial groups are considered underrepresented in graduate education: Black (non-Hispanic), Hispanic, American Indian, Alaskan Native (as defined in section 7306 of the Elementary and Secondary Education Act of 1965, as amended (ESEA)), Native Hawaiians (as defined in section 7207 of the ESEA), and Native American Pacific Islanders (as defined in section 320 of the HEA).
HEA means the Higher Education Act of 1965, as amended.
Institution of higher education means an educational institution as defined in sections 101 and 102 of the HEA.
Low-income individual means an individual whose family's taxable income did not exceed 150 percent of the poverty level in the calendar year preceding the year in which the individual participates in the project. Poverty level income is determined by using criteria of poverty established by the Bureau of the Census of the U.S. Department of Commerce.
Research or scholarly activity means an educational activity that is more rigorous than is typically available to undergraduates in a classroom setting, that is definitive in its start and end dates, contains appropriate benchmarks for completion of various components, and is conducted under the guidance of an appropriate faculty member with experience in the relevant discipline.
Target population means the universe from which McNair participants will be selected. The universe may be expressed in terms of geography, type of institution, academic discipline, type of disadvantage, type of underrepresentation, or any other qualifying descriptor that would enable an applicant to more precisely identify the kinds of eligible project participants they wish to serve.
§ 647.10   How many applications may an eligible applicant submit?
(a) An applicant may submit more than one application for McNair grants as long as each application describes a project that serves a different campus or a designated different population.
(b) For each grant competition, the Secretary designates, in the Federal Register notice inviting applications and the other published application materials for the competition, the different populations for which an eligible entity may submit a separate application.
§ 647.11   What assurances must an applicant submit?
An applicant must submit as part of its application, assurances that—
(a) Each participant enrolled in the project will be enrolled in a degree program at an institution of higher education that participates in one or more of the student financial assistance programs authorized under Title IV of the HEA;
(b) Each participant given a summer research internship will have completed his or her sophomore year of study; and
(c)(1) At least two thirds of the students to be served will be low-income individuals who are first-generation college students; and
(2) The remaining students to be served will be members of groups underrepresented in graduate education.
(d) A student will not be served by more than one McNair project at any one time and that the McNair project will collaborate with other McNair and SSS projects and other State and institutional programs at the grantee-institution, including those supporting undergraduate research, so that more students can be served.
§ 647.20   How does the Secretary decide which new grants to make?
(a) The Secretary evaluates an application for a new grant as follows:
(1)(i) The Secretary evaluates an application on the basis of the selection criteria in § 647.21.
(ii) The maximum score for all the criteria in § 647.21 is 100 points. The maximum score for each criterion is indicated in parentheses with the criterion.
(2)(i) For an application from an applicant who has carried out a McNair project in the fiscal year immediately preceding the fiscal year for which the applicant is applying, the Secretary evaluates the applicant's prior experience of high quality service delivery on the basis of the outcome criteria in § 647.22.
(ii) The maximum total score for all the criteria in § 647.22 is 15 points. The maximum score for each criterion is indicated in parentheses with the criterion.
(iii) If an applicant described in paragraph (a)(2)(i) of this section applies for more than one new grant in the same fiscal year, the Secretary applies the criteria in § 647.22 to a project that seeks to continue support for an existing McNair project on that campus.
(iv) The Secretary evaluates the PE of an applicant for each of the three project years that the Secretary designates in the Federal Register notice inviting applications and the other published application materials for the competition.
(v) An applicant may earn up to 15 PE points for each of the designated project years for which annual performance report data are available.
(vi) The final PE score is the average of the scores for the three project years assessed.
(b) The Secretary makes new grants in rank order on the basis of the total scores received by applications under paragraphs (a)(1) through (a)(3) of this section.
(c)(1) If the total scores of two or more applications are the same and there are insufficient funds for these applications after the approval of higher-ranked applications, the Secretary uses the remaining funds to achieve an equitable geographic distribution of all new projects.
(2) In making an equitable geographic distribution of new projects, the Secretary considers only the locations of new projects.
(d) The Secretary does not make a new grant to an applicant if the applicant's prior project involved the fraudulent use of program funds.
§ 647.21   What selection criteria does the Secretary use?
The Secretary uses the following criteria to evaluate an application for a new grant:
(a) Need (16 Points). The Secretary reviews each application to determine the extent to which the applicant can clearly and definitively demonstrate the need for a McNair project to serve the target population. In particular, the Secretary looks for information that clearly defines the target population; describes the academic, financial and other problems that prevent potentially eligible project participants in the target population from completing baccalaureate programs and continuing to postbaccalaureate programs; and demonstrates that the project's target population is underrepresented in graduate education, doctorate degrees conferred and careers where a doctorate is a prerequisite.
(b) Objectives (9 points). The Secretary evaluates the quality of the applicant's objectives and proposed targets (percentages) in the following areas on the basis of the extent to which they are both ambitious, as related to the need data provided under paragraph (a) of this section, and attainable, given the project's plan of operation, budget, and other resources:
(1) (2 points) Research or scholarly activity.
(2) (3 points) Enrollment in a graduate program.
(3) (2 points) Continued enrollment in graduate study.
(4) (2 points) Doctoral degree attainment.
(c) Plan of Operation (44 points). The Secretary reviews each application to determine the quality of the applicant's plans of operation, including—
(1) (4 points) The plan for identifying, recruiting and selecting participants to be served by the project, including students enrolled in the Student Support Services program;
(2) (4 points) The plan for assessing individual participant needs and for monitoring the academic growth of participants during the period in which the student is a McNair participant;
(3) (5 points) The plan for providing high quality research and scholarly activities in which participants will be involved;
(4) (5 points) The plan for involving faculty members in the design of research activities in which students will be involved;
(5) (5 points) The plan for providing internships, seminars, and other educational activities designed to prepare undergraduate students for doctoral study;
(6) (5 points) The plan for providing individual or group services designed to enhance a student's successful entry into postbaccalaureate education;
(7) (3 points) The plan to inform the institutional community of the goals and objectives of the project;
(8) (8 points) The plan to ensure proper and efficient administration of the project, including, but not limited to matters such as financial management, student records management, personnel management, the organizational structure, and the plan for coordinating the McNair project with other programs for disadvantaged students; and
(9) (5 points) The follow-up plan that will be used to track the academic and career accomplishments of participants after they are no longer participating in the McNair project.
(d) Quality of key personnel (9 points). The Secretary evaluates the quality of key personnel the applicant plans to use on the project on the basis of the following:
(1)(i) The job qualifications of the project director.
(ii) The job qualifications of each of the project's other key personnel.
(iii) The quality of the project's plan for employing highly qualified persons, including the procedures to be used to employ members of groups underrepresented in higher education, including Blacks, Hispanics, American Indians, Alaska Natives, Asian Americans and Pacific Islanders (including Native Hawaiians).
(2) In evaluating the qualifications of a person, the Secretary considers his or her experience and training in fields related to the objectives of the project.
(e) Adequacy of the resources and budget (15 points). The Secretary evaluates the extent to which—
(1) The applicant's proposed allocation of resources in the budget is clearly related to the objectives of the project;
(2) Project costs and resources, including facilities, equipment, and supplies, are reasonable in relation to the objectives and scope of the project; and
(3) The applicant's proposed commitment of institutional resources to the McNair participants, as for example, the commitment of time from institutional research faculty and the waiver of tuition and fees for McNair participants engaged in summer research projects.
(f) Evaluation plan (7 points). The Secretary evaluates the quality of the evaluation plan for the project on the basis of the extent to which the applicant's methods of evaluation—
(1) Are appropriate to the project's objectives;
(2) Provide for the applicant to determine, in specific and measurable ways, the success of the project in—
(i) Making progress toward achieving its objectives (a formative evaluation); and
(ii) Achieving its objectives at the end of the project period (a summative evaluation); and
(3) Provide for a description of other project outcomes, including the use of quantifiable measures, if appropriate.
§ 647.22   How does the Secretary evaluate prior experience?
(a) In the case of an applicant described in § 647.20(a)(2)(i), the Secretary—
(1) Evaluates an applicant's performance under its expiring McNair project;
(2) Uses the approved project objectives for the applicant's expiring McNair grant and the information the applicant submitted in its annual performance reports (APRs) to determine the number of PE points; and
(3) May adjust a calculated PE score or decide not to award PE points if other information such as audit reports, site visit reports, and project evaluation reports indicates the APR data used to calculate PE are incorrect.
(b) The Secretary does not award PE points for a given year to an applicant that does not serve at least 90 percent of the approved number of participants. For purposes of this section, the approved number of participants is the total number of participants the project would serve as agreed upon by the grantee and the Secretary.
(c) The Secretary does not award any PE points for the criteria specified in paragraph (e)(1) of this section (Number of participants) if the applicant did not serve at least the approved number of participants.
(d) The Secretary uses the approved number of participants, or the actual number of participants served in a given year if greater than the approved number of participants, as the denominator for calculating whether the applicant has met its approved objective related to paragraph (e)(2) of this section (Research and scholarly activities).
(e) For purposes of the PE evaluation of grants awarded after January 1, 2009, the Secretary evaluates the applicant's PE on the basis of the following outcome criteria:
(1) (3 points) Number of participants. Whether the applicant provided services to no less than the approved number of participants.
(2) (3 points) Research or scholarly activities. Whether the applicant met or exceeded its objective for providing participants served during the project year with appropriate research and scholarly activities each academic year.
(3) (3 points) Graduate school enrollment. Whether the applicant met or exceeded its objective with regard to the acceptance and enrollment in graduate programs of participants served during the project year who complete the baccalaureate program during the academic year.
(4) (4 points) Continued enrollment in graduate school. Whether the applicant met or exceeded its objective with regard to the continued enrollment in graduate school of prior participants.
(5) (2 points) Doctoral degree attainment. Whether the applicant met or exceeded its objective with regard to the attainment of doctoral level degrees of prior participants in the specified number of years.
§ 647.23   How does the Secretary set the amount of a grant?
(a) The Secretary sets the amount of a grant on the basis of—
(1) 34 CFR 75.232 and 75.233 for new grants; and
(2) 34 CFR 75.253 for the second and subsequent years of a project period.
(b) If the circumstances described in section 402A(b)(3) of the HEA exist, the Secretary uses the available funds to set the amount of the grant at the lesser of—
(1) $200,000; or
(2) The amount requested by the applicant.
§ 647.24   What is the review process for unsuccessful applicants?
(a) Technical or administrative error for applications not reviewed. (1) An applicant whose grant application was not evaluated during the competition may request that the Secretary review the application if—
(i) The applicant has met all of the application submission requirements included in the Federal Register notice inviting applications and the other published application materials for the competition; and
(ii) The applicant provides evidence demonstrating that the Department or an agent of the Department made a technical or administrative error in the processing of the submitted application.
(2) A technical or administrative error in the processing of an application includes—
(i) A problem with the system for the electronic submission of applications that was not addressed in accordance with the procedures included in the Federal Register notice inviting applications for the competition;
(ii) An error in determining an applicant's eligibility for funding consideration, which may include, but is not limited to—
(A) An incorrect conclusion that the application was submitted by an ineligible applicant;
(B) An incorrect conclusion that the application exceeded the published page limit;
(C) An incorrect conclusion that the applicant requested funding greater than the published maximum award; or
(D) An incorrect conclusion that the application was missing critical sections of the application; and
(iii) Any other mishandling of the application that resulted in an otherwise eligible application not being reviewed during the competition.
(3)(i) If the Secretary determines that the Department or the Department's agent made a technical or administrative error, the Secretary has the application evaluated and scored.
(ii) If the total score assigned the application would have resulted in funding of the application during the competition and the program has funds available, the Secretary funds the application prior to the re-ranking of applications based on the second peer review of applications described in paragraph (c) of this section.
(b) Administrative or scoring error for applications that were reviewed. (1) An applicant that was not selected for funding during a competition may request that the Secretary conduct a second review of the application if—
(i) The applicant provides evidence demonstrating that the Department, an agent of the Department, or a peer reviewer made an administrative or scoring error in the review of its application; and
(ii) The final score assigned to the application is within the funding band described in paragraph (d) of this section.
(2) An administrative error relates to either the PE points or the scores assigned to the application by the peer reviewers.
(i) For PE points, an administrative error includes mathematical errors made by the Department or the Department's agent in the calculation of the PE points or a failure to correctly add the earned PE points to the peer reviewer score.
(ii) For the peer review score, an administrative error is applying the wrong peer reviewer scores to an application.
(3)(i) A scoring error relates only to the peer review process and includes errors caused by a reviewer who, in assigning points—
(A) Uses criteria not required by the applicable law or program regulations, the Federal Register notice inviting applications, the other published application materials for the competition, or guidance provided to the peer reviewers by the Secretary; or
(B) Does not consider relevant information included in the appropriate section of the application.
(ii) The term “scoring error” does not include—
(A) A peer reviewer's appropriate use of his or her professional judgment in evaluating and scoring an application;
(B) Any situation in which the applicant did not include information needed to evaluate its response to a specific selection criterion in the appropriate section of the application as stipulated in the Federal Register notice inviting applications or the other published application materials for the competition; or
(C) Any error by the applicant.
(c) Procedures for the second review. (1) To ensure the timely awarding of grants under the competition, the Secretary sets aside a percentage of the funds allotted for the competition to be awarded after the second review is completed.
(2) After the competition, the Secretary makes new awards in rank order as described in § 647.20 based on the available funds for the competition minus the funds set aside for the second review.
(3) After the Secretary issues a notification of grant award to successful applicants, the Secretary notifies each unsuccessful applicant in writing as to the status of its application and the funding band for the second review and provides copies of the peer reviewers' evaluations of the applicant's application and the applicant's PE score, if applicable.
(4) An applicant that was not selected for funding following the competition as described in paragraph (c)(2) of this section and whose application received a score within the funding band as described in paragraph (d) of this section, may request a second review if the applicant demonstrates that the Department, the Department's agent, or a peer reviewer made an administrative or scoring error as provided in paragraph (b) of this section.
(5) An applicant whose application was not funded after the first review as described in paragraph (c)(2) of this section and whose application received a score within the funding band as described in paragraph (d) of this section has at least 15 calendar days after receiving notification that its application was not funded in which to submit a written request for a second review in accordance with the instructions and due date provided in the Secretary's written notification.
(6) An applicant's written request for a second review must be received by the Department or submitted electronically to a designated e-mail or Web address by the due date and time established by the Secretary.
(7) If the Secretary determines that the Department or the Department's agent made an administrative error that relates to the PE points awarded, as described in paragraph (b)(2)(i) of this section, the Secretary adjusts the applicant's PE score to reflect the correct number of PE points. If the adjusted score assigned to the application would have resulted in funding of the application during the competition and the program has funds available, the Secretary funds the application prior to the re-ranking of applications based on the second peer review of applications described in paragraph (c)(9) of this section.
(8) If the Secretary determines that the Department, the Department's agent or the peer reviewer made an administrative error that relates to the peer reviewers' score(s), as described in paragraph (b)(2)(ii) of this section, the Secretary adjusts the applicant's peer reviewers' score(s) to correct the error. If the adjusted score assigned to the application would have resulted in funding of the application during the competition and the program has funds available, the Secretary funds the application prior to the re-ranking of applications based on the second peer review of applications described in paragraph (c)(9) of this section.
(9) If the Secretary determines that a peer reviewer made a scoring error, as described in paragraph (b)(3) of this section, the Secretary convenes a second panel of peer reviewers in accordance with the requirements in section 402A(c)(8)(C)(iv)(III) of the HEA.
(10) The average of the peer reviewers' scores from the second peer review are used in the second ranking of applications. The average score obtained from the second peer review panel is the final peer reviewer score for the application and will be used even if the second review results in a lower score for the application than that obtained in the initial review.
(11) For applications in the funding band, the Secretary funds these applications in rank order based on adjusted scores and the available funds that have been set aside for the second review of applications.
(d) Process for establishing a funding band. (1) For each competition, the Secretary establishes a funding band for the second review of applications.
(2) The Secretary establishes the funding band for each competition based on the amount of funds the Secretary has set aside for the second review of applications.
(3) The funding band is composed of those applications—
(i) With a rank-order score before the second review that is below the lowest score of applications funded after the first review; and
(ii) That would be funded if the Secretary had 150 percent of the funds that were set aside for the second review of applications for the competition.
(e) Final decision. (1) The Secretary's determination of whether the applicant has met the requirements for a second review and the Secretary's decision on re-scoring of an application are final and not subject to further appeal or challenge.
(2) An application that scored below the established funding band for the competition is not eligible for a second review.
§ 647.30   What are allowable costs?
The cost principles in 2 CFR part 200, subpart E, may include the following costs reasonably related to carrying out a McNair project:
(a) Activities of an academic or scholarly nature, such as trips to institutions of higher education offering doctoral programs, and special lectures, symposia, and professional conferences, which have as their purpose the encouragement and preparation of project participants for doctoral studies.
(b) Stipends of up to $2,800 per year for students engaged in research internships, provided that the student has completed the sophomore year of study at an eligible institution before the internship begins.
(c) Necessary tuition, room and board, and transportation for students engaged in research internships during the summer.
(d) Purchase, lease, or rental of computer hardware, software, and other equipment, service agreements for such equipment, and supplies for participant development, project administration, or project recordkeeping.
§ 647.31   What are unallowable costs?
Costs that may not be charged against a grant under this program include the following:
(a) Payment of tuition, stipends, test preparation and fees or any other form of student financial support to staff or participants not expressly allowed under § 647.30.
(b) Construction, renovation, and remodeling of any facilities.
§ 647.32   What other requirements must a grantee meet?
(a) Number of Participants. For each year of the project period, a grantee must serve at least the number of participants that the Secretary identifies in the Federal Register notice inviting applications for a competition. Through this notice, the Secretary also provides the minimum and maximum grant award amounts for the competition.
(b) Eligibility of participants. (1) A grantee shall determine the eligibility of each student before the student is selected to participate. A grantee does not have to redetermine a student's eligibility once the student has been determined eligible in accordance with the provisions of § 647.3; and
(2) A grantee shall determine the status of a low-income individual on the basis of the documentation described in section 402A(e) of the HEA.
(c) Recordkeeping. For each student, a grantee shall maintain a record of—
(1) The basis for the grantee's determination that the student is eligible to participate in the project under § 647.3;
(2) The individual needs assessment;
(3) The services provided to the participant; and
(4) The specific educational progress made by the student during and after participation in the project.
(5) To the extent practicable, any services the participant receives during the project year from another Federal TRIO program or another federally funded program that serves populations similar to those served under the McNair program.
(d) Other reporting requirements. A grantee shall submit to the Secretary reports and other information as requested in order to demonstrate program effectiveness.
(e) Project director. A grantee shall designate a project director who has—
(1) Authority to conduct the project effectively; and
(2) Appropriate professional qualifications, experience and administrative skills to effectively fulfill the objectives of the project.