Title 34—Education--Volume 1
PART 645—UPWARD BOUND PROGRAM
§ 645.1   What is the Upward Bound Program?
(a) The Upward Bound Program provides Federal grants to projects designed to generate in program participants the skills and motivation necessary to complete a program of secondary education and to enter and succeed in a program of postsecondary education.
(b) The Upward Bound Program provides Federal grants for the following three types of projects:
(1) Regular Upward Bound projects.
(2) Upward Bound Math and Science Centers.
(3) Veterans Upward Bound projects.
§ 645.2   Who is eligible for a grant?
The following entities are eligible to apply for a grant to carry out an Upward Bound project:
(a) An institution of higher education.
(b) A public or private agency or organization, including a community-based organization with experience in serving disadvantaged youth.
(c) A secondary school.
(d) A combination of the types of institutions, agencies, and organizations described in paragraphs (a), (b), and (c) of this section.
§ 645.3   Who is eligible to participate in an Upward Bound project?
An individual is eligible to participate in a Regular, Veterans, or a Math and Science Upward Bound project if the individual meets all of the following requirements:
(a)(1) Is a citizen or national of the United States.
(2) Is a permanent resident of the United States.
(3) Is in the United States for other than a temporary purpose and provides evidence from the Immigration and Naturalization Service of his or her intent to become a permanent resident.
(4) Is a permanent resident of Guam, the Northern Mariana Islands, or the Trust Territory of the Pacific Islands.
(5) Is a resident of the Freely Associated States—the Federated States of Micronesia, the Republic of the Marshall Islands, or the Republic of Palau.
(b) Is—
(1) A potential first-generation college student;
(2) A low-income individual; or
(3) An individual who has a high risk for academic failure.
(c) Has a need for academic support, as determined by the grantee, in order to pursue successfully a program of education beyond high school.
(d) At the time of initial selection, has completed the eighth grade and is at least 13 years old but not older than 19, although the Secretary may waive the age requirement if the applicant demonstrates that the limitation would defeat the purposes of the Upward Bound program. However, a veteran as defined in § 645.6, regardless of age, is eligible to participate in an Upward Bound project if he or she satisfies the eligibility requirements in paragraphs (a), (b), and (c) of this section.
§ 645.4   What are the grantee requirements for documenting the low-income and first-generation status of participants?
(a) For purposes of documenting a participant's low-income status the following applies:
(1) In the case of a student who is not an independent student, an institution shall document that the student is a low-income individual by obtaining and maintaining—
(i) A signed statement from the student's parent or legal guardian regarding family income;
(ii) Verification of family income from another governmental source;
(iii) A signed financial aid application; or
(iv) A signed United States or Puerto Rican income tax return.
(2) In the case of a student who is an independent student, an institution shall document that the student is a low-income individual by obtaining and maintaining—
(i) A signed statement from the student regarding family income;
(ii) Verification of family income from another governmental source;
(iii) A signed financial aid application; or
(iv) A signed United States or Puerto Rican income tax return.
(b) For purposes of documenting potential first generation college student status, documentation consists of a signed statement from a dependent participant's parent, or a signed statement from an independent participant.
(c) A grantee does not have to revalidate a participant's eligibility after the participant's initial selection.
§ 645.5   What regulations apply?
The following regulations apply to the Upward Bound Program:
(a) The Education Department General Administrative Regulations (EDGAR) in 34 CFR parts 75 (except for §§ 75.215 through 75.221), 77, 79, 80, 82, 84, 85, 86, 97, 98, and 99.
(b) The regulations in this part 645.
(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.
§ 645.6   What definitions apply to the Upward Bound Program?
(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 population means a group of individuals that an eligible entity desires to serve through an application for a grant under the Upward Bound 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.
Family taxable income means—
(1) With regard to a dependent student, the taxable income of the individual's parents;
(2) With regard to a dependent student who is an orphan or ward of the court, no taxable income;
(3) With regard to an independent student, the taxable income of the student and his or her spouse.
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).
Foster care youth means youth who are in foster care or are aging out of the foster care system.
HEA means the Higher Education Act of 1965, as amended.
Homeless children and youth means persons defined in section 725 of the McKinney-Vento Homeless Assistance Act (42 U.S.C. 11434a).
Independent student means a student who—
(1) Is an orphan or ward of the court;
(2) Is a veteran of the Armed Forces of the United States (as defined in this section);
(3) Is a married individual; or
(4) Has legal dependents other than a spouse.
Individual who has a high risk for academic failure (regular Upward Bound participant) means an individual who—
(1) Has not achieved at the proficient level on State assessments in reading or language arts;
(2) Has not achieved at the proficient level on State assessments in math;
(3) Has not successfully completed pre-algebra or algebra by the beginning of the tenth grade; or
(4) Has a grade point average of 2.5 or less (on a 4.0 scale) for the most recent school year for which grade point averages are available.
Individual with a disability means a person who has a disability, as that term is defined in section 12102 of the Americans with Disabilities Act (42 U.S.C. 12101 et seq. ).
Institution of higher education means an educational institution as defined in sections 101 and 102 of the HEA.
Limited English proficiency with reference to an individual, means an individual whose native language is other than English and who has sufficient difficulty speaking, reading, writing, or understanding the English language to deny that individual the opportunity to learn successfully in classrooms in which English is the language of instruction.
Low-income individual means an individual whose family taxable income did not exceed 150 percent of the poverty level amount in the calendar year preceding the year in which the individual initially participates in the project. The poverty level amount is determined by using criteria of poverty established by the Bureau of the Census of the U.S. Department of Commerce.
Organization/Agency means an entity that is legally authorized to operate programs such as Upward Bound in the State where it is located.
Participant means an individual who—
(1) Is determined to be eligible to participate in the project under § 645.3;
(2) Resides in the target area, or is enrolled in a target school at the time of acceptance into the project; and
(3) Has been determined by the project director to be committed to the project, as evidenced by being allowed to continue in the project for at least—
(i) Ten days in a summer component if the individual first enrolled in an Upward Bound project's summer component; or
(ii) Sixty days if the individual first enrolled in an Upward Bound project's academic year component.
Potential first-generation college student means—
(1) An individual 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 natural or adoptive parent and whose supporting parent did not receive a baccalaureate degree.
Regular secondary school diploma means a diploma attained by individuals who meet or exceed the coursework and performance standards for high school completion established by the individual's State.
Rigorous secondary school program of study means a program of study that is—
(1) Established by a State educational agency (SEA) or local educational agency (LEA) and recognized as a rigorous secondary school program of study by the Secretary through the process described in 34 CFR 691.16(a) through (c) for the Academic Competitiveness Grant (ACG) Program;
(2) An advanced or honors secondary school program established by States and in existence for the 2004-2005 school year or later school years;
(3) Any secondary school program in which a student successfully completes at a minimum the following courses:
(i) Four years of English.
(ii) Three years of mathematics, including algebra I and a higher-level class such as algebra II, geometry, or data analysis and statistics.
(iii) Three years of science, including one year each of at least two of the following courses: biology, chemistry, and physics.
(iv) Three years of social studies.
(v) One year of a language other than English;
(4) A secondary school program identified by a State-level partnership that is recognized by the State Scholars Initiative of the Western Interstate Commission for Higher Education (WICHE), Boulder, Colorado;
(5) Any secondary school program for a student who completes at least two courses from an International Baccalaureate Diploma Program sponsored by the International Baccalaureate Organization, Geneva, Switzerland, and receives a score of a “4” or higher on the examinations for at least two of those courses; or
(6) Any secondary school program for a student who completes at least two Advanced Placement courses and receives a score of “3” or higher on the College Board's Advanced Placement Program Exams for at least two of those courses.
Secondary school means a school that provides secondary education as determined under State law.
Target area means a discrete local or regional geographical area designated by the applicant as the area to be served by an Upward Bound project.
Target school means a school designated by the applicant as a focus of project services.
Veteran means a person who—
(1) Served on active duty as a member of the Armed Forces of the United States for a period of more than 180 days and was discharged or released under conditions other than dishonorable;
(2) Served on active duty as a member of the Armed Forces of the United States and was discharged or released because of a service connected disability;
(3) Was a member of a reserve component of the Armed Forces of the United States and was called to active duty for a period of more than 30 days; or
(4) Was a member of a reserve component of the Armed Forces of the United States who served on active duty in support of a contingency operation (as that term is defined in section 101(a)(13) of title 10, United States Code) on or after September 11, 2001.
Veteran who has a high risk for academic failure means a veteran who—
(1) Has been out of high school or dropped out of a program of postsecondary education for five or more years;
(2) Has scored on standardized tests below the level that demonstrates a likelihood of success in a program of postsecondary education; or
(3) Meets the definition of an individual with a disability as defined in § 645.6(b).
§ 645.10   What kinds of projects are supported under the Upward Bound Program?
The Secretary provides grants to the following three types of Upward Bound projects:
(a) Regular Upward Bound projects designed to prepare high school students for programs of postsecondary education.
(b) Upward Bound Math and Science Centers designed to prepare high school students for postsecondary education programs that lead to careers in the fields of math and science.
(c) Veterans Upward Bound projects designed to assist veterans to prepare for a program of postsecondary education.
§ 645.11   What services do all Upward Bound projects provide?
(a) Any project assisted under this part must provide—
(1) Academic tutoring to enable students to complete secondary or postsecondary courses, which may include instruction in reading, writing, study skills, mathematics, science, and other subjects;
(2) Advice and assistance in secondary and postsecondary course selection;
(3) Assistance in preparing for college entrance examinations and completing college admission applications;
(4)(i) Information on the full range of Federal student financial aid programs and benefits (including Federal Pell Grant awards and loan forgiveness) and resources for locating public and private scholarships; and
(ii) Assistance in completing financial aid applications, including the Free Application for Federal Student Aid;
(5) Guidance on and assistance in—
(i) Secondary school reentry;
(ii) Alternative education programs for secondary school dropouts that lead to the receipt of a regular secondary school diploma;
(iii) Entry into general educational development (GED) programs; or
(iv) Entry into postsecondary education; and
(6) Education or counseling services designed to improve the financial and economic literacy of students or the students' parents, including financial planning for postsecondary education.
(b) Any project that has received funds under this part for at least two years must include as part of its core curriculum in the next and succeeding years, instruction in—
(1) Mathematics through pre-calculus;
(2) Laboratory science;
(3) Foreign language;
(4) Composition; and
(5) Literature.
§ 645.12   What services may regular Upward Bound and Upward Bound Math-Science projects provide?
Any project assisted under this part may provide such services as—
(a) Exposure to cultural events, academic programs, and other activities not usually available to disadvantaged youth;
(b) Information, activities, and instruction designed to acquaint youth participating in the project with the range of career options available to the youth;
(c) On-campus residential programs;
(d) Mentoring programs involving elementary school or secondary school teachers or counselors, faculty members at institutions of higher education, students, or any combination of these persons;
(e) Work-study positions where youth participating in the project are exposed to careers requiring a postsecondary degree;
(f) Programs and activities as described in § 645.11 that are specially designed for participants who are limited English proficient, participants from groups that are traditionally underrepresented in postsecondary education, participants who are individuals with disabilities, participants who are homeless children and youths, participants in or who are aging out of foster care, or other disconnected participants; and
(g) Other activities designed to meet the purposes of the Upward Bound program in § 645.1.
§ 645.13   How are regular Upward Bound projects organized?
(a) Regular Upward Bound projects—
(1) Must provide participants with a summer instructional component that is designed to simulate a college-going experience for participants, and an academic year component; and
(2) May provide a summer bridge component to those Upward Bound participants who have graduated from secondary school and intend to enroll in an institution of higher education in the following fall term. A summer bridge component provides participants with services and activities, including college courses, that aid in the transition from secondary education to postsecondary education.
(b) A summer instructional component shall—
(1) Be six weeks in length unless the grantee can demonstrate to the Secretary that a shorter period will not hinder the effectiveness of the project nor prevent the project from achieving its goals and objectives, and the Secretary approves that shorter period; and
(2) Provide participants with one or more of the services described in § 645.11 at least five days per week.
(c)(1) Except as provided in paragraph (c)(2) of this section, an academic year component shall provide program participants with one or more of the services described in § 645.11 on a weekly basis throughout the academic year and, to the extent possible, shall not prevent participants from fully participating in academic and nonacademic activities at the participants' secondary school.
(2) If an Upward Bound project's location or the project's staff are not readily accessible to participants because of distance or lack of transportation, the grantee may, with the Secretary's permission, provide project services to participants every two weeks during the academic year.
§ 645.14   What additional services do Upward Bound Math and Science Centers provide and how are they organized?
(a) In addition to the services that must be provided under § 645.11(a) and may be provided under § 645.11(b), an Upward Bound Math and Science Center must provide—
(1) Intensive instruction in mathematics and science, including hands-on experience in laboratories, in computer facilities, and at field-sites;
(2) Activities that will provide participants with opportunities to learn from mathematicians and scientists who are engaged in research and teaching at the applicant institution, or who are engaged in research or applied science at hospitals, governmental laboratories, or other public and private agencies;
(3) Activities that will involve participants with graduate and undergraduate science and mathematics majors who may serve as tutors and counselors for participants; and
(4) A summer instructional component that is designed to simulate a college-going experience that is at least six weeks in length and includes daily coursework and other activities as described in this section as well as in § 645.11.
(b) Math Science Upward Bound Centers may also include—
(1) A summer bridge component consisting of math and science related coursework for those participants who have completed high school and intend on enrolling in an institution of higher education in the following fall term; and
(2) An academic year component designed by the applicant to enhance achievement of project objectives in the most cost-effective way taking into account the distances involved in reaching participants in the project's target area.
§ 645.15   What additional services may Veterans Upward Bound projects provide?
In addition to the services that must be provided under § 645.11, a Veterans Upward Bound project must—
(a) Provide intensive basic skills development in those academic subjects required for successful completion of a high school equivalency program and for admission to postsecondary education programs;
(b) Provide short-term remedial or refresher courses for veterans who are high school graduates but who have delayed pursuing postsecondary education. If the grantee is an institution of higher education, these courses shall not duplicate courses otherwise available to veterans at the institution;
(c) Assist veterans in securing support services from other locally available resources such as the Veterans Administration, State veterans agencies, veterans associations, and other State and local agencies that serve veterans; and
(d) Provide special services, including mathematics and science preparation, to enable veterans to make the transition to postsecondary education.
§ 645.20   How many applications for an Upward Bound award may an eligible applicant submit?
(a) An applicant may submit more than one application as long as each application describes a project that serves a different target area or target school, or another designated different population.
(b) For each grant competition, the Secretary designates, in the Federal Register notice inviting applications and other published application materials for the competition, the different populations for which an eligible entity may submit a separate application.
§ 645.21   What assurances must an applicant include in an application?
(a) An applicant for a Regular Upward Bound award must assure the Secretary that—
(1) Not less than two-thirds of the project's participants will be low-income individuals who are potential first-generation college students;
(2) The remaining participants will be low-income individuals, potential first-generation college students, or individuals who have a high risk for academic failure;
(3) No student will be denied participation in a project because the student would enter the project after the 9th grade; and
(4) The project will collaborate with other Federal TRIO projects, GEAR UP projects, or programs serving similar populations that are serving the same target schools or target area in order to minimize the duplication of services and promote collaborations so that more students can be served.
(b) An applicant for an Upward Bound Math and Science Centers award must assure the Secretary that—
(1) Not less than two-thirds of the project's participants will be low-income individuals who are potential first-generation college students;
(2) The remaining participants will be either low-income individuals or potential first-generation college students;
(3) No student will be denied participation in a project because the student would enter the project after the 9th grade; and
(4) The project will collaborate with other Federal TRIO projects, GEAR UP projects, or programs serving similar populations that are serving the same target schools or target area in order to minimize the duplication of services and promote collaborations so that more students can be served.
(c) An applicant for a Veterans Upward Bound award must assure the Secretary that—
(1) Not less than two-thirds of the project's participants will be low-income individuals who are potential first-generation college students;
(2) The remaining participants will be low-income individuals, potential first-generation college students, or veterans who have a high risk for academic failure; and
(3) The project will collaborate with other Federal TRIO projects or programs serving similar populations in the target area in order to minimize the duplication of services and promote collaborations so that more students can be served.
§ 645.30   How does the Secretary decide which grants to make?
(a) The Secretary evaluates an application for a grant as follows:
(1)(i) The Secretary evaluates the application on the basis of the selection criteria in § 645.31.
(ii) The maximum score for all the criteria in § 645.31 is 100 points. The maximum score for each criterion is indicated in parentheses with the criterion.
(2)(i) If an applicant for a new grant proposes to continue to serve substantially the same target population and schools that the applicant is serving under an expiring project, the Secretary evaluates the applicant's prior experience of high quality service delivery under the expiring Upward Bound project on the basis of the outcome criteria in § 645.32.
(ii) The maximum total score for all the criteria in § 645.32 is 15 points. The maximum score for each criterion is indicated in parentheses with the criterion.
(iii) 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.
(iv) An applicant may earn up to 15 PE points for each of the designated project years for which annual performance report data are available.
(v) The final PE score is the average of the scores for the three project years assessed.
(b) The Secretary makes grants in rank order on the basis of the application's total scores under paragraphs (a)(1) and (a)(2) of this section.
(c) If the total scores of two or more applications are the same and there are insufficient funds for these applications after the approval of higher-ranked applications, the Secretary uses whatever remaining funds are available to serve geographic areas that have been underserved by the Upward Bound Program.
(d) The Secretary does not make a new grant to an applicant if the applicant's prior project involved the fraudulent use of program funds.
§ 645.31   What selection criteria does the Secretary use?
The Secretary uses the following criteria to evaluate an application for a grant:
(a) Need for the project (24 points). In determining need for an Upward Bound project, the Secretary reviews each type of project (Regular, Math and Science, or Veterans) using different need criteria. The criteria for each type of project contain the same maximum score of 24 points and read as follows:
(1) The Secretary evaluates the need for a Regular Upward Bound project in the proposed target area on the basis of information contained in the application which clearly demonstrates that—
(i) The income level of families in the target area is low;
(ii) The education attainment level of adults in the target area is low;
(iii) Target high school dropout rates are high;
(iv) College-going rates in target high schools are low;
(v) Student/counselor ratios in the target high schools are high; and
(vi) Unaddressed academic, social and economic conditions in the target area pose serious problems for low-income, potentially first-generation college students.
(2) The Secretary evaluates the need for an Upward Bound Math and Science Center in the proposed target area on the basis of—
(i) The extent to which student performance on standardized achievement and assessment tests in mathematics and science in the target area is lower than State or national norms.
(ii) The extent to which potential participants attend schools in the target area that lack the resources and coursework that would help prepare persons for entry into postsecondary programs in mathematics, science, or engineering;
(iii) The extent to which such indicators as attendance data, dropout rates, college-going rates and student/counselor ratios in the target area indicate the importance of having additional educational opportunities available to low-income, first-generation students; and
(iv) The extent to which there are eligible students in the target area who have demonstrated interest and capacity to pursue academic programs and careers in mathematics and science, and who could benefit from an Upward Bound Math and Science program.
(3) The Secretary evaluates the need for a Veterans Upward Bound project in the proposed target area on the basis of clear evidence that shows—
(i) The proposed target area lacks the services for eligible veterans that the applicant proposes to provide;
(ii) A large number of veterans who reside in the target area are low income and potential first generation college students;
(iii) A large number of veterans who reside in the target area who have not completed high school or, have completed high school but have not enrolled in a program of postsecondary education; and
(iv) Other indicators of need for a Veterans Upward Bound project, including the presence of unaddressed academic or socio-economic problems of veterans in the area.
(b) Objectives (9 points). The Secretary evaluates the quality of the applicant's 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) For Regular Upward Bound and Upward Bound Math and Science Centers—
(i) (1 point) Academic performance (GPA);
(ii) (1 point) Academic performance (standardized test scores);
(iii) (2 points) Secondary school retention and graduation (with regular secondary school diploma);
(iv) (1 point) Completion of rigorous secondary school program of study;
(v) (3 points) Postsecondary enrollment; and
(vi) (1 point) Postsecondary completion.
(2) For Veterans Upward Bound—
(i) (2 points) Academic performance (standardized test scores);
(ii) (3 points) Education program retention and completion;
(iii) (3 points) Postsecondary enrollment; and
(iv) (1 point) Postsecondary completion.
(c) Plan of operation (30 points). The Secretary determines the quality of the applicant's plan of operation by assessing the quality of—
(1) The plan to inform the faculty and staff at the applicant institution or agency and the interested individuals and organizations throughout the target area of the goals and objectives of the project;
(2) The plan for identifying, recruiting, and selecting participants to be served by the project;
(3) The plan for assessing individual participant needs and for monitoring the academic progress of participants while they are in Upward Bound;
(4) The plan for locating the project within the applicant's organizational structure;
(5) The curriculum, services and activities that are planned for participants in both the academic year and summer components;
(6) The planned timelines for accomplishing critical elements of the project;
(7) The plan to ensure effective and efficient administration of the project, including, but not limited to, financial management, student records management, and personnel management;
(8) The applicant's plan to use its resources and personnel to achieve project objectives and to coordinate the Upward Bound project with other projects for disadvantaged students;
(9) The plan to work cooperatively with parents and key administrative, teaching, and counseling personnel at the target schools to achieve project objectives; and
(10) A follow-up plan for tracking graduates of Upward Bound as they enter and continue in postsecondary education.
(d) Applicant and community support (16 points). The Secretary evaluates the applicant and community support for the proposed project on the basis of the extent to which—
(1) The applicant is committed to supplementing the project with resources that enhance the project such as: space, furniture and equipment, supplies, and the time and effort of personnel other than those employed in the project.
(2) Resources secured through written commitments from community partners.
(i) An applicant that is an institution of higher education must include in its application commitments from the target schools and community organizations;
(ii) An applicant that is a secondary school must include in its commitments from institutions of higher education, community organizations, and, as appropriate, other secondary schools and the school district;
(iii) An applicant that is a community organization must include in its application commitments from the target schools and institutions of higher education.
(e) Quality of personnel (8 points). To determine the quality of personnel the applicant plans to use, the Secretary looks for information that shows—
(1) The qualifications required of the project director, including formal training or work experience in fields related to the objectives of the project and experience in designing, managing, or implementing similar projects;
(2) The qualifications required of each of the other personnel to be used in the project, including formal training or work experience in fields related to the objectives of the project;
(3) The quality of the applicant's plan for employing personnel who have succeeded in overcoming barriers similar to those confronting the project's target population.
(f) Budget and cost effectiveness (5 points). The Secretary reviews each application to determine the extent to which—
(1) The budget for the project is adequate to support planned project services and activities; and
(2) Costs are reasonable in relation to the objectives and scope of the project.
(g) Evaluation plan (8 points). The Secretary evaluates the quality of the evaluation plan for the project on the basis of the extent to which the applicant's methods of evaluation—
(1) Are appropriate to the project and include both quantitative and qualitative evaluation measures; and
(2) Examine in specific and measurable ways the success of the project in making progress toward achieving its process and outcomes objectives.
§ 645.32   How does the Secretary evaluate prior experience?
(a) In the case of an application described in § 645.30(a)(2)(i), the Secretary—
(1) Evaluates the applicant's performance under its expiring Upward Bound project;
(2) Uses the approved project objectives for the applicant's expiring Upward Bound 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 any PE points if other information such as audit reports, site visit reports, and project evaluation reports indicates the APR data used to calculate PE points 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 PE points for the criteria specified in paragraphs (e)(1)(i) and (e)(2)(i) 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 objectives related to the following PE criteria:
(1) Regular Upward Bound and Upward Bound Math and Science Centers PE criteria in paragraph (e)(1)(ii) of this section (Academic performance) and paragraph (e)(1)(iii) of this section (Secondary school retention and graduation).
(2) Veterans Upward Bound PE criteria in paragraph (e)(2)(iii) of this section (Education program retention and completion).
(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) Regular Upward Bound and Upward Bound Math and Science Centers.
(i) (3 points) Number of participants. Whether the applicant provided services to no less than the approved number of participants.
(ii) Academic Performance. (A) (1.5 points) Whether the applicant met or exceeded its approved objective with regard to participants served during the project year who had a cumulative GPA at the end of the school year that was not less than the GPA specified in the approved objective.
(B) (1.5 points) Whether the applicant met or exceeded its approved objective with regard to participants served during the project period who met the academic performance levels on standardized tests as specified in the approved objectives.
(iii) (3 points) Secondary school retention and graduation. Whether the applicant met or exceeded its approved objective with regard to participants served during the project year who returned the next school year or graduated from secondary school with a regular secondary school diploma.
(iv) (1.5 points) Rigorous secondary school program of study. Whether the applicant met or exceeded its approved objective with regard to current and prior participants with an expected high school graduation date in the school year who completed a rigorous secondary school program of study.
(v) (3 points) Postsecondary enrollment. Whether the applicant met or exceeded its approved objective with regard current and prior participants with an expected high school graduation date in the school year who enrolled in a program of postsecondary education within the time period specified in the approved objective.
(vi) (1.5 points) Postsecondary completion. Whether the applicant met or exceeded its approved objective with regard to participants who enrolled in a program of postsecondary education and attained a postsecondary degree within the number of years specified in the approved objective.
(2) Veterans Upward Bound.
(i) (3 points) Number of participants. Whether the applicant provided services to no less than the approved number of participants.
(ii) (3 points) Academic improvement on standardized test. Whether the applicant met or exceeded its approved objective with regard to participants who completed their Veterans Upward Bound educational program during the project year and who improved their academic performance as measured by a standardized test taken by participants before and after receiving services from the project.
(iii) (3 points) Education program retention and completion. Whether the applicant met or exceeded its approved objective with regard to participants served during the project year who remained in or completed their Veterans Upward Bound educational program.
(iv) (3 points) Postsecondary enrollment. Whether the applicant met or exceeded its approved objective with regard to participants who completed their Veterans Upward Bound educational program and enrolled in an institution of higher education within the time period specified in the approved objective.
(v) (3 points) Postsecondary completion. Whether the applicant met or exceeded its approved objective with regard to participants who enrolled in and completed a program of postsecondary education within the number of years specified in the approved objective.
§ 645.33   How does the Secretary set the amount of a grant?
(a) The Secretary sets the amount of a grant on the basis of—
(1) 34 CFR 75.232 and 75.233, for new grants; and
(2) 34 CFR 75.253, for the second and subsequent years of a project period.
(b) If the circumstances described in section 402A(b)(3) of the HEA exist, the Secretary uses the available funds to set the amount of the grant at the lesser of—
(1) $200,000; or
(2) The amount requested by the applicant.
§ 645.34   How long is a project period?
A project period under the Upward Bound program is five years.
§ 645.35   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 § 645.30 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 the 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.
§ 645.40   What are allowable costs?
The cost principles that apply to the Upward Bound Program are in 2 CFR part 200, subpart E. Allowable costs include the following if they are reasonably related to the objectives of the project:
(a) In-service training of project staff.
(b) Rental of space if space is not available at the host institution and the space rented is not owned by the host institution.
(c) For participants in an Upward Bound residential summer component, room and board—computed on a weekly basis—not to exceed the weekly rate the host institution charges regularly enrolled students at the institution.
(d) Room and board for those persons responsible for dormitory supervision of participants during a residential summer component.
(e) Educational pamphlets and similar materials for distribution at workshops for the parents of participants.
(f) Student activity fees for Upward Bound participants.
(g) Admissions fees, transportation, Upward Bound T-shirts, and other costs necessary to participate in field trips, attend educational activities, visit museums, and attend other events that have as their purpose the intellectual, social, and cultural development of participants.
(h) Costs for one project-sponsored banquet or ceremony.
(i) Tuition costs for postsecondary credit courses at the host institution for participants in the summer bridge component.
(j)(1) Accident insurance to cover any injuries to a project participant while participating in a project activity; and
(2) Medical insurance and health service fees for the project participants while participating full-time in the summer component.
(k) Courses in English language instruction for project participants with limited proficiency in English and for whom English language proficiency is necessary to succeed in postsecondary education.
(l) Transportation costs of participants for regularly scheduled project activities.
(m) Transportation, meals, and overnight accommodations for staff members when they are required to accompany participants in project activities such as field trips.
(n) Purchase, lease, or rental of computer hardware, software, and other equipment, service agreements for such equipment, and supplies that support the delivery of services to participants, including technology used by participants in a rigorous secondary school program of study.
(o) Purchase, lease, or rental of computer equipment and software, service agreements for such equipment, and supplies needed for project administration and recordkeeping.
(p) Fees required for college admissions applications or entrance examinations if—
(1) A waiver of the fee is unavailable;
(2) The fee is paid by the grantee to a third party on behalf of a participant.
(q) Tuition costs for a course that is part of a rigorous secondary school program of study if—
(1) The course or a similar course is not offered at the secondary school that the participant attends or at another school within the school district;
(2) The grantee demonstrates to the Secretary's satisfaction that using grant funds is the most cost-effective way to deliver the course or courses necessary for the completion of a rigorous secondary school program of study for program participants;
(3) The course is taken through an accredited institution of higher education;
(4) The course is comparable in content and rigor to courses that are part of a rigorous secondary school program of study as defined in § 645.6(b);
(5) The secondary school accepts the course as meeting one or more of the course requirements for obtaining a regular secondary school diploma;
(6) A waiver of the tuition costs is unavailable;
(7) The tuition is paid with Upward Bound grant funds to an institution of higher education on behalf of a participant; and
(8) The Upward Bound project pays for no more than the equivalent of two courses for a participant each school year.
§ 645.41   What are unallowable costs?
Costs that may not be charged against a grant under this program include the following:
(a) Research not directly related to the evaluation or improvement of the project.
(b) Meals for staff except as provided in § 645.40 (d) and (m) and in paragraph (c) of this section.
(c) Room and board for administrative and instructional staff personnel who do not have responsibility for dormitory supervision of project participants during a residential summer component unless these costs are approved by the Secretary.
(d) Room and board for participants in Veterans Upward Bound projects.
(e) Construction, renovation or remodeling of any facilities.
(f) Tuition, stipends, or any other form of student financial aid for project staff beyond that provided to employees of the grantee as part of its regular fringe benefit package.
§ 645.42   What are Upward Bound stipends?
(a) An Upward Bound project may provide stipends for all participants who participate on a full-time basis.
(b) In order to receive the stipend, the participant must show evidence of satisfactory participation in activities of the project including—
(1) Regular attendance; and
(2) Performance in accordance with standards established by the grantee and described in the application.
(c) The grantee may prorate the amount of the stipend according to the number of scheduled sessions in which the student participated.
(d) The following rules govern the amounts of stipends a grantee is permitted to provide:
(1) For Regular Upward Bound projects and Upward Bound Math and Science Centers—
(i) For the academic year component, the stipend may not exceed $40 per month; and
(ii) The stipend may not exceed $60 per month for the summer school recess for a period not to exceed three months, except that youth participating in a work-study position may be paid $300 per month during the summer school recess.
(2) For Veterans Upward Bound projects, the stipend may not exceed $40 per month.
§ 645.43   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) Project director. (1) A grantee must employ a full-time project director unless—
(i) The director is also administering one or two additional programs for disadvantaged students operated by the sponsoring institution or agency; or
(ii) The Secretary grants a waiver of this requirement.
(2) The grantee must give the project director sufficient authority to administer the project effectively.
(3) The Secretary waives the requirements in paragraph (b)(1) of this section if the applicant demonstrates that the project director will be able to effectively administer more than three programs and that this arrangement would promote effective coordination between the program and other Federal TRIO programs (sections 402B through 402F of the HEA) and similar programs funded through other sources.
(c) Recordkeeping. For each participant, a grantee must maintain a record of—
(1) The basis for the grantee's determination that the participant is eligible to participate in the project under § 645.3;
(2) The basis for the grantee's determination that the participant has a need for academic support in order to pursue successfully a program of education beyond secondary school;
(3) The services that are provided to the participant;
(4) The educational progress of the participant during high school and, to the degree possible, during the participant's pursuit of a postsecondary education program; and
(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 UB program.