1

Issue Paper 

Proposed Regulatory Language 

 Team IV – TRIO 

Origin: HEOA Sec. 403(a)

 

Issue: Definitions 

Statutory cites: HEA Sec. 402A, 402B, 402C, 402D, 402E, 402F, and 402G 

Regulatory cites: 34 CFR 642.6 (Training); 643.7 (TS); 644.7 (EOC); 645.6 (UB); 

646.7 (SSS); 647.7 (McNair) 

Summary of issue: The HEOA created new definitions for some terms and uses other 

new terms that may need to be defined through regulations. Some of the terms that are 

new to TRIO may be defined in other parts of the HEA or other program regulations. 

New terms with a clear statutory or regulatory definition will be incorporated in the 

regulations with a reference to the applicable statute or regulation, as appropriate. There 

are also terms that the Department needs to define through the regulations. The 

regulations need to be amended to add or change the terms and definitions. 

Updated information since March 25-27, 2009 meeting: Negotiators reached 

tentative agreement on the language for the following definitions: 

o Different campus (all programs);

o Different population (all programs);

o Financial and economic literacy (all programs)

o Foster care youth (all programs);

o Homeless children and youth (all programs);

o Institution of higher education (all programs);

o Veteran (all programs);

o Individual who has a high risk for academic failure (regular UB 

participant);

o Regular school diploma (UB and TS);

o Rigorous secondary school program of study (UB and TS); and

o Research or scholarly activities (McNair).

The negotiators did not reach agreement on the language for the following definitions. 

o Individual with disabilities (all programs); 

o Veteran who has a high risk for academic failure; and

o Groups underrepresented in graduate education (McNair).

The Department revised the definition of an individual with disabilities for all programs 

and has added a definition of a veteran who has a high risk of academic failure. For the 

McNair program, the Department proposes a revised definition of a summer internship 
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that has not previously been presented to the negotiators. The Department did not change 

its proposed revision to the definition of groups underrepresented in graduate education. 

For consistency across programs, the Department has added the definitions for a lowincome individual and a first-generation college student to the Student Support Services 

regulations. The definitions for “different campus” and “different population” are 

included in the issue paper on this topic.

Change: 

Definition changes that apply to all TRIO Programs: 

§642.6 (b)(Training); §643.7(b)(TS); §644.7(b) (EOC); 

§645.6(b)(UB); §646.7 (b)[old (c)] (SSS); §647.7 (b)

(McNair); Other definitions. 

 (b)The following definitions apply to this part: 

 Financial and economic literacy programming means 

programs that teach, through project services or 

connections to education or counseling services, TRIO 

participants and their families about personal financial 

decision-making. Subjects covered in financial and 

economic literacy programming include, but are not limited 

to—

(1) Personal/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 education (e.g., 

spending, saving, personal budgeting); 
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(4) College cost of attendance (e.g., public vs. 

private, tuition vs. fees, personal costs); 

(5) Scholarship, gran t and loan education (e.g., 

searches, application processes, and variances between 

private and government loans); and

(6) Assistance in completing the Free Application for 

Federal Student Aid (FAFSA). 

 Foster care youth means youth in foster care, youth who 

have left foster care after age 13, and youth who have aged 

out of foster care.

 Homeless children and youth means persons defined in 

section 725 of the McKinney-Vento Homeless Assistance Act 

(42 U.S.C. 11434(a)).

 Institution of higher education means an educational 

institution as defined in sections 481, 1201(a) and 1204

101 and 102 of the HEA. 

 Veteran means a person who-–

(a) 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;
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 (b) 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;

 (c) 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

 (d) 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.

The new definition for a veteran replaces the definition in 

34 C.F.R. §§643.7(b), 644.7(b) and 645.6(b); Other 

definitions:

Veteran means a person who served on active duty as a 

member of the Armed Forces of the United States--

 (1) For a period of more than 180 days, any part of 

which occurred after January 31, 1955, and who was 

discharged or released from active duty under conditions 

other than dishonorable; or

 (2) After January 31, 1955, and who was discharged or 

released from active duty because of a service-connected 

disability.

Definition that applies to §§643.7(b) (TS); §644.7(b)

(EOC); §645.6(b) (UB); §647.7(b) (McNair); Other 

definitions.
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 Individual with disabilities means a person who has a 

diagnosed physical or mental impairment that substantially 

limits that person’s ability to participate in the 

educational experiences and opportunities offered by the 

project.

Definition change that applies to §646.7(b) [old (c)] 

(SSS): 

Individual with disabilities means a person who has a 

diagnosed physical or mental impairment that substantially 

limits that person's ability to participate in the 

educational experiences and opportunities offered by the 

grantee institution project. 

Definition changes that will be made to §643.7(b) Talent 

Search and §645.6(b) Upward Bound: 

* * * * * 

 Regular secondary school diploma means a level 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 as defined in 34 CFR 691.16.

Additional definitions that apply to 642.6(b) Training: 

Sec. 642.5 6 What definitions apply? Definitions that to 

the Training Program. 
6

 

 Federal TRIO Programs means those programs authorized 

under Section 402A of the Act: the Upward Bound, Talent 

Search, Student Support Services, Educational Opportunity 

Centers, and Ronald E. McNair Postbaccalaureate Achievement 

Programs. 

 Individual with disabilities means a person who has a 

diagnosed physical or mental impairment that substantially 

limits that person’s ability to participate in the 

educational experiences and opportunities offered by the 

Federal TRIO Programs.

 Leadership personnel means project directors, 

coordinators, and other individuals directly involved with 

the supervision and direction of projects funded under the 

Federal TRIO Programs. 

Additional definitions that apply to 645.6(b) (Upward 

Bound) 

* * * * * 

 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; 
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 (3) Has not completed pre-algebra, algebra, or 

geometry; 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.

 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; 

or

 (2) Has scored on standardized tests below the level 

needed for admission to a program of postsecondary 

education. 

 Potential first-generation college student means--

* * * * * 

 (2) A student who, prior to the age of 18, regularly 

resideds with and receiveds support from only one natural 

or adoptive parent and whose supporting parent did not 

receive a baccalaureate degree. 

Delete all text under §646.7(a) of the Student Support 

Services regulations; change (b) Definitions in EDGAR to 

(a) and add the following definitions to new §646.7(b) 

(current §646.7 (c)) Student Support Services regulations: 

(a) Definitions in the Act. The following terms used in 

this part are defined in sections 402(A)(g), 481, or 

1201(a) of the Higher Education Act (HEA) of 1965, as 

amended:
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First generation college student

Institution of higher education

Low-income individual

(b) (a) Definitions in EDGAR. The following terms used in 

this part are defined in 34 CFR 77.1: 

* * * 

(b) Other definitions. 

 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.

 Low-income individual means an individual whose 

family's taxable income did not exceed 150 percent of the 

poverty level amount in the calendar year preceding the 

year in which the individual initially participated 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.
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Changes to definitions that apply to 647.7(b)(McNair) 

* * * * * 

 Graduate center means an educational institution of 

higher education as defined in sections 481, 1201(a), and 

1204 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. 

 Groups underrepresented in graduate education. The 

following ethnic and racial groups are currently 

underrepresented in graduate education: Black (nonHispanic), 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).

 Research or scholarly activity means an educational 

activity that is more rigorous than is typically available 
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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. 

Summer McNair internship means an educational experience in 

which a participants, under the guidance and direction of 

experienced faculty researchers, are is provided an 

opportunity to engage in research or other scholarly 

activities and for which the participant receives the 

legislated stipend of up to $2,800. 
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Issue Paper 

Proposed Regulatory Language 

 Team IV – TRIO 

Origin: HEOA Sec. 403(a) 

 

Issue: Number of Applications: Branch Campuses and Different 

Populations 

Statutory cites: HEA Sec. 402A(c)(5); 402A(h)(1)and (2) 

Regulatory cites: Definitions in 34 CFR 642.6 (Training); 643.7 (TS); 644.7 (EOC); 

645.6 (UB); 646.7 (SSS); 647.7 (McNair) 

SSS: 34 CFR 646, Subpart B – How Does One Apply for an 

Award? Section 646.10; (How many applications for a Student 

Support Services award may an eligible applicant submit?) 

Amend/revise 34 CFR 642, Subpart B – What Kinds of Projects 

Does the Secretary Assist Under This Program? (Training) and 

Subpart B of 34 CFR 643 (TS); part 644 (EOC); part 647 (McNair) 

and Subpart C of 34 CFR 645 (UB) -- Assurances to include a new 

section entitled “How many applications may an eligible applicant 

submit?”

Background: Entities applying for grants under most of the TRIO programs have 

traditionally been permitted to apply for multiple grants under each program. However, 

except for the Student Support Services program, the regulations for these programs do 

not specifically address this issue. For Talent Search (TS), Upward Bound (UB), and 

Educational Opportunity Centers (EOC), the practice has been that an eligible entity 

could apply for more than one grant provided each application proposed to serve students 

in different target schools (TS and UB) or a different target area (EOC). Also, in UB an 

entity could apply for grants under each of the three project types (Regular Upward 

Bound, Upward Bound Math-Science (UBMS) and Veterans Upward Bound (VUB)). 

For the TRIO Training program, the Notice Inviting Applications for the competition 

stipulates the number of applications an entity can submit (e.g., one application per 

program priority). 

In the SSS program, the regulations provide that an applicant could submit more than one 

grant application as long as each application proposed a project that would serve a 

different campus or a different population of participants as those terms were defined in 

34 CFR 646.7 
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Summary of issue: The HEOA establishes new requirements for the submission of more 

than one application by an eligible entity by adding definitions for a "different campus" 

of an institution of higher education and a "different population". The statute defines 

"different population" as a population "separate and distinct from any other population" 

or that "has distinct needs for specialized services". These changes apply to all of the 

TRIO programs. 

Updated information since March 25-27, 2009 meeting: Negotiators reached 

tentative agreement on the definitions for a different campus and a different 

population (which are statutory). They also reached tentative agreement regarding 

the language below regarding how many applications a grantee may submit under 

each of the TRIO programs. For the Student Support Services program, the 

negotiators reached tentative agreement on the provision that the Secretary will 

designate for each grant competition the different populations for which an eligible 

entity may submit a separate application in the Federal Register Notice Inviting 

Applications. The Department has moved this provision from the definition of 

different populations in §646.7 of the regulations to §646.10(b). 

Tentative Agreement: Yes 

 

Change: 

The following definition applies to: §642.5(b) Training; 

§643.7(b) Talent Search; §644.7(b) EOC; §645.6(b) Upward 

Bound; §646.7(b) [old (c)] Student Support Services; 

§647.7(b) McNair; Other definitions. 

* * * * * 

 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.

The following definition applies to: §642.6(b) Training; 

§643.7(b) Talent Search; §644.7(b) EOC; §645.6(b) Upward 

Bound; 646.7(b) [old (c)] Student Support Services; §647.7 
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(b) McNair; Other definitions. 

 Different population means a group of individuals that 

an eligible entity desires to serve through an application 

for a grant under the Federal TRIO programs 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.

The new definitions for different campus and different 

population replace the definitions for different campus and 

different population of participants respectively in §646.7 

(b) [old (c)] of the Student Support Services regulations. 

Different Campus means an institutional site that is 

geographically apart from and independent of the main 

campus of the institution. The Secretary considers a 

location of an institution to be independent of the main 

campus if the location—

(1) Is permanent in nature;

(2) Offers courses in educational programs leading to a 

degree, certificate, or other recognized educational 

credential;

(3) Has its own faculty and administrative or supervisory 

organization; and

(4) Has its own budgetary and hiring authority.

Different population of participants means a group of—

(1) Low-income, first-generation college students; or
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(2) Disabled students.

The following change applies to §642.7 Training: 

§642.7 How many applications may an eligible applicant 

submit?

 An applicant may submit more than one application for 

grants as long as each describes a project that addresses 

different absolute priorities.

The following change applies to §643.10 Talent Search: 

Subpart B Assurances— How Does One Apply for an Award?

§643.10 How many applications may an eligible applicant 

submit?

 An applicant may submit more than one application for 

(name of program) grants as long as each application 

describes a project that serves different target areas or 

schools.

The following change applies to §644.10 Educational 

Opportunities Centers: 

 An applicant may submit more than one application for 

Educational Opportunity Center grants as long as each 

application describes a project that serves different 

target areas.

The following change applies to §647.10 McNair: 
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 An applicant may submit more than one application for 

McNair grants as long as each application describes a 

project that serves different campuses.

The following change applies to §645.20(a) Upward Bound: 

Sec. 645.20 How many applications for an Upward Bound 

award may an eligible applicant submit? 

 (a)The Secretary accepts more than An applicant may 

submit more than one application from an eligible entity so 

long as an additional each application describes a project 

that serves different target areas or schools.

 * * * * * 

The following change applies: to SSS: 

Subpart B – How Does One Apply for an Award? 

Sec. 646.10 How many applications may an eligible 

applicant submit and for what different populations may an 

eligible application be submitted?

 (a) An eligible applicant may submit more than one 

application so long as each application describes a project 

that serves a different campus, or a different population 

of participants that cannot readily be served by a single 

project.

 (b) For each grant competition, the Secretary 

designates in the Federal Register notice inviting 
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applications the different populations for which an 

eligible entity may submit a separate application.

 
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Issue Paper

Proposed Regulatory Language 

Team IV – TRIO 

Origin: HEOA Sec. 403(a) 

 

Issue: Foster Care and Homeless Youth 

Statutory cites: HEA Sec. 402A 

Regulatory cites: To be determined

Summary of issue: A new provision added by the HEOA identifies new groups of 

students that projects can serve, including foster care youth and homeless children and 

youth. The HEOA clarifies that specific services for foster care and homeless youth are 

permissible and directs the Secretary, as appropriate, to require applicants for funds under 

the TRIO Programs to make available services to these youth. 

Updated information since March 25-28, 2009 meeting: Negotiators reached tentative 

agreement on the definitions for foster care youth and homeless children and youth. 

Tentative Agreement: Yes 

Change: 

The following definitions also apply to this part: 

§642.6(b) (Training); §643.7(b) (TS); §644.7(b) (EOC); 

§645.6(b) (UB); §646.7(b) (SSS); §647.7(b) (McNair); Other 

definitions. 

* * * * * 

 Foster care youth means youth in foster care, youth who 

have left foster care after age 13, and youth who have aged 

out of foster care.

 Homeless children and youth means persons defined in 

section 725 of the McKinney-Vento Homeless Assistance Act 

(42 U.S.C. 11434(a)).
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Issue Paper 

Proposed Regulatory Language 

 Team IV--TRIO 

Origin: HEOA Sec. 403(a) and (h)

 

Issue: Outcome Criteria 

Statutory cites: HEA Sec. 402A(c)(2)(A); 402A(f); and 402H(a)(1)(C) 

Regulatory cites: 34 CFR 642.32 (Training); 643.22 (TS); 644.22 (EOC); 645.32 

(UB); 646.22 (SSS); 647.22 (McNair) 

Summary of issue: The HEOA establishes specific outcome criteria to be used to 

determine a grantee's prior experience (PE) points and for the purpose of reporting 

annually to the Congress on program performance. The HEOA does not stipulate the 

distribution of the PE points among the new outcome criteria for each program. The 

HEOA does not establish specific outcome criteria for the Training program. The 

Training regulations have not been updated to reflect the current practice of awarding 15 

PE points. 

Updated information since March 25-27, 2009 meeting: 

At the March meeting, the Department provided the negotiators with draft proposed 

regulatory language related to the process for awarding PE points, changes to the PE 

criteria to incorporate the new HEOA requirements, and the proposed distribution of the 

fifteen PE points among the PE criteria for all the TRIO programs. The negotiators 

suggested some clarifications to the regulatory language and reached tentative agreement 

on the distribution of the maximum number of the PE points that may be earned for each 

criterion. 

The Department solicited comments as to how the Secretary should adjust the PE scores 

for a grantee that failed to serve the approved number of participants during the project 

year. The negotiators were divided on this issue; some wanted the impact of not serving 

the approved number to be limited to losing PE points for the one criterion related to 

serving the approved number of participants; others expressed concerns about not 

considering the number of participants served for other PE criteria that are dependent on 

the total number served (e.g., retention of participants). 

In response to this issue, the Department proposes three additional changes to the draft 

proposed PE regulations for all programs. They are: 
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(1) The Secretary awards no PE points for a given year to an applicant that does not 

serve at least 90 percent of the total number of participants to be served in that year under 

the approved application. 

(2) For the “number of participants” criterion, for a given year the Secretary awards no 

PE points if the applicant did not serve the total number of participants to be served under 

the approved application in that year. 

(3) For any PE criterion related to serving the approved number of participants (e.g. 

academic improvement and secondary school retention and graduation for UB), the 

Secretary uses the approved number to be served or the actual number served, if greater 

than the approved number to be served, as the denominator for calculating whether the 

applicant has met its approved objectives. 

For PE criteria that measure outcomes for a subset of the eligible participants (e.g., 

postsecondary enrollment for EOC) or criteria that measure the success of a cohort of 

students first served in a previous project year (e.g., postsecondary completion in UB), no 

adjustments will be made to the denominator used to calculate PE points for a grantee 

that did not serve its approved number of participants in the project year. The 

Department believes that the proposal to establish a threshold of serving at least 90 

percent of the approved number is sufficient to ensuring a fair and equitable awarding of 

PE points based on the grantee’s performance.

In reviewing the PE sections of the draft proposed regulations, the Department noted 

some differences in the formatting and regulatory language used among the regulations 

for the six programs. For consistency and clarity, the Department has further revised the 

draft proposed regulations to better standardize the regulatory language and the format 

for the PE criteria. (e.g., use same language for number of participant criterion; put 

number of participants as the first PE criterion for all programs, etc.). The Department 

has also tried to clarify some of the PE criteria with regard to how each of the criteria 

would be measured (e.g., for the UB postsecondary enrollment criterion, we inserted “the 

percentage of current and prior-year participants with an expected high school graduation 

date in the project year”). 

The negotiators were also divided on the “practicability” and burden on grantees of longterm tracking of participants (e.g., through completion of a postsecondary degree), 

particularly for the Talent Search projects. 

Consistent with the requirements of the HEOA, existing PE criteria, and recent practice, 

the Department has made no substantive changes to the postsecondary (or graduate 

school) completion criteria for the Student Support Services and McNair programs. 

For the Upward Bound programs, grantees have been tracking participants through 

completion of postsecondary degrees. However, for the FY 2007 Upward Bound 

competitions, for the standard objectives to be used in assessing prior experience, the 

Department interpreted the existing PE criteria on “success” in education beyond high 
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school to be persistence into the second year of postsecondary education. The new 

statutory outcome criteria for Upward Bound in the HEOA include a requirement that 

grantees track postsecondary completion “to the extent practicable.” Based on past 

practice, the relatively small number of students served each year by an Upward Bound 

project, and the availability of a variety of databases and other means for tracking a 

participant’s postsecondary progress, the Department believes that tracking participants 

through completion of postsecondary degrees is practicable. 

However, for the Talent Search (TS) program, the Department has changed the PE 

criterion for postsecondary completion to include only those individuals that participated 

in the project’s rigorous secondary school program of study. Because many participants 

receive limited services, the Department does not believe it would be “practicable” to 

require TS projects to track the postsecondary completion of all individuals served. 

 
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Change: 

 Talent Search Program 

Subpart C--How Does the Secretary Make a Grant? 

§643.20 How does the Secretary decide which new grants to 

make? 

* * * * * 

 (a)* * * 

 (2)* * * 

 (ii) The maximum total score for all the criteria in 

§643.22 is 15 points. The maximum score for each criterion 

is indicated in parentheses with the criterion. 

 (iii) The Secretary evaluates the prior experience 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 fifteen prior 

experience points for each of the designated project years 

for which annual performance report data are available.

 (v) The final prior experience score is the average 

of the scores for the three project years assessed. 

 (3) The Secretary awards additional points equal to 10 

percent of the application's score under paragraphs (a)(1) 

and (2) of this section to an application for a project in 
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Guam, the Virgin Islands, American Samoa, the Trust 

Territory of the Pacific Islands (Palau), or the Northern 

Mariana Islands if the applicant meets the requirements of 

subparts A, B, and D of this part.

 (b) The Secretary makes new grants in rank order on 

the basis of the applications' total scores under 

paragraphs (a)(1) through (3) and (a)(2) of this section. 

* * * * * 

 (d) The Secretary may decline to does not make a new

grant to an applicant if the applicant’s prior projectthat 

carried out a project that involved the fraudulent use of 

program funds under section 402A(c)(2)(B) of the HEA. 

* * * * * 

§643.22 How does the Secretary evaluate prior experience? 

 (a) In the case of an application described in 

§643.20(a)(2)(i), the Secretary—

 (1) Evaluates the applicant's performance under its 

expiring Talent Search project;

 (2) Uses the approved project objectives for the 

applicant’s expiring Talent Search grant and the 

information the applicant submitted in its annual 

performance reports (APRs) to determine the number of prior 

experience (PE) points; and
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 (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 awards 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) For the criterion specified in paragraph (d)(1) 

of this section (Number of participants), the Secretary 

does not award any PE points if the applicant did not serve 

the approved number of participants. 

 (d) For purposes of the PE evaluation of grants 

awarded after January 1, 2009, the Secretary evaluates the 

applicant's prior experience on the basis of the following 

outcome criteria:

 (1) (3 points) Number of participants. Whether the 

applicant provided services to the approved number of 

participants. 
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 (2) (3 points) Secondary school persistence. Whether 

the applicant met or exceeded its objective regarding the 

continued secondary school enrollment of participants.

 (3) (3 points) Secondary school graduation (regular 

secondary school diploma). Whether the applicant met or 

exceeded its objective regarding the graduation of current 

and prior participants from secondary school with a regular 

secondary school diploma in the standard number of years.

 (4) (1.5 points) Secondary school graduation 

(rigorous secondary school program of study). Whether the 

applicant met or exceeded its objective regarding the 

percentage of current and prior participants with an 

expected high school graduation date in the school year who 

were enrolled in and completed a rigorous secondary school 

program of study. 

 (5) (3 points) Postsecondary enrollment. Whether the 

applicant met or exceeded its objective regarding the 

percentage of current and prior participants with an 

expected high school graduation date in the school year who 

enrolled in an institution of higher education by the fall 

term immediately following the school year.

 (6) (1.5 points) Postsecondary degree attainment. 

Whether the applicant met or exceeded its objective 

regarding the attainment of a postsecondary degree within 
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the number of years specified in the approved objective by

individuals that participated in the project’s rigorous 

secondary school program of study.

* * * * * 

Sec. 643.22 How does the Secretary evaluate prior 

experience?

 (a) In the case of an application described in Sec. 

643.20(a)(2)(i), the Secretary reviews information relating 

to an applicant's performance under its expiring Talent 

Search project. This information includes performance 

reports, audit reports, site visit reports, and project 

evaluation reports.

 (b) The Secretary evaluates the applicant's prior 

experience in delivering services on the basis of the 

following criteria:

 (1) (3 points) (i) Whether the applicant provided 

services to the number of participants required to be 

served under the approved application; and

 (ii) Whether two-thirds of all participants served were 

low-income individuals and potential first-generation 

college students.
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 (2) (6 points) The extent to which the applicant met or 

exceeded its objectives regarding the retention, reentry, 

and graduation levels of secondary school participants.

 (3) (6 points) The extent to which the applicant met or 

exceeded its objectives regarding the admission or reentry 

of participants to programs of postsecondary education.

Educational Opportunity Centers Program 

Subpart C--How Does the Secretary Make a Grant? 

§644.20 How does the Secretary decide which new grants to 

make? 

* * * * * 

 (a)* * * 

 (2)* * * 

 (ii) The maximum total score for all the criteria in 

§644.22 is 15 points. The maximum score for each criterion 

is indicated in parentheses with the criterion. 

 (iii) The Secretary evaluates the prior experience 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 fifteen prior 

experience points for each of the designated project years 

for which annual performance report data are available.
27

 (v) The final prior experience score is the average 

of the scores for the three project years assessed.

 (3) The Secretary awards additional points equal to 10 

percent of the application's score under paragraphs (a) (1) 

and (2) of this section to an application for a project in 

Guam, the Virgin Islands, American Samoa, the Trust 

Territory of the Pacific Islands (Palau), or the Northern 

Mariana Islands if the applicant meets the requirements of 

subparts A, B, and D of this part.

 (b) The Secretary makes new grants in rank order on 

the basis of the applications' total scores under 

paragraphs (a)(1)through (3) and (a)(2) of this section. 

* * * * * 

 (d) The Secretary may decline to does not make a new

grant to an applicant that if the applicant’s prior project 

carried out a project that involved the fraudulent use of 

program funds under section 402A(c)(2)(B) of the HEA. 

* * * * * 

§644.22 How does the Secretary evaluate prior experience? 

 (a) In the case of an application described in 

§644.20(a)(2)(i), the Secretary--

 (1) Evaluates the applicant's performance under its 

expiring Educational Opportunity Centers project;
28

 (2) Uses the approved project objectives for the 

applicant’s expiring Educational Opportunity Centers grant 

and the information the applicant submitted in its annual 

performance reports (APRs) to determine the number of prior 

experience (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 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) For the criterion specified in paragraph (d)(1) 

of this section (Number of participants), the Secretary 

does not award PE points if the applicant did not serve the 

approved number of participants. 

 (d) For purposes of the PE evaluation of grants 

awarded after January 1, 2009, the Secretary evaluates the 
29

applicant's prior experience on the basis of the following 

outcome criteria:

 (1) (3 points) Number of participants. Whether the 

applicant provided services to the approved number of 

participants.

 (2) (3 points) Regular secondary school diploma. 

Whether the applicant met or exceeded its approved 

objective with regard to participants who do not have a 

secondary school diploma or its equivalent who enroll in 

programs leading to a regular secondary school diploma or

its equivalent.

 (3) (6 points) Postsecondary enrollment. Whether the 

applicant met or exceeded its approved objective with 

regard to the secondary school graduates who enroll in 

programs of postsecondary education during the project year 

by the fall term immediately following the school year.

 (4) (1.5 points) Financial aid assistance. Whether 

the applicant met or exceeded its objective regarding 

assistance to individuals in completing financial aid 

applications. 

 (5) (1.5 points) College admission assistance. Whether 

the applicant met or exceeded its objective regarding 

assistance to individuals in completing applications for 

college admission.
30

Sec. 644.22 How does the Secretary evaluate prior 

experience?

 (a) In the case of an application described in Sec. 

644.20(a)(2)(i), the Secretary reviews information relating 

to an applicant's performance under its expiring 

Educational Opportunity Centers project. This information 

includes performance reports, audit reports, site visit 

reports, and project evaluation reports.

 (b) The Secretary evaluates the applicant's prior 

experience in delivering services on the basis of the 

following criteria:

 (1) (3 points) (i) Whether the applicant provided 

services to the required number of participants who resided 

in the target area; and

 (ii) Whether two-thirds of all participants served were 

low-income individuals and potential first-generation 

college students.

 (2) (6 points) The extent to which the applicant met or 

exceeded its objectives regarding the provision of 

assistance to individuals in applying for admission to, or 

financial aid for, programs of postsecondary education.

 (3) (6 points) The extent to which the applicant met or 

exceeded its objectives regarding the admission or reentry 

of participants to programs of postsecondary education.
31

* * * * * 

Upward Bound Programs 

Subpart D--How Does the Secretary Make a Grant? 

§645.30 How does the Secretary decide which grants to 

make? 

* * * * * 

 (a)* * * 

 (2)* * * 

 (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 prior experience 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 fifteen prior 

experience points for each of the designated project years 

for which annual performance report data are available.

 (v) The final prior experience score is the average 

of the scores for the three project years assessed.

* * * * * 

 (d) The Secretary may decline to does not make a new

grant to an applicant that if the applicant’s prior project 
32

carried out a project that involved the fraudulent use of 

program funds under section 402A(c)(2)(B) of the HEA. 

* * * * * 

§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 prior experience (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 
33

project would serve as agreed upon by the grantee and the 

Secretary. 

 (c) For the criteria specified in paragraphs 

(e)(1)(i) and (e)(2)(i) of this section (Number of 

participants), the Secretary does not award PE points if 

the applicant did not serve 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 improvement) and paragraph (e)(1)(iii) of 

this section (Secondary school retention and graduation).

 (2) Veterans Upward Bound PE criteria in paragraph 

(e)(2)(ii) of this section (Academic improvement on 

standardized test) and 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 
34

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 the approved number of 

participants.

 (ii) (3 points) Academic Improvement. 

 (A) Whether the applicant met or exceeded its 

approved objective with regard to the percentage of project 

participants that improved their school performance during 

the school year as measured by grade point average or its 

equivalent.

 (B) Whether the applicant met or exceeded its 

approved objective with regard to the percentage of project 

participants that improved their school performance during 

the school year as measured by standardized testing, 

including required State testing. 

 (iii) (3 points) Secondary school retention and 

graduation. Whether the applicant met or exceeded its 

approved objective with regard to the percentage of 

participants who returned the next school year or graduated 

from secondary school with a regular secondary school 

diploma. 
35

 (iv) (1.5 points) Rigorous secondary school program 

of study. Whether the applicant met or exceeded its 

approved objective with regard to the percentage of current 

and prior participants with an expected high school 

graduation date in the school year who were enrolled in and 

completed a rigorous secondary school program of study. 

 (v) (3 points) Postsecondary enrollment. Whether the 

applicant met or exceeded its approved objective with 

regard to the percentage of current and prior participants 

with an expected high school graduation date in the school 

year who enrolled in a program of postsecondary education 

by the fall term immediately following the school year. 

 (vi) (1.5 points) Postsecondary completion. Whether 

the applicant met or exceeded its approved objective with 

regard to the percentage of participants who enroll in and 

attain 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 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 the percentage of participants who 
36

improved their academic performance during the project year 

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 the percentage of 

participants who remain enrolled in or completed their 

Veterans Upward Bound educational program during the 

project year.

 (iv) (3 points) Postsecondary enrollment. Whether 

the applicant met or exceeded its approved objective with 

regard to the percentage of participants who enrolled in an 

institution of higher education during the project year or 

by the fall term immediately following the project year.

 (v) (3 points) Postsecondary completion. Whether 

the applicant met or exceeded its approved objective with 

regard to the percentage of participants who enroll in an 

institution of higher education and attain a postsecondary 

degree within the number of years specified in the approved 

objective.

§ 645.32 How does the Secretary evaluate prior 

experience?
37

(a) In the case of an application described in 

§645.30(a)(2), the Secretary reviews information relating 

to an applicant's performance under its expiring Upward 

Bound grant. This information includes information derived 

from annual performance reports, audit reports, site visit 

reports, project evaluation reports, and any other 

verifiable information submitted by the applicant.

(b) The Secretary evaluates the applicant's prior 

experience in delivering services on the basis of the 

following criteria:

(1) (3 points) Whether the applicant serves the number of 

participants agreed to under the approved application;

(2) (3 points) The extent to which project participants 

have demonstrated improvement in academic skills and 

competencies as measured by standardized achievement tests 

and grade point averages;

(3) (3 points) The extent to which project participants 

continue to participate in the Upward Bound Program until 

they complete their secondary education program;
38

(4) The extent to which participants who complete the 

project, or were scheduled to complete the project, 

undertake programs of postsecondary education; and

(5) (3 points) The extent to which participants who 

complete the project, or were scheduled to complete the 

project, succeed in education beyond high school, including 

the extent to which they graduate from postsecondary 

education programs.

* * * * * 

 Student Support Services Program 

 Subpart C--How Does the Secretary Make a Grant? 

§646.20 How does the Secretary decide which new grants to 

make? 

* * * * * 

 (a) * * * 

 (2) * * * 

 (ii) The maximum total score for all the criteria in 

§646.22 is 15 points. The maximum score for each criterion 

is indicated in parentheses with the criterion. 

 (iii) The Secretary evaluates the prior experience of 

an applicant for each of the three project years that the 

Secretary designates in the Federal Register notice 
39

inviting applications and the other published application 

materials for the competition.

 (iv) An applicant may earn up to fifteen prior 

experience points for each of the designated project years 

for which annual performance report data are available.

 (v) The final prior experience score is the average 

of the scores for the three project years assessed.

* * * * * 

 (d) The Secretary may decline to does not make a new

grant to an applicant that if the applicant’s prior 

projected out a project that involved the fraudulent use of 

program funds under section 402A(c)(2)(B) of the HEA. 

§646.22 How does the Secretary evaluate prior experience? 

 (a) In the case of an application described in 

§646.20(a)(2)(i), the Secretary—

 (1) Evaluates the applicant’s performance under its 

expiring Student Support Services project;

 (2) Uses the approved project objectives for the 

applicant’s expiring Student Support Services grant and the 

information the applicant submitted in its annual 

performance reports (APRs) to determine the number of prior 

experience (PE) points; and
40

 (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 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) For the criterion specified in paragraph (e)(1) 

of this section (Number of participants), the Secretary 

does not award PE points if the applicant did not serve 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 

paragraph (e)(2) of this section (Postsecondary retention)

and paragraph (e)(3) of this section (Good academic 

standing).
41

 (e) For purposes of the PE evaluation of grants 

awarded after January 1, 2009, the Secretary evaluates the 

applicant’s prior experience on the basis of the following 

outcome criteria:

 (1) (3 points) Number of participants. Whether the 

applicant provided services to the approved number of 

participants. 

 (2) (4 points) Postsecondary retention. Whether the 

applicant met or exceeded its objective regarding the 

percentage of all participants served who continue to be 

enrolled in a program of postsecondary education from one 

academic year to the beginning of the next academic year or 

who complete a program of postsecondary education at the 

grantee institution during the academic year or transfer 

from a two-year institution to a four-year institution 

during the academic year.

 (3) (4 points) Good academic standing. Whether the 

applicant met or exceeded its objective regarding the 

percentage of all participants served who are in good 

academic standing at the grantee institution.

 (4) (4 points) Degree completion (for an applicant 

institution of higher education offering a baccalaureate 

degree). Whether the applicant met or exceeded its 

objective regarding the percentage of participants 
42

receiving a baccalaureate degree at the grantee institution 

within the specified number of years. 

 (5) Degree completion and transfer (for an applicant 

institution of higher education that does not offer a 

baccalaureate degree). Whether the applicant met or 

exceeded its objectives regarding the percentage of 

participants who--

(i) (2 points) Complete a degree or certificate 

within the number of years specified in the approved 

objective; and

(ii) (2 points) Transfer within the number of years 

specified in the approved objective to institutions of 

higher education that offer baccalaureate degrees.

§ 646.22 How does the Secretary evaluate prior 

experience?

 (a) In the case of an application described in 

§646.20(a)(2)(i), the Secretary reviews information 

relating to an applicant's performance under its expiring 

Student Support Services project. This information may come 

from performance reports, site visit reports, project 

evaluation reports, and any other verifiable information 

submitted by the applicant.
43

(b) The Secretary evaluates the applicant's prior 

experience in achieving the goals of the Student Support 

Services Program on the basis of the following criteria:

(1) (4 points) The extent to which project participants 

persisted toward completion of the academic programs in 

which they were enrolled.

(2) (4 points) The extent to which project participants met 

academic performance levels required to stay in good 

academic standing at the grantee institution.

(3) (4 points) (i) For four-year institutions, the extent 

to which project participants graduated; and

(ii) For two-year institutions, the extent to which project 

participants either graduated or transferred to four-year 

institutions.

(4) (3 points) The extent to which the applicant has met 

the administrative requirements—including recordkeeping, 

reporting, and financial accountability—under the terms of 

the previously funded award.

* * * * * 

McNair Program 

Subpart C--How Does the Secretary Make a Grant? 
44

§647.20 How does the Secretary decide which new grants to 

make? 

* * * * * 

 (a) * * * 

 (2) * * * 

 (ii) The maximum total score for all the criteria in 

§647.22 is fifteen (15) points. The maximum score for each 

criterion is indicated in parentheses with the criterion. 

 (iii) The Secretary evaluates the prior experience 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 fifteen prior 

experience points for each of the designated project years 

for which annual performance report data are available.

 (v) The final prior experience score is the average 

of the scores for the three project years assessed.

* * * * * 

 (d) The Secretary may decline to does not make a new

grant to an applicant that if the applicant’s prior project

carriedout a project that involved the fraudulent use of 

program funds under section 402A(c)(2)(B) of the HEA. 
45

§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 prior experience (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) For the criteria specified in paragraph (e)(1) of 

this section (Number of participants), the Secretary does 
46

not awards any PE points if the applicant did not serve 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 the approved number of 

participants.

 (2) (3 points) Research and scholarly activities. 

Whether the applicant met or exceeded its objective for 

providing participants 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 
47

participants who complete the baccalaureate program during 

the academic year.

 (4) (3 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) (3 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.

Sec. 647.22 How does the Secretary evaluate prior 

experience?

 (a) The Secretary reviews information relating to an 

applicant's performance as a grantee under its expiring 

McNair project. In addition to the application under 

review, this information may be derived from performance 

reports, audit reports, site visit reports, and project 

evaluation reports received by the Secretary during the 

project period 

about to be completed.

 (b) The Secretary evaluates the applicant's performance 

as a grantee on the basis of the following criteria:
48

 (1) (3 points) Whether the applicant consistently 

served the number and types of participants the project was 

funded to serve.

 (2) (4 points) Whether the applicant was successful in 

providing the participants with research and scholarly 

activities and whether those activities had an impact on 

project participants.

 (3) (8 points) The extent to which the applicant met or 

exceeded its funded objectives with regard to project 

participants as demonstrated by the number of participants 

who--

 (i) Attained a baccalaureate degree;

 (ii) Enrolled in a postbaccalaureate program; and 

 (iii) Attained a doctoral level degree.

* * * * * 

Training Program 

§642.3020 How the Secretary evaluates an application for 

a new award. 

 (a) The Secretary evaluates an application on the 

basis of the criteria in §642.3121. 

 (1) The Secretary awards up to 100 75 points for 

these criteria. 
49

* * * * * 

 (b) In addition, for applicants who are conducting a 

Training program project that will expire in the fiscal 

year immediately prior to the fiscal year for which the 

applicant is applying, the Secretary evaluates the prior 

experience (PE), as provided in §642.22, of that applicant 

based on the applicant's performance during the first 

project year of that expiring Training program grant.

(b) In addition, for applicants that have conducted a 

Training Program project within the three fiscal years 

prior to the fiscal year for which the applicant is 

applying, the Secretary considers the experience of the 

applicant on the basis of § 642.32 

 (c) The Secretary selects applications for funding 

within each specific absolute priority established for the 

competition in rank order on the basis of the score 

received by the application in the peer review process.

 (d) Within each specific absolute priority, if there 

are insufficient funds to fund all applications at the next 

peer reviewer score, the Secretary adds the PE points 

awarded under §642.22 to the peer reviewer score to 

determine an adjusted total score for those applications. 

The Secretary makes awards at the next peer review score to 
50

the applications that have the highest total adjusted 

score.

§642.3222 Prior experience. How does the Secretary 

evaluate prior experience? 

 (a)(1) The Secretary evaluate the performance gives 

priority to each applicant that has conducted a Training 

Program project under title IV-A-4 of the Higher Education 

Act within the three fiscal years prior to the fiscal year 

for which the applicant is applying. of each applicant who 

is conducting a Training program project that has an 

expiring grant in the fiscal year immediately prior to the 

fiscal year for which the applicant is applying. 

 (2) To determine the number of priority points PE 

points to be awarded, the Secretary uses the applicant’s 

approved project objectives for the applicant’s expiring 

Training grant and the information the applicant submitted 

in its annual performance report (APR) each eligible 

applicant, the Secretary considers the applicant’s prior 

experience (PE) points to be awarded in service delivery in 

accordance with paragraphs (b) and (c) of this section. 

 (3) The Secretary 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 
51

reports indicate the APR data used to calculate PE are 

incorrect. 

 (b)(1) The Secretary may add from one to eight15

points to the point score obtained on the basis of the 

selection criteria in §642.21, based on the applicant's 

success in meeting the administrative requirements and 

programmatic objectives of paragraph (c) of this section. 

* * * * * 

 (c) The Secretary—based on information contained in one 

or more of the following: Performance reports, audit 

reports, training site visit reports, evaluations by 

participants, project evaluation reports, the previously 

funded application, the negotiated program plan(s), and the 

application under consideration—looks for information that 

shows—

 (c) The Secretary awards no 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. 
52

 (d) For the criterion specified in paragraph (e)(1) 

of this section (Number of participants), the Secretary 

awards no PE points if the applicant did not serve the 

approved number of participants. 

 (e) The Secretary evaluates the applicant’s PE on the 

basis of the following criteria: 

 (1) (2 4 points) Number of participants. The extent 

to which the project has served the number and kinds of 

eligible training participants it was funded to serve; 

Whether the applicant provided training to the approved 

number of participants. 

 (2) (2 8 points) Training objectives. The extent to 

which participants assessed the benefited from training as 

highly useful in the following areas: in areas such as--

 (i) Assisting the participants in developing 

increased qualifications and skills to meet the needs of 

disadvantaged students. 

 (ii) Providing participants with an increased 

knowledge and understanding of the Federal TRIO programs. 

 (3) (2 points) The extent to which the applicant has 

achieved other goals and objectives as stated in the 

previously funded application or negotiated program plan; 

and
53

 (3) (23 points) Administrative requirements. The 

extent to which the applicant has met the administrative 

requirements--including recordkeeping, reporting, and 

financial accountability--under the terms of the expiring 

grant. 
54

 Issue Paper 

Proposed Regulatory Language 

 Team IV – TRIO 

Origin: HEOA Sec. 403(a) 

 

Issue: Review Process for Unsuccessful TRIO Applicants 

Statutory cites: HEA Sec. 402A(c)(8)(C) 

Regulatory cites: 34 CFR 642 (Training); 643 (TS); 644 (EOC); 646 (SSS); 647 

(McNair) Subpart C – How Does the Secretary Make a Grant? 

34 CFR 645 (UB) Subpart D -- How Does the Secretary Make a 

Grant? 

Summary of issue: The HEOA established a process for unsuccessful applicants to 

request a review of the scoring or processing of their applications. Applicants that have 

evidence that their scores were affected by a specific administrative, technical, or scoring 

error may request a review by the Secretary. If the Secretary determines that a technical 

or administrative error was made, the Secretary will arrange for the application to be 

reconsidered in the peer review process. If the Secretary determines that a scoring error 

was made, the Secretary may adjust the prior experience points or final score of the 

application as appropriate. If the Secretary determines that there was an error in the peer 

review process, the Secretary will refer the application to a second review panel of 

experienced readers who participated in the field reading but did not read the application 

in question. The new score from the secondary review would be used instead of the 

original score. Applications with revised scores in the fundable range will be funded to 

the extent feasible based on the availability of appropriations. 

Background: Prior to enactment of the HEOA, there was not a formal process for 

considering requests submitted by applicants with regard to alleged mishandling of an 

application by Department staff, its contractors or the peer reviewer. The practice has 

been that upon notification of an alleged administrative or scoring error, TRIO staff 

reviewed the calculation of prior experience points or the peer reviewer scoring; if an 

error or errors were found, the application score was adjusted accordingly. If the 

adjustment resulted in the application scoring within funding range, the applicant was 

awarded a grant. 

Adjustments in a score, due to either a mathematical or reader error, usually resulted in a 

score adjustment of only one or two points. Historically, the adjustments in scores have 

led to only one or two applicants receiving awards each competition as a result of the 

errors, which is a fraction of one percent of the applications received. 
55

New HEOA requirements: With the passage of the HEOA, the Department is now 

required to establish a formal process for reviewing unsuccessful applications. The 

review process as stated by the HEOA requires modifications to the grant award process 

that could significantly delay the awarding of grants, since the review of unsuccessful 

applications should be completed prior to the end of the fiscal year in which the 

competition is held to avoid any disruption in funding for existing grantees. Thus, the 

Department would need to notify all applicants of their funding status earlier than normal 

to allow time for a second review of unsuccessful applications. The HEOA requires the 

Secretary to “adjust the prior experience or final score of the application appropriately 

and quickly, so as not to interfere with the timely awarding of grants for the applicable 

grant competition.”

Updated information since March 25-27, 2009 meeting: The negotiators discussed the 

Department’s proposed rule and structure for the review process. The negotiators did not 

raise any concerns regarding the proposed definitions for technical, administrative or 

scoring errors. However, many of the non-federal negotiators expressed concerns about 

the Department's proposal to use a funding band and to set aside of a percentage of 

program funds for grants that may be awarded after the review of unsuccessful 

applications in the funding band. Many of the non-federal negotiators recommended that 

the Department should commit to obligating all program funds for the competition prior 

to the review of unsuccessful applications. They suggested that if any additional 

applicants score within the funding range after the second review, the Department should 

either transfer funds from one of the other TRIO programs or ask Congress to provide 

additional funds to support these projects. The non-federal negotiators also requested 

that the Department lengthen the period for submission of a written request for a second 

review and to establish processes to ensure that unsuccessful applicants receive prompt 

notification of the decision on their application so that they can request a review. 

The Department proposes to change the draft regulations to allow an applicant 15 

calendar days (rather than 7) after it receives notice of its funding status to submit a 

written request. The Department expects to expedite the notification process so an 

unsuccessful applicant will have a full 15 days in which to submit a request for a second 

review. 

The Department, however, has retained the proposal to establish a funding band and set 

aside a percentage of program funds for the second review of unsuccessful applications. 

The Department believes these processes best meet the goals of the new HEOA 

application review requirements while ensuring the timely awarding of grants. The 

Department believes that the approach in the draft regulations would best ensure that 

program funds are awarded appropriately. Moreover, if a review determines that an 

applicant should have been funded, that applicant's funding should not be dependent on a 

speculative increase in the appropriation to fund applicants scoring in the funding range 

after the second review. 

In response to the concern of some of the non-federal negotiators that the second review 

might negatively impact some applicants, the Department notes that it expects that the set 
56

aside of funds will be limited to a very small percentage of the funds available for grants 

under the particular program. 
57

This change would be made to all TRIO Program regulations: 

§642.24 (Training) §643.24 (TS); §644.24 (EOC); §645.35 

(UB); §646.24 (SSS); §647.24 (McNair); 

§xxx.xx 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 for the competition and the 

application materials; 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 
58

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 includes, 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 will have 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 will fund the application prior to the re-ranking 
59

of applications based on the second peer review of 

applications described in paragraph(c). 

 (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). 

 (2) An administrative error relates to either the prior 

experience points or the scores assigned to the application 

by the peer reviewers-- 

 (i) For prior experience points, an administrative 

error includes mathematical errors made by the Department 

or the Department's agent in the calculation of the prior 

experience points or a failure to correctly add the earned 

prior experience 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. 
60

 (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 published application materials, 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 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 
61

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 ____.__ 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 prior 

experience score, if applicable. 

 (4) An applicant, that was not selected for funding 

following the competition as described in paragraph (c)(2) 

and whose application received a score within the funding 

band as described in paragraph (d), 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 discussed in paragraph 

(b). 

 (5) An applicant whose application was not funded after 

the first review as described in paragraph (c)(2) and whose 

application received a score within the funding band as 
62

described in paragraph (d)) has fifteen (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 prior experience points awarded, as 

described in paragraph (b)(2)(i) of this section, the 

Secretary adjusts the applicant’s prior experience score to 

reflect the correct number of prior experience 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). 

 (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’ 
63

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). 

 (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 
64

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 program 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% of 

the funds that were set aside for the second review of 

applications for the competition. 

 (e) Second Review of Applications Scoring Below the 

Funding Band. 

 (1) After the end of the competition, the Secretary 

considers a request for a second review from an applicant 

whose rank-order score was below the established funding 

band as described in paragraph (d), if the applicant 

provides evidence of an administrative or scoring error as 

described paragraphs (a) and (b). 
65

 (2) If the adjusted total 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. 

 (f) Final Decision. The Secretary’s determination of 

whether the applicant has met the requirements for a review 

and the Secretary’s decision on re-scoring of an 

application are final and not subject to further appeal or 

challenge. 
66

 Issue Paper 

Proposed Regulatory Language 

 Team IV – TRIO 

Origin: HEOA Sec. 403(a)

 

Issue: Required and Permissible Services 

Statutory cites: HEA Sec. 402A, 402B, 402C, 402D, 403E, 402F, and 402G 

Regulatory cites: 34 CFR 642.10 and 642.34 (Training); 643.4 (TS); 644.4 (EOC); 

645.11, 645.13, and 645.14 (UB); 646.4 (SSS); 647.4 (McNair) 

Summary of issue: The HEOA amends the statutory provisions for the TRIO programs 

providing services to pre-college and college students and staff (Upward Bound, Talent 

Search, Student Support Services, Educational Opportunity Centers, McNair, and 

Training). The HEA now lists certain services that projects must provide to participants 

and optional activities that programs may offer to students for the Upward Bound, Talent 

Search, Student Support Services, and McNair programs. Prior to the new law, except 

for the Upward Bound statute that required projects funded for two or more years to 

provide instruction in core subjects, projects under these programs could choose from a 

number of permissible activities and services. 

Updated information since March 25-28, 2009 meeting: Negotiators reached 

tentative agreement on conforming changes related to the required and permissible 

services. 

Tentative Agreement: Yes 

Change: 

The following changes apply to TRIO Training: 

Subpart B--What Types of Projects And Activities Does the 

Secretary Assist Under This Program?

§642.10 What types of projects does the Secretary assist? 

 The Secretary assists projects that train the 

leadership personnel and staff of projects funded under the 
67

Federal TRIO Programs to enable them to more effectively 

operate those projects.

Subpart B—What Kinds of Projects Does the Secretary Assist 

Under This Program?

§642.10 Activities the Secretary assists under the Training 

Program

(a) A Training Program project trains the staff and 

leadership personnel of Federal TRIO Program projects to 

enable them to more effectively operate those projects.

(b) A Training Program project may include conferences, 

internships, seminars, workshops, and the publication of 

manuals designed to improve the operations of Federal TRIO 

Program projects.

(c) Each year, one or more Training Program projects must 

provide training for new project directors.

(d) Each year, one or more Training Program projects must 

offer training covering the following topics:

(1) The legislative and regulatory requirements for 

operating Federal TRIO Programs.

(2) Assisting students to obtain adequate student financial 

assistance from programs authorized under Title IV of the 

Act, as well as from other sources.

(3) The design and operation of model Federal TRIO Program 

projects.

 (b) A Training Program project may include conferences, 

internships, seminars, workshops, and the publication of 

manuals designed to improve the operations of Federal TRIO 

Program projects.

§642.11 What activities does the Secretary assist?

 (a) Each year, one or more Training Program projects 

must provide training for new project directors.
68

 (b) Each year, one or more Training Program projects 

must offer training covering the following topics:

 (1) The statutory and regulatory requirements for 

operating projects funded under the Federal TRIO Programs.

 (2) Assisting students to receive adequate financial 

aid from programs authorized or assisted under title IV of 

the HEA and from other programs. 

 (3) The design and operation of model programs for 

projects funded under the Federal TRIO Programs. 

 (4) The use of appropriate educational technology in 

the operation of projects funded under the Federal TRIO 

Programs.

 (5) Strategies for recruiting and serving hard to reach 

populations, including students who are limited English 

proficient, students from groups that are traditionally 

underrepresented in postsecondary education, students with 

disabilities, students who are homeless children and 

youths, students in foster care, or other disconnected 

students.

§642.12 What activities may a project conduct?

 A Training Program project may include on-site 

training, on-line training, conferences, internships, 

seminars, workshops, and the publication of manuals 
69

designed to improve the operations of Federal TRIO Program 

projects.

The following changes apply to Talent Search:

§643.4--What Services Does a Project Provide?

 (a) A Talent Search project must provide the following 

services:

 (1) Connecting participants to high quality academic 

tutoring services to enable participants to complete 

secondary or postsecondary courses.

 (2) Advice and assistance in secondary school course 

selection and, if applicable, initial 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 described in section 483(a) of the HEA.

 (5) Guidance on and assistance in —-

 (i) Secondary school reentry;
70

 (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) Postsecondary education.

 (6) Connecting participants to education or counseling 

services designed to improve the financial literacy and 

economic literacy of participants or the participants’ 

parents, including financial planning for postsecondary 

education.

(b)A Talent Search project may provide the following 

permissible services:

 (1) Academic tutoring, which may include instruction in 

reading, writing, study skills, mathematics, science, and 

other subjects.

 (2) Personal and career counseling or activities.

 (3) Information and activities designed to acquaint 

youth with the range of career options available to the 

youth.

 (4) Exposure to the campuses of institutions of higher 

education, as well as cultural events, academic programs, 

and other sites or activities not usually available to 

disadvantaged youth.
71

 (5) Workshops and counseling for families of 

participants served.

 (6) Mentoring programs involving elementary or 

secondary school teachers or counselors, faculty members at 

institutions of higher education, students, or any 

combination of these persons.

 (7) Programs and activities as described in this 

section that are specially designed for participants who 

are limited English proficient, participants from groups 

that are traditionally underrepresented in postsecondary 

education, participants with disabilities, participants who 

are homeless children and youths, participants in or who 

are aging out of foster care, or other disconnected 

participants.

§ 643.4 What services may a project provide?

A Talent Search project may provide the following services:

(a) Academic advice and assistance in secondary school and 

college course selection.

(b) Assistance in completing college admission and 

financial aid applications.

(c) Assistance in preparing for college entrance 

examinations.

(d) Guidance on secondary school reentry or entry to other 

programs leading to a secondary school diploma or its 

equivalent.

(e) Personal and career counseling.

(f) Tutorial services.

(g) Exposure to college campuses as well as cultural 

events, academic programs, and other sites or activities 

not usually available to disadvantaged youth.
72

(h) Workshops and counseling for parents of students 

served.

(i) Mentoring programs involving elementary or secondary 

school teachers, faculty members at institutions of higher 

education, students, or any combination of these persons.

(j) Activities described in paragraphs (a) through (i) of 

this section that are specifically designed for students of

limited English proficiency.

(k) Other activities designed to meet the purposes of the 

Talent Search program stated in § 643.1, including 

activities to meet the specific educational needs of 

individuals in grades six through eight.

The following changes apply to EOC:

§644.4 What services may a project provide? 

An Educational Opportunity Centers project may provide 

the following services: 

 (a) Public information campaigns designed to inform the 

community about opportunities for postsecondary education 

and training. 

 (b) Academic advice and assistance in course selection. 

 (c) Assistance in completing college admission and 

financial aid applications. 

 (d) Assistance in preparing for college entrance 

examinations. 

 (e) Education or counseling services designed to 

improve the financial literacy and economic literacy of 

participants.

 (fe) Guidance on secondary school reentry or entry to a 

general educational development (GED) program or other 
73

alternative education program for secondary school 

dropouts. 

 (gf) Individualized Ppersonal, career, and academic 

counseling. 

 (hg) Tutorial services. 

 (ih) Career workshops and counseling. 

 (ji) Mentoring programs involving elementary or 

secondary school teachers, faculty members at institutions 

of higher education, students, or any combination of these 

persons. 

 (kj) Programs and activities described in paragraphs 

(a) through (ji) of this section that are specifically 

specially designed for participants who are limited English 

proficiency, participants from groups that are 

traditionally underrepresented in postsecondary education, 

participants with disabilities, participants who are 

homeless children and youths, participants in or who are 

aging out of foster care, or other disconnected 

participants.

 (lk) Other activities designed to meet the purposes of 

the Educational Opportunity Centers program stated in 

§644.1. 

§ 644.4 What services may a project provide?

An Educational Opportunity Centers project may provide the 

following services:
74

(a) Public information campaigns designed to inform the 

community about opportunities for postsecondary education 

and training.

(b) Academic advice and assistance in course selection.

(c) Assistance in completing college admission and 

financial aid applications.

(d) Assistance in preparing for college entrance 

examinations.

(e) Guidance on secondary school reentry or entry to a 

General Educational Development (GED) program or other 

alternative education program for secondary school 

dropouts.

(f) Personal counseling.

(g) Tutorial services.

(h) Career workshops and counseling.

(i) Mentoring programs involving elementary or secondary 

school teachers, faculty members at institutions of higher 

education, students, or any combination of these persons.

(j) Activities described in paragraphs (a) through (i) of 

this section that are specifically designed for students of 

limited English proficiency.

(k) Other activities designed to meet the purposes of the 

Educational Opportunity Centers program stated in §644.1.

The following changes apply to Upward Bound:

§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 
75

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 described in section 483(e) of the HEA.

 (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) Postsecondary education.

 (6) Education or counseling services designed to 

improve the financial literacy and economic literacy of 
76

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.

§645.11 What services do all Upward Bound projects provide?

(a) An Upward Bound project that has received funds under 

this part for at least two years shall include as part of 

its core curriculum, instruction in—

(1) Mathematics through pre-calculus;

(2) Laboratory science;

(3) Foreign language;

(4) Composition; and

(5) Literature.

(b) All Upward Bound projects may provide such services as—

(1) Instruction in subjects other than those listed in 

§645.11(a) that are necessary for success in education 

beyond high school;

(2) Personal counseling;
77

(3) Academic advice and assistance in secondary school 

course selection;

(4) Tutorial services;

(5) Exposure to cultural events, academic programs, and 

other educational activities not usually available to 

disadvantaged youths;

(6) Activities designed to acquaint youths participating in 

the project with the range of career options available to 

them;

(7) Instruction designed to prepare youths participating in 

the project for careers in which persons from disadvantaged 

backgrounds are particularly underrepresented;

(8) Mentoring programs involving elementary or secondary 

school teachers, faculty members at institutions of higher 

education, students, or any combination of these persons 

and other professional individuals; and

(9) Programs and activities such as those described in 

paragraphs (b)(1) through (b)(8) of this section that are 

specifically designed for individuals with limited 

proficiency in English.

§645.12 What services may Upward Bound projects provide?

 (a) Any project assisted under this part may provide 

such services as--__

 (1) Exposure to cultural events, academic programs, and 

other activities not usually available to disadvantaged 

youth.

 (2) Information, activities, and instruction designed 

to acquaint youth participating in the project with the 

range of career options available to the youth.

 (3) On-campus residential programs.
78

 (4) 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.

 (5) Work-study positions where youth participating in 

the project are exposed to careers requiring a 

postsecondary degree.

 (6) Special services, including mathematics and science 

preparation to enable veterans to make the transition to 

postsecondary education.

 (7) Programs and activities as described in §645.11 or 

paragraphs (a)(1) through (a)(6) of this section that are 

specially designed for participants who are limited English 

proficient, participants from groups that are traditionally 

underrepresented in postsecondary education, participants

with disabilities, participants who are homeless children 

and youths, participants in or who are aging out of foster 

care, or other disconnected participants.

§645.12 13 How are regular Upward Bound projects 

organized?

* * * * * 

§645.14 What additional services do Upward Bound Math and 

Science Centers provide and how are they organized?
79

* * * * * 

§645.15 14 What additional services do Veterans Upward 

Bound projects provide?

In addition to the services that must be provided under 

§645.11 §645.11(a) and may be provided under §645.12,

§645.11(b)a Veterans Upward Bound project must-- 

* * * * * 

 (d) Provide special services, including mathematics 

and science preparation, to enable veterans to make the 

transition to postsecondary education.

§645.14 What additional services do Veterans Upward Bound 

projects provide?

In addition to the services that must be provided under 

§645.11(a) and may be provided under §645.11(b), 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; and

(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.
80

The following changes apply to SSS:

§646.4 What activities and services does a project 

provide?

 (a) A Student Support Services project must provide the 

following services:

 (1) Academic tutoring, directly or through other 

services provided by the institution, to enable students to 

complete postsecondary courses, which may include 

instruction in reading, writing, study skills, mathematics, 

science, and other subjects.

 (2) Advice and assistance in postsecondary course 

selection.

 (3)(i) Information on both 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 described in section 483(e) of the HEA. 

 (4) Education or counseling services designed to 

improve the financial literacy and economic literacy of 

students, including financial planning for postsecondary 

education.
81

 (5) Activities designed to assist students 

participating in the project in applying for admission to, 

and obtaining financial assistance for enrollment in, 

graduate and professional programs.

 (6) Activities designed to assist students enrolled in 

two-year institutions of higher education in applying for 

admission to, and obtaining financial assistance for 

enrollment in, a four-year program of postsecondary 

education.

 (b) A Student Support Services project assisted under 

this section may provide the following services: such as

 (1) Individualized counseling for personal, career, and 

academic matters provided by assigned counselors.

 (2) Information, activities, and instruction designed 

to acquaint students participating in the project with the 

range of career options available to the students.

 (3) Exposure to cultural events and academic programs 

not usually available to disadvantaged students.

 (4) Mentoring programs involving faculty or upper class 

students, or a combination thereof.

 (5) Securing temporary housing during breaks in the 

academic year for -—

 (i) Students who are homeless children and or were 

formerly homeless children and youths; and
82

 (ii) Foster care youths.

 (6) Programs and activities as described in §646.4 or 

paragraphs (1) through (4) of this section that are 

specially designed for participants who are limited English 

proficient, participants from groups that are traditionally 

underrepresented in postsecondary education, participants 

with disabilities, participants who are homeless children 

and youths, participants in or who are aging out of foster 

care, or other disconnected participants.

§646.4 What activities and services may a project provide?

A Student Support Services project may provide services 

such as:

(a) Instruction in reading, writing, study skills, 

mathematics, and other subjects necessary for success 

beyond secondary school.

(b) Personal counseling.

(c) Academic advice and assistance in course selection.

(d) Tutorial services and counseling and peer counseling.

(e) Exposure to cultural events and academic programs not 

usually available to disadvantaged students.

(f) Activities designed to acquaint students participating 

in the project with the range of career options available.

(g) Activities designed to secure admission and financial 

assistance for enrollment in graduate and professional 

programs.

(h) Activities designed to assist students currently 

enrolled in two-year institutions in securing admission and 
83

financial assistance for enrollment in a four-year program 

of postsecondary education.

(i) Mentoring programs involving faculty or upper class 

students, or any combination of faculty members and upper 

class students.

(j) Programs and activities as described in paragraphs (a) 

through (i) of this section that are specifically designed 

for students of limited English proficiency.

(k) Other activities designed to meet the purposes of the 

Student Support Services Program stated in §646.1.

The following changes apply to McNair:

§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:
84

 (1) Education or counseling services designed to 

improve the financial literacy and economic literacy of 

students, including financial planning for postsecondary 

education.

 (2) Mentoring programs involving faculty members at 

institutions of higher education, graduate students, or a 

combination of faculty members and graduate students.

 (3) Exposure to cultural events and academic programs 

not usually available to disadvantaged students.

§ 647.4 What activities and services may a project provide?

A McNair project may provide the following services and 

activities:

(a) Opportunities for research or other scholarly 

activities at the grantee institution or at graduate 

centers that are designed to provide participants with 

effective preparation for doctoral study.

(b) Summer internships.

(c) Seminars and other educational activities designed to 

prepare participants for doctoral study.

(d) Tutoring.

(e) Academic counseling.

(f) Assistance to participants in securing admission to and 

financial assistance for enrollment in graduate programs.

(g) Mentoring programs involving faculty members or 

students at institutions of higher education, or any 

combination of faculty members and students.

(h) Exposure to cultural events and academic programs not 

usually available to project participants.
85

 Issue Paper 

Proposed Regulatory Language 

 Team IV – TRIO 

Origin: HEOA Sec. 403(a) and (b)

 

Issue: HEOA changes the current Talent Search (TS) program

Statutory cites: HEA Sec. 402A and 402B 

Regulatory cites: 34 CFR 643.4 (Services); 643.7 (Definitions); 643.21 (Selection 

Criteria) 643.22 (Prior Experience Criteria); 643.32 (Other 

Requirements) 

Summary of issue: The HEOA made fundamental changes to the goals and purpose of 

the Talent Search program. These statutory changes seem to require Talent Search 

projects to provide more intensive academic interventions as reflected by the changes to 

the lists of required and permissible Talent Search services and the new program outcome 

criteria added by the HEOA. The list of Talent Search services and the outcome criteria 

are now similar to those of the Upward Bound program. The Department needs to 

determine how these changes to the Talent Search program should be implemented 

through regulations and what distinctions are or should be made between the Upward 

Bound and Talent Search programs. 

Updated information since March 25-27, 2009 meeting: 

The Department prepared draft proposed regulations for the Talent Search program for 

discussion at the February meeting and held a follow-up conference call on April 8, 2009 

with some of the nonfederal negotiators. The purpose of the conference call was to 

further discuss changes to the selection criteria related to Need for the project and 

allowable and unallowable costs. The Department and the non-federal negotiators 

discussed including as an allowable cost the payment of tuition for courses that are part 

of a rigorous secondary school program of study if the courses were not available at the 

secondary school the participant attended. However, due to legal and policy issues, this 

provision is not included in the proposed regulations for the Talent Search program. 

Proposed changes to the Talent Search program that are discussed in other issue papers 

are not repeated in this paper (e.g., services, definitions, outcome (prior experience 

criteria, other requirements, and some conforming changes). This paper includes changes 

to the following sections of the Talent Search regulations: 

 Section 643.1 What is the Talent Search program? 

 Section 643.3 Who is eligible to participate in a project? 
86

 Section 643.11 What assurances must an applicant submit? 

 Section 643.21 What selection criteria does the Secretary use? 

o (a) Need for the project; 

o (b) Objectives; 

o (c) Plan of Operation; and 

o (d)(2) Applicant and community support 

 Section 643.23 How does the Secretary set the amount of a grant? 

 Sections 643.30 What are allowable costs? 

 What other requirements must a grantee meet? (Recordkeeping) 

Change: 

Sec.§643.1 What is the Talent Search program? 

* * * * * 

 (b) Publicize the availability of, and facilitate the 

application for, student financial assistance for persons 

who seek to pursue postsecondary education; and 

 (c) Encourage persons who have not completed education 

programs at the secondary or postsecondary level,but who 

have the ability to do so, to enter or reenter and complete

those programs. 

Change to Eligibility Requirements for a Participant (TS) 

* * * * * 

Sec.§643.3 Who is eligible to participate in a project? 

 (a) * * * 

 (3)(i) Is enrolled in or has dropped out of any grade 

from six through 12, or has graduated from secondary 

school, has potential for a program of postsecondary 
87

education, and needs one or more of the services provided 

by the project in order to undertake such a program;; or 

 (ii) Has undertaken, but is not presently enrolled in, 

a program of postsecondary education, has the ability to 

complete such a program, and needs one or more of the 

services provided by the project to reenter such a program. 

 (b) An individual is eligible to participate in Talent 

Search’s rigorous secondary school program of study, if the 

individual meets the requirements of paragraph(a)(1)of this 

section, is accepted into the Talent Search program by the 

end of the first term of the tenth grade, is enrolled or 

preparing to enroll in a rigorous secondary school program 

of study as defined by his or her State of residence, and 

is designated as enrolled in a rigorous secondary school 

program of study on reports submitted by the grantee to the 

Secretary. 

 (b)(c) A veteran as defined in Sec.§643.67(b), regardless 

of age, is eligible to participate in a Talent Search 

project if he or she satisfies the eligibility requirements 

in paragraph (a) of this section other than the age 

requirement in paragraph (a)(2). 

* * * * * 

Changes to Assurances (TS) 
88

* * * * * 

Sec.§643.11 What assurances must an applicant submit? 

* * * * * 

 An applicant shall must submit, as part of its 

application, assurances that -- 

 (a) At least two-thirds of the individuals it serves 

under its proposed Talent Search project, and at least twothirds of the subset of participants selected for the 

rigorous academic component, will be low-income individuals 

who are potential first-generation college students; 

* * * * * 

 (c) The project will be located in a setting or 

settings accessible to the individuals proposed to be 

served by the project; and

 (d) If the applicant is an institution of higher 

education, it will not use the project as a part of its 

recruitment program; and

 (e) Individuals who are receiving services from a 

Gaining Early Awareness and Readiness for Undergraduate 

Programs (GEAR UP) project (34 CFR part 694), a Regular

Upward Bound or Upward Bound Math and Science Centers 

project (34 CFR part 645), or other programs serving 

similar populations will not receive the same services 

under the proposed project. 
89

* * * * * 

Changes to Selection Criteria, Need for the Project: 

Sec.§643.21 What selection criteria does the Secretary 

use? 

 The Secretary uses the following criteria to evaluate 

an application for a new grant:

 (a) Need for the project (24 points). The Secretary 

evaluates the need for a Talent Search project in the 

proposed target area on the basis of the extent to which 

the application contains clear evidence of the following:

 (1) (6 points) A high number or high percentage of the 

following:

 (i) Low-income families residing in the target area; or

 (ii) Students attending the target schools who are 

eligible for free or reduced priced lunch as described in 

sections 9(b)(1) and 17(c)(4) of the Richard B. Russell 

National School Lunch Act. 

 (2) (2 points) Low rates of high school persistence 

among individuals in the target schools as evidenced by the 

annual student persistence rates in the proposed target 

schools for the most recent year for which data are 

available. 
90

 (3) (4 points) Low rates of students in the target 

schools graduating high school with a regular secondary 

school diploma in the standard number of years for the most 

recent year for which data are available.

 (4) (6 points) Low postsecondary enrollment and 

completion rates among individuals in the target area and 

schools as evidenced by – 

 (i) Low rates of enrollment in programs of 

postsecondary education by graduates of the target schools 

in the most recent year in which data are available; and

 (ii) A high number or high percentage of individuals 

residing in the target area with education completion 

levels below the baccalaureate degree level.

 (5) (2 points) The extent to which the target schools 

do not offer their students the courses or academic support 

to complete a rigorous secondary school program of study.

 (6) (4 points) Other indicators of need for a Talent 

Search project, including a high ratio of students to 

school counselors in the target schools and the presence of 

unaddressed academic or socio-economic problems of eligible 

individuals, including foster care youth and homeless 

children and youth, in the target schools or the target 

area. 
91

Sec. 643.21 What selection criteria does the Secretary 

use?

 The Secretary uses the following criteria to evaluate 

an application for a new grant:

 (a) Need for the project (24 points). The Secretary 

evaluates the need for a Talent Search project in the 

proposed target area on the basis of the extent to which 

the application contains clear evidence of the following:

 (1) A high number or percentage, or both, of low-income 

families residing in the target area;

 (2) A high number or percentage, or both, of 

individuals residing in the target area with education 

completion levels below the baccalaureate level;

 (3) A high student dropout rate in the proposed target 

schools in the preceding three years;

 (4) A low rate of enrollment in programs of

postsecondary education by graduates of the target schools 

in the preceding three years;

 (5) A high ratio of students to school counselors in 

the target schools; and

 (6) Other indicators of need for a Talent Search 

project, including the presence of unaddressed academic or 

socio-economic problems of students in the target schools 

or the target area.
92

* * * * * 

Changes to Selection Criteria, Objectives: 

§643.21 What selection criteria does the Secretary use? 

 (b) Objectives (8 points). The Secretary evaluates the 

quality of the applicant's proposed project 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 data on Need provided under paragraph (a) 

of this section, and attainable, given the project’s plan 

of operation, budget, and other resources-- 

 (1) (2 points) Secondary school persistence.

 (2) (2 points) Secondary school graduation (regular 

secondary school diploma). 

 (3) (1 point) Secondary school graduation (rigorous 

secondary school program of study). 

 (4) (2 points) Postsecondary education enrollment. 

(5) (1 point) Postsecondary degree attainment. 

(1) Include both process and outcome objectives relating to 

each of the purposes of the Talent Search program stated in 

Sec. 643.1;

 (2) Address the needs of the target area;
93

 (3) Are clearly described, specific, and measurable; 

and

 (4) Are ambitious but attainable within each budget 

period and the project period given the project budget and 

Changes to Selection Criteria, Plan of Operation: 

§643.21 What selection criteria does the Secretary use? 

 (c) * * * 

 (1) (43 points) The plan to inform the residents, 

schools, and community organizations in the target area of 

the purpose, goals, objectives, and services of the project 

and the eligibility requirements for participation in the 

project.

 (2) (43 points) The plan to identify and select 

eligible project participants, including the project’s plan 

and criteria for selecting individuals who would benefit 

from a rigorous secondary school program of study. and 

ensure their participation without regard to race, color, 

national origin, gender, or disability;

 (3) (210 points) The plan for providing the services 

described in §643.4 as appropriate based on the project’s

to assessment of each participant's need for 

Services provided by the project;.

 (4) (126 points) For those students in need of 

services to complete a rigorous secondary school program of 
94

study, the project’s The plan to provide services 

sufficient to enable the that meet participants' to 

succeed. needs and achieve the objectives of the project; 

and

 (5) (86 points) The plan, including timelines, 

personnel and other resources, including the project's 

organizational structure and the time committed to the 

project by the project director and other personnel, to 

ensure the proper and efficient administration of the 

project, including the project’s organizational structure; 

the time commitment of key project staff; financial, 

personnel and records management; and where appropriate, 

coordination with other programs for disadvantaged youth;. 

and

 (6) (2 points) The plan to follow participants through 

postsecondary entrance and completion.

* * * * * 

Changes to Selection Criteria, Applicant and community 

support: 

§643.21 What selection criteria does the Secretary use? 

 (d) * * * 

(2) (8 points) Resources secured through written 

commitments from institutions of higher education, 

secondary schools, community organizations, and others. 
95

§643.23 How does the Secretary set the amount of a grant? 

* * * * * 

 (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) $180200,000; or 

* * * * * 

Change to Allowable: 

* * * * * 

Sec.§643.30 What are allowable costs? 

 The cost principles that apply to the Talent Search 

program are in 34 CFR part, §74.27, 75.530 and 80.22, as 

applicable. Allowable costs include the following if they 

are reasonably related to the objectives of the project: 

 (a) Transportation, meals, and, if necessary, lodging 

for participants and project staff for-- 

 (1) Visits to postsecondary educational institutions 

to obtain to obtain information relating to the admission 

of participants to those institutions; 

* * * 
96

 (3) Field trips for participants to observe and meet 

with persons who are employed in various career fields in 

the target area and who can act as role models for 

participants; and

 (4) Transportation to institutions of higher 

education, secondary schools not attended by the 

participants, or other locations at which the participant 

receives instruction that is part of a rigorous secondary 

school program of study.

 (b) Purchase of testing materials and test preparation 

programs for participants;

 (c) * * * 

 (2) The fee is paid by the grantee to a third party on 

behalf of a participant; .

 (d) In-service training of project staff; 

 (e) * * * 

 (2) The rented space is not owned by the grantee; and 

 (f) Purchase, lease, or rental of computer hardware, 

software, and other equipment and supplies that support the 

delivery of services to participants, including technology 

used by participants in a rigorous secondary school program 

of study.

 (f) Purchase of computer hardware, computer software, 

or other equipment for student development, project 
97

administration, and recordkeeping, if the applicant 

demonstrates to the Secretary's satisfaction that the 

equipment is required to meet the objectives of the project 

more economically or efficiently.

 (g) Purchase, lease, or rental of computer equipment 

and software needed for project administration and 

recordkeeping.

Sec.§643.32 What other requirements must a grantee meet? 

* * * * * 

 (c)(b)Recordkeeping. For each participant, a grantee 

shall maintain a record of-- 

* * * 

 (3) The services that are provided to the participant; 

 (4) The specific educational progress made by the 

participant as a result of the services; and.

 (5) A list of courses taken by participants identified 

by the project as enrolled or preparing to enroll in a 

rigorous secondary school program of study as defined in 34 

CFR 643.7.

 
98

Issue Paper 

Proposed Regulatory Language 

 Team IV--TRIO 

Origin: HEOA Sec. 403(a)

 

Issue: Updates to TRIO Regulations 

Statutory cites: HEA Sec. 402A, 402B, 402C, 402D, 403E, 402F, and 402G 

Regulatory cites: 34 CFR 642 (Training); 643 (TS); 644 (EOC); 645 (UB); 646 

(SSS); 647 (McNair) 

Summary of issue: The TRIO program regulations need to be modified to reflect 

changes made by the HEOA and established administrative practices. 

Needed changes include the following: 

--Updating the selection criteria related to "Objectives" (All programs); 

--Adding to SSS selection criteria a criterion on the applicant's effort to provide sufficient 

financial aid to meet the student's full financial need and maintain the loan burden of each 

student at a manageable level; 

--Amending the existing McNair selection criteria to include the "Award Considerations" 

from the HEOA; 

--Updating the allowable and unallowable cost sections of the SSS regulations to address 

grant aid and temporary housing for homeless children and youth and foster care youth; 

and 

--Considering revisions to the regulations on minimum number of participants to be 

served by TS, EOC, and UB, UBMS, and VUB projects. 

Many sections of the TRIO Training regulations need to be updated or revised to reflect 

current law and practice. 

Updated information since March 25-27, 2009 meeting: Negotiators reached tentative 

agreement on the language for the following: 

o Revisions to the selection criteria related to “objectives” for all programs;

o Changes to the applicant and community support selection criteria for Talent 

Search, EOC, and Upward Bound programs; 

o With minor edits, revisions to the plan of operation section of the Talent Search 

regulations (included in the Talent Search issue paper); 

o No changes to the plan of operation criteria for the UB, EOC, SSS and McNair; 

o Conforming changes to the SSS allowable and unallowable costs to address grant 

aid and temporary housing for homeless children and youth and foster care youth; 

o Elimination of the regulatory requirement of a minimum numbers of participants 
99

to be served in Talent Search, EOC, and Upward Bound programs. Instead, the 

number of participants a project is expected to serve each year of the grant cycle 

would be addressed through the notice inviting applications for the competition; 

o Updates to list of other regulations applicable to the TRIO programs; and 

o Updates to the Training program regulations to reflect the amendments to HEA 

and current practice regarding the “Need for the project” selection criteria, the 

process for ranking applications by priority, the use of prior experience points in 

the ranking of applications for funding, and the number of prior experience points 

an applicant can earn. 

Following the March meeting, the Department held a follow-up conference call on April 

8, 2009 with some of the non-Federal negotiators to further discuss changes to the 

selection criteria and the other requirements of a grantee related to the project director. 

Change: 

Change to Eligibility Requirements for a Grant 

§643.2 (TS); §644.2 (EOC); §645.2 (UB) 

§64_.2 Who is eligible for a grant? 

 The following entities are eligible for a grant to 

carry out a (insert program name) 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. 

 (d) A secondary school, under exceptional 

circumstances such as if no institution, agency, or 

organization described in paragraphs (a) and (b) of this 
100

section is capable of carrying out an Educational 

Opportunity Centers project in the target area to be served 

by the proposed project.

Changes to Assurances (UB) 

* * * * * 

§645.21 What assurances must an applicant include in an 

application? 

 

 (a) An applicant for Regular Upward Bound 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 lowincome individuals, potential first generation college 

students, or students 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) Individuals who are receiving services from 

Gaining Early Awareness and Readiness for Undergraduate 

Programs (GEAR UP) under 34 CFR part 694, Upward Bound Math 
101

and Science Centers under 34 CFR part 645, Veterans Upward 

Bound under 34 CFR part 645, Talent Search under 34 CFR

part 643, Educational Opportunity Centers under 34 CFR part 

644, or other programs serving similar populations will not 

receive the same services under the proposed Regular Upward 

Bound project.

 (b) An applicant for Upward Bound Math and Science 

Centers 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 lowincome individuals or potential first generation college 

students; and

 (3) Individuals who are receiving services from 

Gaining Early Awareness and Readiness for Undergraduate 

Programs (GEAR UP) under 34 CFR part 694, Veterans Upward 

Bound under 34 CFR part 645, Talent Search under 34 CFR 

part 643, Educational Opportunity Centers under 34 CFR part 

644, or other programs serving similar populations will not 

receive the same services under the proposed project.

 (c) An applicant for Veterans Upward Bound must 

assure the Secretary that--
102

 (1) Not less than two-thirds of the project's 

participants will be low-income individuals who are 

potential first generation college students; and

 (2) The remaining participants will be low-income 

individuals, potential first generation college students, 

or veterans who have a high risk for academic failure; 

 (3) Individuals who are receiving services from 

Gaining Early Awareness and Readiness for Undergraduate 

Programs (GEAR UP) under 34 CFR part 694, Upward Bound Math 

and Science Centers under 34 CFR part 645, Talent Search 

under 34 CFR part 643, Educational Opportunity Centers 

under 34 CFR part 644, or other programs serving similar 

populations will not receive the same services under the 

proposed Upward Bound Math and Science Centers project.

* * * * * 

Changes to Assurances (SSS) 

§646.11 What assurances must an applicant include in an 

application?

 (a) At least An applicant must assure the 

Secretary shall assure in its application that-- 

 (1) Not less than two-thirds of the project 

participants students it will serve in its Student Support 

Services project will be-- 
103

 (i) Low-income individuals who are first generation 

college students; or 

 (ii) Individuals with disabilities; 

 (2) The remaining participants students it will serve

will be low-income individuals, first generation college 

students, or individuals with disabilities; and 

 (3) Not less than one-third of the individuals with 

disabilities served also will be low—income individuals. 

and

(d) Each student participating in the project will be 

offered sufficient financial assistance to meet that 

student's full financial need.

 (b) The applicant must describe in the application 

its efforts, and where applicable, past history, in--

 (1) Providing sufficient financial assistance to meet the full financial need of each 

student in the project; and 

 (2) Maintaining the loan burden of each student in 

the project at a manageable level.

* * * * * 

Change to Selection Criteria, Objectives 

§644.21 (EOC); §645.31 (UB); §646.21 (SSS); §647.21(McNair) 
104

Change to Selection Criteria, Objectives (TS) (refer to 

issue on Talent Search): 

* * * * * 

Change to Selection Criteria, Objectives (EOC): 

* * * * * 

§644.21 What selection criteria does the Secretary use? 

* * * * * 

 (b) Objectives (8 points). The Secretary evaluates 

the quality of the applicant's proposed projectobjectives 

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) Enrollment of participants who do not 

have a secondary school diploma or its recognized 

equivalent in programs leading to a regular secondary 

school diploma or its equivalent. 

 (2) (4 points) Postsecondary enrollment. 

 (3) (1 point) Student financial aid assistance. 

 (4) (1 point) Student college admission assistance. 

 (1) Include both process and outcome objectives 

relating to each of the purposes of the Educational 

Opportunity Centers program stated in Sec. 644.1;

 (2) Address the needs of the target area;
105

 (3) Are clearly described, specific, and measurable; 

and

 (4) Are ambitious but attainable within each budget 

period and the project period given the project budget and 

other resources.

* * * * * 

Change to Selection Criteria, Objectives (UB) 

* * * * * 

§645.31 What selection criteria does the Secretary use? 

* * * * * 

 (b) Objectives (9 points). The Secretary evaluates 

the quality of the applicant's proposed projectobjectives 

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 improvement (GPA);

 (ii) (1 point) Academic improvement (standardized 

test scores);

 (iii) (2 points) Secondary school graduation (with 

regular secondary school diploma); 
106

 (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 improvement (standardized 

test scores);

 (ii) (3 points) Education program retention and 

completion;

 (iii) (3 points) Postsecondary enrollment; and

 (iv) (1 point) Postsecondary completion.

 (1) Include both process and outcome objectives 

relating to the purpose of the applicable Upward Bound 

programs for which they are applying;

 (2) Address the needs of the target area or target 

population; and

 (3) Are measurable, ambitious, and attainable over the 

life of the project. 

* * * * * 

Change to Selection Criteria, Objectives (SSS) 

* * * * * 

§646.21 What selection criteria does the Secretary use to 

evaluate an application? 
107

* * * * * 

 (b) Objectives (8 points). The Secretary evaluates 

the quality of the applicant's proposed project objectives 

in the following areas on the basis of the extent to which 

they 

 (1) (2 points) Include performance, process and outcome 

objectives relating to each of the purposes of the Student 

Support Services Program stated in Sec. 646.1;

 (2) (2 points) Address the identified needs of the 

proposed 

participants;

 (3) (2 points) Are clearly described, specific, and 

measurable; and

 (4) (2 points) Aare 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) (3 points) Retention in postsecondary education. 

 (2) (2 points) In good academic standing at grantee 

institution.

 (3)(i) (1 point) Certificate or degree completion

 (two-year institution only);

(ii) (2 points) Certificate or degree completion

 and transfer to a four-year institution (two-year
108

 institution only); or

 (iii) (3 points) Completion of a baccalaureate

degree (four-year institution only). 

* * * * * 

Change to Selection Criteria, Objectives (McNair) 

* * * * * 

§647.21 What selection criteria does the Secretary use? 

* * * * * 

 (b) Objectives (9 points). The Secretary evaluates 

the quality of the applicant's proposed project 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.

 (2) (3 points) Enrollment in a graduate program.

 (3) (2 points) Continued enrollment in graduate 

study. 

 (4) (2 points) Doctoral degree attainment.

 (1) Include both process and outcome objectives 

relating to the purpose of the McNair program stated in 

Sec. 647.1;
109

[[Page 327]]

 (2) Address the needs of the target population; and

 (3) Are measurable, ambitious, and attainable over the 

life of the project.

* * * * * 

Change Applicant and Community Support -- UB and EOC 

(for TS refer to TS issue paper) 

§644.21 What selection criteria does the Secretary use? 

* * * * * 

 

 (d) * * * 

 (2) (8 points??) Resources secured through written 

commitments of support from institutions of higher 

education, secondary schools, community organizations, and 

others. 

§645.31 What selection criteria does the Secretary use? 

* * * * * 

 (d) * * * 

 (2) The applicant has secured written commitments of 

support from secondary schools, institutions of higher 

education, community organizations, and businesses, 

including the commitment of resources that will enhance the 

project as described in paragraph (d)(1) of this section. 

Change to Other Requirements, Number of Participants 

§643.32 (TS); §644.32 (EOC); §645.43 (UB) 
110

Change to Other Requirements, Number of Participants (TS) 

* * * * * 

§643.32 What other requirements must a grantee meet? 

* * * * * 

(b) Number of participants. A grantee shall serve a minimum 

of 600 participants in each budget period. However, the 

Secretary may reduce the minimum number of these 

participants if the amount of the grant for the budget 

period is less than $180,000.

* * * * * 

Change to Other Requirements, Number of Participants (EOC) 

* * * * * 

§644.32 What other requirements must a grantee meet? 

* * * * * 

(b) Number of participants. In each budget period, a 

grantee shall serve a minimum of 1,000 participants who 

reside in the target area. However, the Secretary may 

reduce the minimum number of these participants if the 

amount of the grant for the budget period is less than 

$180,000.

* * * * * 

Change to Other Requirements, Number of Participants (UB) 

* * * * * 
111

§645.43 What other requirements must a grantee meet? 

(a) Number of participants. (1) In each budget period, 

Regular 

Upward Bound projects shall serve between 50 and 150 

participants and 

Upward Bound Math and Science projects shall serve between 

50 and 75 participants.

 (2) Veterans Upward Bound projects shall serve a 

minimum of 120 veterans in each budget period.

 (3) The Secretary may waive the requirements of 

paragraphs (a)(1) and (a)(2) of this section if the 

applicant can demonstrate that the project will be more 

cost effective and consistent with the objectives of the 

program if a greater or lesser number of participants will 

be served.

* * * * * 

Changes to Other Requirements, Project Director 

§643.32(c) (TS); §644.32(d) (EOC); §645.43(b) (UB); 

§646.32(c)(SSS) 

* * * * * 

§ ___. What other requirements must a grantee meet? 

* * * * * 

 (_) Project director. (1) A grantee must employ a 

full-time project director unless–-
112

 (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 (d)(1) of this section if the applicant demonstrates that the 

requirement to administer no more than three programs will hinder effective coordination between the [Insert program name] program 

and-- 

 (i) One or more Federal TRIO programs (sections 402A 

through 402F of the HEA); or

 (ii) One or more similar programs funded through 

other sources.

(d) Project director. (1) A grantee shall employ a fulltime project director unless paragraph (d)(3) of this 

section applies.

 (2) The grantee shall give the project director 

sufficient authority to administer the project effectively.

 (3) The Secretary waives the requirement in paragraph 

(d)(1) of this section if the applicant demonstrates that 

the requirement will hinder coordination--

 (i) Among the Federal TRIO Programs (sections 402A 

through 402F of the HEA); or
113

 (ii) Between the programs funded under sections 402A 

through 410 of the HEA and similar programs funded through 

other sources.

* * * * * 

Change to Allowable and/or Unallowable Costs §644.30 (EOC); 

§645.40 (UB); §646.30 (SSS); §647.30 (McNair) (refer to 

Talent Search issue paper for changes for TS). 

Change to Allowable Costs (EOC) 

* * * * * 

§644.30 What are allowable costs? 

 The cost principles that apply to the Educational 

Opportunity Centers program are in §§74.27, 75.530 and 

80.22, as applicable. Allowable costs include the 

following if they are reasonably related to the objectives 

of the project: 

 (a) Transportation, meals, and, with specific prior 

approval of the Secretary, lodging for participants and 

project staff for-- 

 (1) Visits to postsecondary educational institutions 

to obtain information relating to the admission of

participants to those institutions. 

* * * 

 (3) Field trips for participants to observe and meet 

with peoplepersons who are employed in various career 
114

fields in the target area andand can serveact as role 

models for participants..

 (b) Purchase of testing materials. and test 

preparation programs for participants.

 (c) * * * 

 (2) The fee is paid by the grantee to a third party 

on behalf of a participant..

 (d) In-service training of project staff..

 (e) * * * 

* * * * *

 (f) Purchase of computer hardware, computer software, 

or other equipment for student participant development, 

project administration, or andproject recordkeeping, if the 

applicant demonstrates to the Secretary's satisfaction that 

the equipment is required to meet the objectives of the 

project more economically or efficiently. 

* * * * * 

Change to Allowable Costs (UB) 

* * * * * 

§645.40 What are allowable costs? 

 The cost principles that apply to the Upward Bound 

program are in §§74.27, 75.530 and 80.22, as applicable. 

Allowable costs include the following if they are 

reasonably related to the objectives of the project: 
115

* * * * * 

 (n) Purchase of computer hardware, computer software, 

or other equipment for studentparticipant development, 

project administration, or project andrecordkeeping, if the 

applicant demonstrates to the Secretary's satisfaction that 

the equipment is required to meet the objectives of the 

project more economically or efficiently. 

* * * * * 

Change to Allowable and Unallowable Costs (SSS) 

* * * * * 

§646.30 What are allowable costs? 

 The cost principles that apply to the Student Support 

Services program are in §§74.27, 75.530 and 80.22, as 

applicable. Allowable costs include the following if they 

are reasonably related to the objectives of the project: 

* * * * * 

 (f) Purchase of computer hardware, computer software, 

or other equipment to be used for studentparticipant 

development, student records and project administration, or 

project recordkeeping if the applicant demonstrates to the 

Secretary's 

satisfaction that the equipment is required to meet the 

objectives of the project more economically or efficiently. 
116

* * * * * 

 (i) Grant aid to an eligible student pursuant to 

section 402D(d) of the HEA. For purposes of this section, 

an eligible student is a current participant in the Student 

Support Services program funded at the institution and -- 

 (1) Is in the first two years of postsecondary 

education and receiving a Federal Pell Grant under section 

402D(d)(1) of the HEA; or

 (2) Has completed the first two years of postsecondary 

education and is receiving a Federal Pell Grant under 

402D(d)(1) of the HEA, if the institution 

demonstrates to the satisfaction of the Secretary that--

(i) these students are at high risk of dropping out; 

and

(ii) it will first meet the needs of all its eligible 

first- and second-year students for services under section 

402D(d) of the HEA.

 (j) Temporary housing during breaks in the academic 

year for--

(1) Students who are homeless children and youths or 

were formerly homeless children and youths; and

(2) Students who are foster care youth.

* * * * * 
117

§646.31 What are unallowable costs? 

* * * * * 

 

 (b) Tuition, fees, stipends, and other forms of 

direct financial support for staff or participants, except 

for grant aid under §646.30(i). 

* * * * * 

Change to Allowable Costs (McNair) 

* * * * * 

§647.30 What are allowable costs? 

* * * * * 

 (b) Stipends of up to $2,800$2,400 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. 

* * * * * 

 (d) Purchase of computer hardware, computer software, 

or other equipment for student participant development, 

project administration, and or project recordkeeping, if 

the applicant demonstrates to the Secretary's satisfaction 

that the equipment is required to meet the objectives of 

the project more economically or efficiently. 

* * * * * 
118

Conforming Changes to Regulations not included in another 

issue paper: §642.5 [old §642.4](Training§); §643.6 (TS); 

§644.6 (EOC); §645.6 (UB); 6§46.6 (SSS); 647.6 (McNair) 

§64_._ What regulations apply? 

 (a) The Education Department General Administrative 

Regulations (EDGAR) in 34 CFR parts 74, 75 (except for 

sections 75.219(b) and 75.221), 77, 79, 80, 81, 82, 84, 85, 

86, 97, 98 and 99. 

* * * * * 

§64_._ How long is a project period? (TS, EOC, UB, SSS, 

and McNair) 

 A project period under the (insert name) program is 

five years. 

* * * * * 

Conforming Changes to Regulations (EOC)

* * * * * 

Sec.§644.1 What is the Educational Opportunity Centers 

program? 

 The Educational Opportunity Centers program provides 

grants for projects designed--to provide--

 (a) Information To provide information regarding 

financial and academic assistance available forto

individuals who desire to pursue a program of postsecondary 

education; and
119

 (b) Assistance To provide assistance to individuals in 

applying for admission to institutions that offer programs 

of postsecondary education, including assistance in 

preparing necessary applications for use by admissions and 

financial aid officers.; and

 (c) To improve the financial literacy and economic 

literacy of participants on topics such as--

 (1) Basic personal income, household money 

management, and financial planning skills; and

 (2) Basic economic decision-making skills.

* * * * * 

Sec.§644.1011 What assurances must an applicant submit? 

* * * * * 

Sec.§644.23 How does the Secretary set the amount of a 

grant? 

* * * * * 

 (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 grantbeginning in 

fiscal year 1994 at the lesser of-- 

 (1) $180200,000; or 

* * * * * 

Sec.§644.32 What other requirements must a grantee meet? 

* * * * * 
120

 (c)(b) Recordkeeping. For each participant, a 

grantee must maintain a record of-- 

* * * * * 

Conforming Changes to Regulations (UB) 

* * * * * 

Sec.§645.4 What are the grantee requirements with respect 

to low-income individuals and potential first-generation 

college students? 

 (a) At least two-thirds of the eligible participants 

a grantee serves must at the time of initial selection 

qualify as both low-income individuals and potential firstgeneration college students. The remaining participants 

must at the time of initial selection qualify as either 

low-income individuals, or potential first generation 

college students, ., or students who have a high risk for 

academic failure.

* * * * * 

Sec.§645.33 How does the Secretary set the amount of a 

grant? 

* * * * * 

 (b) * * * 

 (1) $200,000; or 

* * * * * 

Sec.§645.42 What are Upward Bound stipends? 
121

* * * * * 

 (d) * * * 

 (1) * * * 

 (ii) For the summer component, the 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 June, July, and August.

* * * * * 

Sec.§645.43 What other requirements must a grantee meet? 

* * * * * 

 (bc) Recordkeeping. For each participant, a grantee 

must maintain a record of-- 

* * * * 

Conforming Changes to Regulations (SSS)

* * * * * 

Sec.§646.1 What is the Student Support Services program? 

* * * * * 

 (a) Increase the college retention and graduation 

rates of eligible students; 

* * * * * 

 (c) Foster an institutional climate supportive of the 

success of students who are limited English proficient, 

students from groups that are traditionally 
122

underrepresented in postsecondary education, students with

disabilities, students who are homeless children and 

youths, students who are in foster care, or other 

disconnected students; and 

 (d) Improve the financial literacy and economic 

literacy of students in areas such as--

 (1) Basic personal income, household money 

management, and financial planning skills; and 

 (2) Basic economic decisionmaking skills.

* * * * * 

Sec.§646.23 How does the Secretary set the amount of a 

grant? 

* * * * * 

 (b) * * * 

 (1) $200,000; or 

* * * * * 

Sec.§646.32 What other requirements must a grantee meet? 

 (a) * * * 

 (2) A grantee must determine the low-income status of 

an individual on the basis of the documentation described 

in section 402A(e) of the HEA. 

* * * * * 
123

Conforming Changes to Regulations (McNair) 

* * * * * 

Subpart B--How Does One Apply for an Award? 

647.1§647.11 What assurances must an applicant submit? 

* * * * * 

Sec.§647.23 How does the Secretary set the amount of a 

grant? 

* * * * * 

 (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 

* * * * * 

Changes to Regulations to Reflect Current Practice and 

Conforming Changes (Training) 

Subpart A--General 

Sec. 

642.1 What is the Training Program for Federal TRIO 

Programs? 

642.2 Who are eligible applicants? 

642.3 Who are eligible participants? 

642.4 How long is a project period?
124

642.5 What regulations apply?

642.6 What definitions apply? 

642.7 How many applications may an eligible applicant 

submit? 

Subpart B--What Types of Projects And Activities Does the 

Secretary Assist Under This Program? 

642.10 What types of projects does the Secretary assist? 

642.11 What activities does the Secretary assist?

642.12 What activities may a project conduct?

Subpart C--How Does the Secretary Make a Grant? 

642.20 How does the Secretary evaluate an application for 

a new award? 

642.21 What selection criteria does the Secretary use? 

§642.22 How does the Secretary evaluate prior experience? 

 642.23 How does the Secretary ensure geographic

distribution of awards?

642.24 What are the priorities for funding? 

Subpart D--What Conditions Must Be Met by a Grantee? 

642.30 What are allowable costs? 

642.31 What are unallowable costs? 

* * * * * 

Sec.§ 642.1 What is the Training Program for Federal TRIO 

Programs? 
125

 The Training program for Federal TRIO programs--

referred to in these regulations as the Training program--

provides Federal financial assistance to train the 

leadership personnel and staff employed in, or preparing 

for employment in, projects funded under the Federal TRIO 

programs. 

Sec.§ 642.2 Who are eligible applicants? 

* * * * * 

Sec.§642.3 Who are eligible participants? 

* * * * * 

 (a) Leadership personnel and full and part-time staff 

members of projects funded under the Federal TRIO programs. 

 (b) Individuals preparing for employment as staff or

leadership personnel or staff in projects funded under the 

Federal TRIO programs.

Sec.§642.4 How long is a project period? the Training 

Program. 

 A project period under the Training program is two 

years.

* * * * * 

Sec.§642.21 What selection criteria does the Secretary 

use? 
126

* * * * * 

 (a) * * * 

 (2) * * * 

 (v) * * * 

 (C) Individuals with disabilities; and 

* * * * * 

 (b) * * * 

 (2) * * * 

 (iv) * * * 

 (C) Individuals with disabilities; and 

* * * * * 

Sec.§642.23 How does the Secretary ensure geographic 

distribution of awards?

 The Secretary, to the greatest extent possible, awards 

grants for Training program projects that will be carried 

out in all regions of the Nation to assure accessibility to 

prospective training participants. 

§642.24 What are the Secretary’s priorities for funding? 

 (a) * * * 

 (6) Cultural enrichment programs. 

 (7) Career planning. 

 (8) Tutorial programs. 

 (9) Retention and graduation strategies. 
127

 (10) Strategies for preparing students for doctoral 

studies. 

 (11) Project evaluation. 

 (12) Budget management. 

 (13) Personnel management. 

 (14) Reporting student and project performance. 

 (15) Coordinating project activities with other 

available resources and activities. 

 (16) General project management for new directors. 

 (17) Statutory and regulatory requirements for the 

operation of projects funded under the Federal TRIO 

programs. 

 (18) Assisting students in receiving adequate 

financial aid from programs assisted under title IV of the 

HEA and from other programs.

 (19) The design and operation of model programs for 

projects funded under the Federal TRIO programs. 

 (20) The use of appropriate educational technology in 

the operation of projects funded under the Federal TRIO 

programs. 

 (21) Strategies for recruiting and serving hard to 

reach populations, including students who are limited 

English proficient, students from groups that are 

traditionally underrepresented in postsecondary education, 
128

students with disabilities, students who are homeless 

children and youths, students who are foster care youth or 

are aging out of the foster care system, or other 

disconnected students.

 (b) The Secretary annually funds training on the 

subjects listed in paragraphs (a)(17), (18), (19), (20), 

and (21) of this section. 

* * * * * 

Subpart D--What Conditions Must Be Met by a Grantee? 

Sec.§642.30 What are allowable costs? 

* * * * * 

 (d) Purchase or rental of equipment if approved in 

writing by the Secretary. 

* * * * * 

Sec.§642.31 What are unallowable costs?