Upward Bound Program

SUMMARY: The Secretary amends the regulations governing the Upward

Bound Program in order to further implement statutory changes made to

the Upward Bound Program by the Higher Education Amendments of 1992 and

to clarify and simplify certain requirements governing the program. The

selection criteria, prior experience criteria, and grantee

accountability provisions are affected by these changes.

EFFECTIVE DATE: These regulations take effect February 23, 1995.

FOR FURTHER INFORMATION CONTACT: Prince O. Teal, Jr., U.S. Department

of Education, 600 Independence Avenue, S.W., Suite 600, Portals

Building, Washington, D.C. 20202-5249. Telephone: (202) 708-4804.

Individuals who use a telecommunications device for the deaf (TDD) may

call the Federal Information Relay Service (FIRS) at 1-800-877-8339

between 8 a.m. and 8 p.m., Eastern time, Monday through Friday.

SUPPLEMENTARY INFORMATION: The Upward Bound Program provides grants to

institutions of higher education; public and private agencies and

organizations; combinations of institutions, agencies, and

organizations; and secondary schools under special circumstances. The

purpose of the program is to generate the skills and motivation

necessary for success in education beyond high school.

The purposes and allowable activities of the Upward Bound Program

support the National Education Goals. Specifically, the program

supports projects designed to increase high school graduation rates;

increase competency in challenging subject matters including English,

mathematics, science, foreign language, and literature; encourage more

students to pursue programs that lead to careers in mathematics and

science; and help gain parental participation in the social, emotional,

and academic growth of their children.

On September 2, 1994, the Secretary published a notice of proposed

rulemaking (NPRM) for the Upward Bound Program in the Federal Register

(59 FR 45964-70).

Analysis of Comments and Changes

In response to the Secretary's invitation in the NPRM, 48 persons

submitted comments on the proposed regulations. An analysis of the

comments and of the changes made in the regulations since publication

of the NPRM is published as an appendix to these final regulations.

Intergovernmental Review

This program is subject to the requirements of Executive Order

12372 and the regulations in 34 CFR Part 79. The objective of the

Executive order is to foster an intergovernmental partnership and a

strengthened federalism by relying on processes developed by State and

local governments for coordination and review of proposed Federal

financial assistance.

In accordance with the order, this document is intended to provide

early notification of the Department's specific plans and actions for

this program.

Assessment of Educational Impact

In the notice of proposed rulemaking, the Secretary requested

comments on whether the proposed regulations would require transmission

of information that is being gathered by or is available from any other

agency or authority of the United States.

Based on the response to the proposed rules and on its own review,

the Department has determined that the regulations in this document do

not require transmission of information that is being gathered by or is

available from any other agency or authority of the United States.

List of Subjects in 34 CFR Part 645

Colleges and Universities, Education of disadvantaged, Grant

programs-education, Reporting and recordkeeping requirements, Secondary

education.

(Catalog of Federal Domestic Assistance Number 84.047, Upward Bound

Program)

Dated: January 17, 1995.

David A. Longanecker,

Assistant Secretary for Postsecondary Education.

The Secretary amends Title 34 of the Code of Federal Regulations by

revising Part 645 to read as follows:

PART 645--UPWARD BOUND PROGRAM

Subpart A--General

Sec.

645.1 What is the Upward Bound Program?

645.2 Who is eligible for a grant?

645.3 Who is eligible to participate in an Upward Bound project?

645.4 What are the grantee requirements with respect to low income

and first-generation participants?

645.5 What regulations apply?

645.6 What definitions apply to the Upward Bound Program?

Subpart B--What Kinds of Projects and Services Does the Secretary

Assist Under This Program?

645.10 What kinds of projects are supported under the Upward Bound

Program?

645.11 What services do all Upward Bound projects provide?

645.12 How are regular Upward Bound projects organized?

645.13 What additional services do Upward Bound Math and Science

Centers provide and how are they organized?

645.14 What additional services do Veterans Upward Bound projects

provide?

Subpart C--How Does One Apply for An Award?

645.20 How many applications for an Upward Bound award may an

eligible applicant submit?

645.21 What assurances must an applicant include in an application?

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

645.30 How does the Secretary decide which grants to make?

645.31 What selection criteria does the Secretary use?

645.32 How does the Secretary evaluate prior experience?

645.33 How does the Secretary set the amount of a grant?

645.34 How long is a project period?

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

645.40 What are allowable costs?

645.41 What are unallowable costs?

645.42 What are Upward Bound stipends?

645.43 What other requirements must a grantee meet?

Authority: 20 U.S.C. 1070a-11 and 1070a-13, unless otherwise

noted.

Subpart A--General

Sec. 645.1 What is the Upward Bound Program?

(a) The Upward Bound Program provides Federal grants to projects

designed to generate in program participants the skills and motivation

necessary to complete a program of secondary education and to enter and

succeed in a program of postsecondary education.

(b) The Upward Bound Program provides Federal grants for the

following three types of projects:

(1) Regular Upward Bound projects.

(2) Upward Bound Math and Science Centers.

(3) Veterans Upward Bound projects.

(Authority: 20 U.S.C. 1070a-11 and 1070a-13) [[Page 4749]]

Sec. 645.2 Who is eligible for a grant?

The following entities are eligible to apply for a grant to carry

out an Upward Bound project:

(a) Institutions of higher education.

(b) Public or private agencies or organizations.

(c) Secondary schools, in exceptional cases, if there are no other

applicants capable of providing this program in the target area or

areas to be served by the proposed project.

(d) A combination of the types of institutions, agencies, and

organizations described in paragraphs (a) and (b) of this section.

(Authority: 20 U.S.C 1070a-11 and 1070a-13)

Sec. 645.3 Who is eligible to participate in an Upward Bound project?

An individual is eligible to participate in a Regular, Veterans, or

a Math and Science Upward Bound project if the individual meets all of

the following requirements:

(a) (1) Is a citizen or national of the United States.

(2) Is a permanent resident of the United States.

(3) Is in the United States for other than a temporary purpose and

provides evidence from the Immigration and Naturalization Service of

his or her intent to become a permanent resident.

(4) Is a permanent resident of Guam, the Northern Mariana Islands,

or the Trust Territory of the Pacific Islands.

(5) Is a resident of the Freely Associated States--the Federated

States of Micronesia, the Republic of the Marshall Islands, or the

Republic of Palau.

(b) Is--(1) A potential first-generation college student; or

(2) A low-income individual.

(c) Has a need for academic support, as determined by the grantee,

in order to pursue successfully a program of education beyond high

school.

(d) At the time of initial selection, has completed the eighth

grade but has not entered the twelfth grade and is at least 13 years

old but not older than 19, although the Secretary may waive the age

requirement if the applicant demonstrates that the limitation would

defeat the purposes of the Upward Bound program. However, a veteran as

defined in Sec. 645.6, regardless of age, is eligible to participate in

an Upward Bound project if he or she satisfies the eligibility

requirements in paragraphs (a), (b), and (c) of this section.

(Authority: 20 U.S.C. 1070a-11 and 1070a-13)

Sec. 645.4 What are the grantee requirements with respect to low

income and first-generation participants?

(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 first-generation college students. The

remaining participants must at the time of initial selection qualify as

either low-income individuals or potential first generation college

students.

(b) For purposes of documenting a participant's low-income status

the following applies:

(1) In the case of a student who is not an independent student, an

institution shall document that the student is a low-income individual

by obtaining and maintaining--

(i) A signed statement from the student's parent or legal guardian

regarding family income;

(ii) Verification of family income from another governmental

source;

(iii) A signed financial aid application; or

(iv) A signed United States or Puerto Rican income tax return.

(2) In the case of a student who is an independent student, an

institution shall document that the student is a low-income individual

by obtaining and maintaining--

(i) A signed statement from the student regarding family income;

(ii) Verification of family income from another governmental

source;

(iii) A signed financial aid application; or

(iv) A signed United States or Puerto Rican income tax return.

(c) For purposes of documenting potential first generation college

student status, documentation consists of a signed statement from a

dependent participant's parent, or a signed statement from an

independent participant.

(d) A grantee does not have to revalidate a participant's

eligibility after the participant's initial selection.

(Approved by the Office of Management and Budget under control

number 1840-0550)

(Authority: 20 U.S.C. 1070a-11)

Sec. 645.5 What regulations apply?

The following regulations apply to the Upward Bound Program:

(a) The Education Department General Administrative Regulations

(EDGAR) as follows:

(1) 34 CFR Part 74 (Administration of Grants to Institutions of

Higher Education, Hospitals, and Nonprofit Organizations);

(2) 34 CFR Part 75 (Direct Grant Programs), except for Sec. 75.511;

(3) 34 CFR Part 77 (Definitions that Apply to Department

Regulations), except for the definition of ``secondary school'' in 34

CFR 77.1;

(4) 34 CFR Part 79 (Intergovernmental Review of Department of

Education Programs and Activities);

(5) 34 CFR Part 82 (New Restrictions on Lobbying);

(6) 34 CFR Part 85 (Governmentwide Debarment and Suspension

(Nonprocurement) and Governmentwide Requirements for Drug-Free

Workplace (Grants));

(7) 34 CFR Part 86 (Drug-Free Schools and Campuses).

(b) The regulations in this Part 645.

(Authority: 20 U.S.C. 1070a-11 and 1070a-13)

Sec. 645.6 What definitions apply to the Upward Bound Program?

(a) Definitions in EDGAR. The following terms used in this part are

defined in 34 CFR 77.1:

Applicant

Application

Award

Budget

Budget period

EDGAR

Equipment

Facilities

Grant

Grantee

Project

Project period

Secretary

State

Supplies

(b) Other Definitions. The following definitions also apply to this

part:

Family taxable income means--

(1) With regard to a dependent student, the taxable income of the

individual's parents;

(2) With regard to a dependent student who is an orphan or ward of

the court, no taxable income;

(3) With regard to an independent student, the taxable income of

the student and his or her spouse.

HEA means the Higher Education Act of 1965, as amended.

Independent student means a student who--

(1) Is an orphan or ward of the court;

(2) Is a veteran of the Armed Forces of the United States (as

defined in this section);

(3) Is a married individual; or

(4) Has legal dependents other than a spouse.

Institution of higher education means an educational institution as

defined in sections 1201(a) and 481 of the HEA.

Limited English proficiency with reference to an individual, means

an individual whose native language is other than English and who has

[[Page 4750]] sufficient difficulty speaking, reading, writing, or

understanding the English language to deny that individual the

opportunity to learn successfully in classrooms in which English is the

language of instruction.

Low-income individual means an individual whose family taxable

income did not exceed 150 percent of the poverty level amount in the

calendar year preceding the year in which the individual initially

participates in the project. The poverty level amount is determined by

using criteria of poverty established by the Bureau of the Census of

the U.S. Department of Commerce.

Organization/Agency means an entity that is legally authorized to

operate programs such as Upward Bound in the State where it is located.

Participant means an individual who--

(1) Is determined to be eligible to participate in the project

under Sec. 645.3;

(2) Resides in the target area, or is enrolled in a target school

at the time of acceptance into the project; and

(3) Has been determined by the project director to be committed to

the project, as evidenced by being allowed to continue in the project

for at least--

(i) Ten days in a summer component if the individual first enrolled

in an Upward Bound project's summer component; or

(ii) Sixty days if the individual first enrolled in an Upward Bound

project's academic year component.

Potential first-generation college student means--

(1) An individual neither of whose natural or adoptive parents

received a baccalaureate degree; or

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

and received support from only one natural or adoptive parent and whose

supporting parent did not receive a baccalaureate degree.

Secondary school means a school that provides secondary education

as determined under State law.

Target area means a discrete local or regional geographical area

designated by the applicant as the area to be served by an Upward Bound

project.

Target school means a school designated by the applicant as a focus

of project services.

Veteran means a person who 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.

(Authority: 20 U.S.C. 1001 et seq., 1070a-11, 1070a-13, 1088, 1141,

1141a, and 3283(a)).

Subpart B--What Kinds of Projects and Services Does the Secretary

Assist Under This Program?

Sec. 645.10 What kinds of projects are supported under the Upward

Bound Program?

The Secretary provides grants to the following three types of

Upward Bound projects:

(a) Regular Upward Bound projects designed to prepare high school

students for programs of postsecondary education.

(b) Upward Bound Math and Science Centers designed to prepare high

school students for postsecondary education programs that lead to

careers in the fields of math and science.

(c) Veterans Upward Bound projects designed to assist veterans to

prepare for a program of postsecondary education.

(Authority: 20 U.S.C. 1070a-11 and 1070a-13)

Sec. 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

Sec. 645.11(a) that are necessary for success in education beyond high

school;

(2) Personal counseling;

(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.

(Authority: 20 U.S.C. 1070a-13)

Sec. 645.12 How are regular Upward Bound projects organized?

(a) Regular Upward Bound projects--

(1) Must provide participants with a summer instructional component

that is designed to simulate a college-going experience for

participants, and an academic year component; and

(2) May provide a summer bridge component to those Upward Bound

participants who have graduated from secondary school and intend to

enroll in an institution of higher education in the following fall

term. A summer bridge component provides participants with services and

activities, including college courses, that aid in the transition from

secondary education to postsecondary education.

(b) A summer instructional component shall--

(1) Be six weeks in length unless the grantee can demonstrate to

the Secretary that a shorter period will not hinder the effectiveness

of the project nor prevent the project from achieving its goals and

objectives, and the Secretary approves that shorter period; and

(2) Provide participants with one or more of the services described

in Sec. 645.11 at least five days per week.

(c)(1) Except as provided in paragraph (c)(2) of this section, an

academic year component shall provide program participants with one or

more of the services described in Sec. 645.11 on a weekly basis

throughout the academic year and, to the extent possible, shall not

prevent participants from fully participating in academic and

nonacademic activities at the participants' secondary school.

(2) If an Upward Bound project's location or the project's staff

are not readily accessible to participants because of distance or lack

of transportation, the grantee may, with the Secretary's permission,

provide project services to participants every two weeks during the

academic year.

(Authority: 20 U.S.C. 1070a-13)

Sec. 645.13 What additional services do Upward Bound Math and Science

Centers provide and how are they organized?

(a) In addition to the services that must be provided under

Sec. 645.11(a) and may be provided under Sec. 645.11(b), an Upward

Bound Math and Science Center must provide--

(1) Intensive instruction in mathematics and science, including

[[Page 4751]] hands-on experience in laboratories, in computer

facilities, and at field-sites;

(2) Activities that will provide participants with opportunities to

learn from mathematicians and scientists who are engaged in research

and teaching at the applicant institution, or who are engaged in

research or applied science at hospitals, governmental laboratories, or

other public and private agencies;

(3) Activities that will involve participants with graduate and

undergraduate science and mathematics majors who may serve as tutors

and counselors for participants; and

(4) A summer instructional component that is designed to simulate a

college-going experience that is at least six weeks in length and

includes daily coursework and other activities as described in this

section as well as in Sec. 645.11.

(b) Math Science Upward Bound Centers may also include--

(1) A summer bridge component consisting of math and science

related coursework for those participants who have completed high

school and intend on enrolling in an institution of higher education in

the following fall term; and

(2) An academic year component designed by the applicant to enhance

achievement of project objectives in the most cost-effective way taking

into account the distances involved in reaching participants in the

project's target area.

(Approved by the Office of Management and Budget under control

number 1840-0550)

(Authority: 20 U.S.C. 1070a-11 and 1070a-13)

Sec. 645.14 What additional services do Veterans Upward Bound projects

provide?

In addition to the services that must be provided under

Sec. 645.11(a) and may be provided under Sec. 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.

(Authority: 20 U.S.C. 1070a-11 and 1070a-13)

Subpart C--How Does One Apply for An Award?

Sec. 645.20 How many applications for an Upward Bound award may an

eligible applicant submit?

(a) The Secretary accepts more than one application from an

eligible entity so long as an additional application describes a

project that serves a different participant population.

(b) Each application for funding under the Upward Bound Program

shall state whether the application proposes a Regular Upward Bound

project, an Upward Bound Math and Science Center, or a Veterans Upward

Bound project.

(Authority: 20 U.S.C. 1070a-11 and 1070a-13)

Sec. 645.21 What assurances must an applicant include in an

application?

An applicant must assure the Secretary that--

(a) Not less than two-thirds of the project's participants will be

low-income individuals who are potential first generation college

students; and

(b) That the remaining participants be either low-income

individuals or potential first generation college students.

(Authority 20 U.S.C. 1070a-13)

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

Sec. 645.30 How does the Secretary decide which grants to make?

(a) The Secretary evaluates an application for a grant as follows:

(1)(i) The Secretary evaluates the application on the basis of the

selection criteria in Sec. 645.31.

(ii) The maximum score for all the criteria in Sec. 645.31 is 100

points. The maximum score for each criterion is indicated in

parentheses with the criterion.

(2)(i) If an applicant for a new grant proposes to continue to

serve substantially the same target population or schools that the

applicant is serving under an expiring project, the Secretary evaluates

the applicant's prior experience in delivering services under the

expiring Upward Bound project on the basis of the criteria in

Sec. 645.32.

(ii) The maximum score for all the criteria in Sec. 645.32 is 15

points. The maximum score for each criterion is indicated in

parentheses with the criterion.

(b) The Secretary makes grants in rank order on the basis of the

application's total scores under paragraphs (a)(1) and (a)(2) of this

section.

(c) If the total scores of two or more applications are the same

and there are insufficient funds for these applications after the

approval of higher-ranked applications, the Secretary uses whatever

remaining funds are available to serve geographic areas that have been

underserved by the Upward Bound Program.

(d) The Secretary may decline to make a grant to an applicant that

carried out a project that involved the fraudulent use of funds under

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

(Authority: 20 U.S.C. 1070a-11, 1070a-13)

Sec. 645.31 What selection criteria does the Secretary use?

The Secretary uses the following criteria to evaluate an

application for a grant:

(a) Need for the project (24 points). In determining need for an

Upward Bound project, the Secretary reviews each type of project

(Regular, Math and Science, or Veterans) using different need criteria.

The criteria for each type of project contain the same maximum score of

24 points and read as follows:

(1) The Secretary evaluates the need for a Regular Upward Bound

project in the proposed target area on the basis of information

contained in the application which clearly demonstrates that--

(i) The income level of families in the target area is low;

(ii) The education attainment level of adults in the target area is

low;

(iii) Target high school dropout rates are high;

(iv) College-going rates in target high schools are low;

(v) Student/counselor ratios in the target high schools are high;

and

(vi) Unaddressed academic, social and economic conditions in the

target area pose serious problems for low-income, potentially first-

generation college students.

(2) The Secretary evaluates the need for an Upward Bound Math and

Science Center in the proposed target area on the basis of--

(i) The extent to which student performance on standardized

achievement and assessment tests in mathematics and science in the

target area is lower than State or national norms.

(ii) The extent to which potential participants attend schools in

the target area that lack the resources and coursework that would help

prepare persons for entry into postsecondary programs in mathematics,

science, or engineering; [[Page 4752]]

(iii) The extent to which such indicators as attendance data,

dropout rates, college-going rates and student/counselor ratios in the

target area indicate the importance of having additional educational

opportunities available to low-income, first-generation students; and

(iv) The extent to which there are eligible students in the target

area who have demonstrated interest and capacity to pursue academic

programs and careers in mathematics and science, and who could benefit

from an Upward Bound Math and Science program.

(3) The Secretary evaluates the need for a Veterans Upward Bound

project in the proposed target area on the basis of clear evidence that

shows--

(i) The proposed target area lacks the services for eligible

veterans that the applicant proposes to provide;

(ii) A large number of veterans who reside in the target area are

low income and potential first generation college students;

(iii) A large number of veterans who reside in the target area who

have not completed high school or, have completed high school but have

not enrolled in a program of postsecondary education; and

(iv) Other indicators of need for a Veterans Upward Bound project,

including the presence of unaddressed academic or socio-economic

problems of veterans in the area.

(b) Objectives (9 points). The Secretary evaluates the quality of

the applicant's proposed project objectives on the basis of the extent

to which they--

(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.

(c) Plan of operation (30 points). The Secretary determines the

quality of the applicant's plan of operation by assessing the quality

of--

(1) The plan to inform the faculty and staff at the applicant

institution or agency and the interested individuals and organizations

throughout the target area of the goals and objectives of the project;

(2) The plan for identifying, recruiting, and selecting

participants to be served by the project;

(3) The plan for assessing individual participant needs and for

monitoring the academic progress of participants while they are in

Upward Bound;

(4) The plan for locating the project within the applicant's

organizational structure;

(5) The curriculum, services and activities that are planned for

participants in both the academic year and summer components;

(6) The planned timelines for accomplishing critical elements of

the project;

(7) The plan to ensure effective and efficient administration of

the project, including, but not limited to, financial management,

student records management, and personnel management;

(8) The applicant's plan to use its resources and personnel to

achieve project objectives and to coordinate the Upward Bound project

with other projects for disadvantaged students;

(9) The plan to work cooperatively with parents and key

administrative, teaching, and counseling personnel at the target

schools to achieve project objectives; and

(10) A follow-up plan for tracking graduates of Upward Bound as

they enter and continue in postsecondary education.

(d) Applicant and community support (16 points). The Secretary

evaluates the applicant and community support for the proposed project

on the basis of the extent to which--

(1) The applicant is committed to supplementing the project with

resources that enhance the project such as: space, furniture and

equipment, supplies, and the time and effort of personnel other than

those employed in the project.

(2) The applicant has secured written commitments of support from

schools, community organizations, and businesses, including the

commitment of resources that will enhance the project as described in

paragraph (d)(1) of this section.

(e) Quality of personnel (8 points). To determine the quality of

personnel the applicant plans to use, the Secretary looks for

information that shows--

(1) The qualifications required of the project director, including

formal training or work experience in fields related to the objectives

of the project and experience in designing, managing, or implementing

similar projects;

(2) The qualifications required of each of the other personnel to

be used in the project, including formal training or work experience in

fields related to the objectives of the project;

(3) The quality of the applicant's plan for employing personnel who

have succeeded in overcoming barriers similar to those confronting the

project's target population.

(f) Budget and cost effectiveness (5 points). The Secretary reviews

each application to determine the extent to which--

(1) The budget for the project is adequate to support planned

project services and activities; and

(2) Costs are reasonable in relation to the objectives and scope of

the project.

(g) Evaluation plan (8 points). The Secretary evaluates the quality

of the evaluation plan for the project on the basis of the extent to

which the applicant's methods of evaluation--

(1) Are appropriate to the project and include both quantitative

and qualitative evaluation measures; and

(2) Examine in specific and measurable ways the success of the

project in making progress toward achieving its process and outcomes

objectives.

(Approved by the Office of Management and Budget under control

number 1840-0550)

(Authority: 20 U.S.C. 1070a-11 and 1070a-13)

Sec. 645.32 How does the Secretary evaluate prior experience?

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

(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

[[Page 4753]] which they graduate from postsecondary education

programs.

(Approved by the Office of Management and Budget under control

number 1840-0550)

(Authority: 20 U.S.C. 1070a-11 and 1070a-13)

Sec. 645.33 How does the Secretary set the amount of a grant?

(a) The Secretary sets the amount of a grant on the basis of--

(1) 34 CFR 75.232 and 75.233, for new grants; and

(2) 34 CFR 75.253, for the second and subsequent years of a project

period.

(b) If the circumstances described in section 402A(b)(3) of the HEA

exist, the Secretary uses the available funds to set the amount of the

grant at the lesser of--

(1) $190,000; or

(2) The amount requested by the applicant.

(Authority: 20 U.S.C. 1070a-11)

Sec. 645.34 How long is a project period?

(a) Except as provided in paragraph (b) of this section, a project

period under the Upward Bound Program is four years.

(b) The Secretary approves a project period of five years for

applicants that score in the highest ten percent of all applicants

approved for new grants under the criteria in Sec. 645.31.

(Authority: 20 U.S.C. 1070a-11)

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

Sec. 645.40 What are allowable costs?

The cost principles that apply to the Upward Bound Program are in

34 CFR part 74, subpart Q. Allowable costs include the following if

they are reasonably related to the objectives of the project:

(a) In-service training of project staff.

(b) Rental of space if space is not available at the host

institution and the space rented is not owned by the host institution.

(c) For participants in an Upward Bound residential summer

component, room and board--computed on a weekly basis--not to exceed

the weekly rate the host institution charges regularly enrolled

students at the institution.

(d) Room and board for those persons responsible for dormitory

supervision of participants during a residential summer component.

(e) Educational pamphlets and similar materials for distribution at

workshops for the parents of participants.

(f) Student activity fees for Upward Bound participants.

(g) Admissions fees, transportation, Upward Bound T-shirts, and

other costs necessary to participate in field trips, attend educational

activities, visit museums, and attend other events that have as their

purpose the intellectual, social, and cultural development of

participants.

(h) Costs for one project-sponsored banquet or ceremony.

(i) Tuition costs for postsecondary credit courses at the host

institution for participants in the summer bridge component.

(j)(1) Accident insurance to cover any injuries to a project

participant while participating in a project activity; and

(2) Medical insurance and health service fees for the project

participants while participating full-time in the summer component.

(k) Courses in English language instruction for project

participants with limited proficiency in English and for whom English

language proficiency is necessary to succeed in postsecondary

education.

(l) Transportation costs of participants for regularly scheduled

project activities.

(m) Transportation, meals, and overnight accommodations for staff

members when they are required to accompany participants in project

activities such as field trips.

(n) Purchase of computer hardware, computer software, or other

equipment for student development, project 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.

(o) Fees required for college admissions applications or entrance

examinations if--

(1) A waiver of the fee is unavailable;

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

participant.

(Authority: 20 U.S.C. 1070a-11 and 1070a-13)

Sec. 645.41 What are unallowable costs?

Costs that may not be charged against a grant under this program

include the following:

(a) Research not directly related to the evaluation or improvement

of the project.

(b) Meals for staff except as provided in Sec. 645.40 (d) and (m)

and in paragraph (c) of this section.

(c) Room and board for administrative and instructional staff

personnel who do not have responsibility for dormitory supervision of

project participants during a residential summer component unless these

costs are approved by the Secretary.

(d) Room and board for participants in Veterans Upward Bound

projects.

(e) Construction, renovation or remodeling of any facilities.

(f) Tuition, stipends, or any other form of student financial aid

for project staff beyond that provided to employees of the grantee as

part of its regular fringe benefit package.

(Authority: 20 U.S.C. 1070a-11 and 1070a-13)

Sec. 645.42 What are Upward Bound stipends?

(a) An Upward Bound project may provide stipends for all

participants who participate on a full-time basis.

(b) In order to receive the stipend, the participant must show

evidence of satisfactory participation in activities of the project

including--

(1) Regular attendance; and

(2) Performance in accordance with standards established by the

grantee and described in the application.

(c) The grantee may prorate the amount of the stipend according to

the number of scheduled sessions in which the student participated.

(d) The following rules govern the amounts of stipends a grantee is

permitted to provide:

(1) For Regular Upward Bound projects and Upward Bound Math and

Science Centers--

(i) For the academic year component, the stipend may not exceed $40

per month; and

(ii) For the summer component, the stipend may not exceed $60 per

month.

(2) For Veterans Upward Bound projects, the stipend may not exceed

$40 per month.

(Authority: 20 U.S.C. 1070a-11 and 1070a-13)

Sec. 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.

(b) Project director. (1) A grantee shall employ a full-time

project director unless paragraph (b)(3) of this section applies.

(2) The grantee shall give the project director sufficient

authority to administer the project effectively. [[Page 4754]]

(3) The Secretary waives the requirement in paragraph (b)(1) of

this section if the applicant demonstrates that the requirement will

hinder coordination--

(i) Among the Federal TRIO Programs; or

(ii) Between the programs funded under sections 402A through 410 of

the HEA and similar programs funded through other sources.

(c) Recordkeeping. For each participant, a grantee shall maintain a

record of--

(1) The basis for the grantee's determination that the participant

is eligible to participate in the project under Sec. 645.3;

(2) The basis for the grantee's determination that the participant

has a need for academic support in order to pursue successfully a

program of education beyond secondary school;

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

(4) The educational progress of the participant during high school

and, to the degree possible, during the participant's pursuit of a

postsecondary education program.

(Authority: 20 U.S.C. 1070a-11 and 1070a-13).

Appendix--Analysis of Comments and Responses

(Note: This appendix will not be codified in the Code of Federal

Regulations.)

The following is an analysis of the comments and the changes in

the regulations since publication of the NPRM on September 2, 1994

(59 FR 45964). Substantive issues are discussed under the section of

the regulations to which they pertain. Minor changes made to the

language published in the NPRM--and suggested changes the Secretary

is not legally authorized to make under applicable statutory

authority--are generally not addressed.

What is the Upward Bound Program? (Sec. 645.1)

Comments: Many commenters objected to the stated purpose in

Sec. 645.1(a) of the proposed regulations because of the phrase ``to

generate in program participants the skills and motivation necessary

to persist in completing a program of secondary education and enter

and complete a program of postsecondary education.'' Some commenters

suggested that the phrase extends the stated purpose of the Upward

Bound program beyond the scope of the purpose as defined in the law.

Other commenters stated that this language would put an unwarranted

burden upon grantees to collect enrollment and persistence data on

participants through completion of a postsecondary education

program.

Discussion: The Secretary does not believe that the regulations

extend the purpose of the program beyond that stated in the law. The

Secretary believes that the most important measure of success in

education beyond secondary school is the completion of a

postsecondary education program, but the Secretary recognizes that

there may be other measures of success in postsecondary education

besides graduation.

Changes: This section of the regulations has been changed to

show that the purpose of Upward Bound is to ``complete a program of

secondary education and to enter and succeed in a program of

postsecondary education.''

Comments: Several commenters objected to the omission of the

words ``regional center'' in Sec. 645.1(b)(2) (Upward Bound Math and

Science Centers) of the proposed regulations. The commenters did not

want projects limited to local target areas.

Discussion: The Secretary believes that it is unwise to add

``regional centers'' to Sec. 645.1(b)(2) of the regulations since it

would indicate that the Secretary would fund only projects with a

regional concept. The regulations as written do not eliminate the

regional concept; in fact, the Secretary supports the regional

concept of Upward Bound Math and Science Centers. The Secretary

believes, however, that substituting the word ``center'' for the

word ``project'' will better emphasize the broader mission and scope

of the Upward Bound Math and Science Centers.

Changes: The word ``project'' has been replaced with the word

``center'' throughout the regulations. The definition of ``target

area'' has also been revised to reinforce the Secretary's support of

regional centers.

Who is eligible to participate in an Upward Bound project?

(Sec. 645.3): Two commenters observed that Sec. 645.3 does not

include a waiver that would allow an Upward Bound project to serve

youths who are less than 13 or who have not completed eighth grade,

if the secondary schools in the project's target area have an

unusually high dropout rate. The commenters felt that this waiver,

which has been in all Upward Bound regulations since 1977, should be

included in these Upward Bound regulations.

Discussion: The Secretary agrees with the commenters.

Changes: Section 645.3 has been revised to include a waiver of

the age limit requirement.

Comments: One commenter objected to the omission of a provision

that awards additional points, equal to 10 percent of the

applicant's score, to applications from Guam, the Virgin Islands,

American Samoa, the Trust Territory of the Pacific Islands, and the

Northern Mariana Islands. The commenter stated that the bonus points

enable the applicants from these areas to compete for TRIO projects.

Discussion: The requirement that priority be given to proposals

submitted by the territories was required by the Higher Education

Amendments of 1992 but has been deleted from the Higher Education

Act by the Higher Education Technical Amendments of 1993.

Changes: None.

Documentation of Low-income Status. (Sec. 645.4(b) (1) and (2))

Comments: One commenter stated that this section was confusing.

The commenter suggested that the section leads one to believe that

verification of low-income status must include a signed statement

from a parent or guardian, an independent verification of family

income, a signed financial aid application, and a signed income tax

return. The commenter also stated that high school students would be

required to complete financial aid applications. The commenter

believes that the Secretary is requesting that all of these items be

submitted in determining low-income status.

Discussion: The commenter is in error. The conditions described

in Sec. 645.4(b)(1) and (2) are alternative requirements, as

indicated by the word ``or'' between the next to last and last

conditions. The Secretary does not require all of these forms of

documentation for each participant. Low-income status can be

determined by submitting any one of the items listed.

Changes: None.

What Definitions Apply to the Upward Bound Program? (Sec. 645.6)

Comments: Several commenters disagreed with the definition of

``participant.'' Some commenters stated that the proposed

definition, which requires that an individual receive more than one

month of project services prior to being considered a participant of

the project, was too restrictive. Others stated that the new

definition would require grantees to devote significant resources

for follow-up activities for many more participants. They further

stated that the restrictive definition would not allow project staff

to determine when an individual has engaged in sufficient project

activities necessary to demonstrate the individual's commitment to

the project.

Discussion: The Secretary agrees with the commenter that a fixed

30-day period may be too inflexible. Therefore, the Secretary has

adopted a dual time period depending on whether the student first

participated in a summer component or, an academic year component.

Because summer components only last six weeks and provide

intensive services to students, the Secretary believes that if a

project director allows a student to participate in that component

for at least 10 days, which is approximately 25 percent of the

summer component, the project director believes that the student is

committed to the project. On the other hand, given the nature of an

academic year component, the Secretary believes a 60-day period may

be needed to establish an individual's commitment to the program.

Changes: The Secretary has revised the definition of

``participant.''

Comments: Several commenters questioned whether the proposed

definition of ``participant,'' which requires that a participant be

enrolled in a target school, would prohibit individuals who reside

in the target area but attend school outside of the target area from

participating in an Upward Bound project. The commenters further

stated that individuals whose families choose private education or

participate in either voluntary or involuntary desegregation plans

might be eliminated from receiving the benefits of an Upward Bound

project. [[Page 4755]]

Discussion: The Secretary has determined that limiting

participation in an Upward Bound project to individuals who are

enrolled in a target school is too restrictive and may prevent some

unintended individuals from benefitting from the services of an

Upward Bound project. However, the Secretary still believes that it

is important that the majority of individuals who are selected as

participants be enrolled in a target school so they can benefit from

the cooperative relationship that exists between the target school

staff and the staff of the project.

Changes: The Secretary has revised the definition of participant

to allow individuals who reside in the target area to benefit from

the services provided by an Upward Bound project.

Comments: Some commenters stated that the definition of

``Potential first-generation college student'' was not clear and

would cause confusion in the field regarding foster parents and

stepparents. The commenters suggested that the words ``natural or

adoptive'' be inserted before parent(s) in both subparagraph (1) and

(2) of the definition.

Discussion: The Secretary agrees with the commenters.

Changes: The definition has been revised to include ``natural or

adoptive'' in the definition.

Comments: One commenter expressed concern that the definition of

``veteran'' was restrictive and did not allow all veterans to

receive the services provided by an Upward Bound project.

Discussion: The proposed definition of ``veteran'' has been used

since the Upward Bound Veterans program was established in 1972. The

Secretary believes that this definition remains as valid as it was

in 1972 and sees no need to change the definition.

Changes: None.

What Kinds of Projects Are Supported Under the Upward Bound

Program? (Sec. 645.10)

Comments: Several commenters suggested that the Secretary was

expanding the expected outcomes of an Upward Bound Math and Science

project by stating that a project is designed to prepare high school

students for postsecondary education programs and for careers in the

fields of math and science. The commenters stated that the Upward

Bound Math and Science project should be required to prepare

participants to enter postsecondary education programs prepared to

study in fields of math and science. Preparation for careers in math

and science is then the responsibility of the institution offering

the postsecondary program.

Discussion: The Secretary agrees with the commenters.

Changes: The language of this section has been revised to

reflect the suggestions of the commenters.

What Services Do All Upward Bound Projects Provide? (Sec. 645.11)

Comments: Several commenters stated that Sec. 645.11 should be

revised to eliminate literature, foreign language, and mathematics

through pre-calculus from the required core curriculum of the Upward

Bound projects.

Discussion: The requirement for a core curriculum is mandated in

section 402 of the Higher Education Act and cannot be revised by the

Secretary.

Changes: None.

Comments: Several commenters suggested that the core curriculum

required by Sec. 645.11 should be offered during the summer

component, the academic year component, or both.

Discussion: The Secretary will not specify when the curriculum

should be offered. The Secretary believes that applicants should

have the flexibility to design projects around the needs of the

participants. Nonetheless, the Secretary clearly expects that most

of the core curriculum will be offered in the summer component.

Changes: None.

How Are Regular Upward Bound Projects Organized? (Sec. 645.12)

Comments: Many commenters felt that Sec. 645.12(b)(2), which

requires that the services described in Sec. 645.11 be offered on a

daily basis, was not clear. The commenters stated that the

regulations require projects to provide all services on a daily

basis.

Discussion: The Secretary agrees that the section is unclear. A

project must provide some of the project's services and activities

at least five days a week. It does not have to provide every service

and activity on a daily basis.

Changes: Section 645.12(b)(2) has been revised to require a

project to provide participants with one or more of the services as

described in Sec. 645.11 at least five days a week in a summer

component. Section 645.12 (c)(1) has also been revised to allow a

project to provide program participants with one or more of the

services on a weekly basis throughout the academic year component.

What Additional Services Do Math and Science Upward Bound Centers

Provide and How Are They Organized? (Sec. 645.13)

Comments: Several commenters objected to the use of ``state-of-

the-art'' computer facilities in Sec. 645.13(a)(1) because the

phrase is vague and extremely subjective.

Discussion: The Secretary agrees with the commenters.

Changes: The phrase ``state-of-the-art'' has been deleted from

this section of the regulations.

Comments: Several commenters suggested that Sec. 645.13(a)(2)

was too restrictive. The commenters stated that restricting project

participants to contact with research faculty from the applicant

institution prevents an institution that does not have research

faculty from using persons in the community or private industry who

have math and science expertise.

Discussion: The Secretary agrees with the commenters that the

language is restrictive and does not allow a project to use

professionals in the community.

Changes: Section 645.13(a)(2) has been revised to allow a

project to use math and science professionals from the community.

Comments: One commenter suggested that the Math and Science

Upward Bound Project should allow participants the opportunity to

participate in a summer bridge experience. The commenter felt that

participants could benefit from the experience provided by a summer

bridge component.

Discussion: The Secretary agrees with the commenter; however,

the Secretary feels that the courses offered to participants in a

Upward Bound Math and Science bridge component should be courses

that are math and science related.

Changes: Language has been added to Sec. 645.13 that allows

Upward Bound Math and Science projects to offer a summer bridge

component, provided the courses a participant enrolls in are math

and science related.

How Many Applications for an Upward Bound Project Award May an

Eligible Applicant Submit? (Sec. 645.20)

Comments: Two commenters stated that the proposed regulations

redefined and extended the definition of different populations

beyond that used in the Higher Education Amendments of 1992.

Discussion: The Secretary disagrees with the commenters. The

Secretary believes that the examples of different populations as

defined in the NPRM are valid examples.

Changes: The Secretary has deleted language that provided

examples of different populations. The deletion of this language

will place the responsibility for demonstrating that the project

outlined in a second application will serve a different population

on the applicant.

What selection criteria does the Secretary use? (Sec. 645.31)

Comments: Several commenters proposed that Sec. 645.31(a)(1)(v),

which requests information on families within the target area, be

changed to the collection of information on individuals. The

commenters felt that information on families was not readily

available.

Discussion: The Secretary agrees with the commenters.

Changes: The criterion that requests the education attainment

levels of adults has been changed to reflect the collection of data

on ``adults'' rather than data on families.

Comments: Several commenters suggested that Sec. 645.31(a)(2) be

revised to include an Upward Bound Math and Science target area as

well as Upward Bound Math and Science target schools. The commenters

felt that by adding target areas to the criterion the applicant

would be able to better document the need for a project, if that

project proposes to serve participants from large geographical areas

such as States or regions.

Discussion: The Secretary agrees with the commenters.

Changes: Section 645.31(a)(2) has been revised to allow

applicants to provide data that consider the target area as well as

the target schools.

Comments: Many commenters suggested that Sec. 645.31(a)(1) and

Sec. 645.31(c) could be improved by reordering certain questions to

encourage brevity in proposals and a more logical flow in

applications. The commenters also expressed the view that reordering

the criteria would allow the peer reviewers to better evaluate the

application. [[Page 4756]]

Discussion: The Secretary agrees with the commenters.

Changes: Section 645.31 has been revised to address the

suggested reordering. The Secretary has also revised several of the

subsections to assure that each subsection is clear.

Comments: Several commenters suggested that the numerical score

for each individual subsection under the ``need'' and ``plan of

operation'' criteria in Sec. 645.31 should be included in the

regulations. The commenters feared that without a score, the peer

reviewers would not properly score the applications.

Discussion: The Secretary does not agree that the inclusion of

subsection scores would greatly assist the peer reviewers in

properly scoring applications. The Secretary acknowledges that in

these cases the weighting for each subsection is roughly equal.

Changes: None.

Comments: Several commenters suggested that reference to

performance on aptitude tests should not be included in

Sec. 645.31(a)(2)(i). One commenter suggested that the inclusion of

scores from aptitude tests as part of the need criteria may suggest

that Upward Bound Math and Science projects are designed to serve

only students who are performing at the highest level in their

secondary education program. Other commenters suggested that

``aptitude'' testing is too politically sensitive and the term

should be avoided.

Discussion: The Secretary disagrees with the commenters. The

Secretary does not believe that the inclusion of ``aptitude tests''

in these regulations would in any way suggest that the Math and

Science Upward Bound Centers are designed to serve students who are

performing at the highest level in their secondary education

program. As used in this criterion, the Secretary sought to give

greater priority to projects that were serving students who were

attending high schools that had relatively low average scores on

standardized tests.

Changes: The Secretary has modified the criteria to more fully

describe the use of tests in measuring differences in school

environments.

Comments: Several commenters suggested that Sec. 645.31(c)(3)

should be revised to require a follow-up plan for tracking the

academic accomplishments of participants only after they have

completed the Upward Bound project. The commenters stated that the

proposed regulations would require the project to follow up on all

persons who participated in the project. The commenters also felt

that requiring the project to follow up on all participants would be

extremely costly and place a considerable collection burden on

projects.

Discussion: The Secretary agrees that mandatory postsecondary

tracking of all persons participating in a project may be

cumbersome.

Changes: Section 645.31(c)(3) has been reordered to

Sec. 645.31(c)(10) and has been changed to require a follow-up plan

for tracking only those participants who are graduates of the Upward

Bound project.

Comments: One commenter suggested that ``applicant community''

in Sec. 645.31(c)(4) be changed to ``target area community.'' The

commenter felt that the phrase ``applicant community'' left the

reader of the regulations confused as to the specific community that

needed to be informed, i.e., university target area community, or

any other self-described community identified by the applicant.

Discussion: The Secretary agrees that this phrase may be

confusing.

Changes: The Secretary has revised the criterion to describe

more specifically the applicant's institutional community and the

individuals and groups that should be informed throughout the target

area.

Comments: One commenter suggested that the word ``appropriate''

as a modifier of ``timelines'' in Sec. 645.31(c)(6) should be

deleted because varied and different interpretations can be inferred

by the applicant and the peer reviewers.

Discussion: The Secretary agrees with this commenter. The

Secretary believes that it is the applicant's responsibility to

present a clear and concise plan that contains timelines that cover

all of the major services to be provided. The criterion will be

amended to make this clarification.

Changes: The Secretary has revised the criterion to read--

assessing the quality of the planned timelines for accomplishing

critical elements of the project.

Comments: Several commenters suggested that the word ``quality''

be deleted from the applicant's plan in Sec. 645.31(c)(9). The

commenters suggest deleting the word ``quality'' because it is

redundant and can be interpreted in different ways by the readers.

Discussion: The Secretary agrees with the commenters that use of

the term is redundant but at the same time all of the sub-criteria

in the Plan of Operation sub-section are about ``quality'' plans

which will produce intended project outcomes. The Secretary believes

that the evaluation of the quality of all parts of the plan of

operation is at the heart of the peer review process.

Changes: Because the word quality is a part of the opening

sentence in Sec. 645.31(c), the word quality has been deleted from

this section because it is redundant.

Comments: One commenter suggested that the phrase ``quality

control'' be deleted from Sec. 645.31(c)(8). The commenter felt that

this term was not normally used to define an educational process or

procedure. The commenter also indicated that the term could be

misinterpreted since no definition is provided.

Discussion: The Secretary disagrees with the commenter.

``Quality control'' is a term used to define processes that lead to

improved service delivery and better outcomes. It is not unfamiliar

to educators but is probably more associated with the business

sector. However, the Secretary will delete the words ``quality

control'' from this criterion since the criterion requires that the

applicant present an effective and efficient plan for the

administrative oversight of the project, which would imply a measure

of quality control.

Changes: The criterion has been revised for purposes of greater

clarity.

Comments: One commenter noted that the regulations do not

include a request for a plan to recruit underrepresented students.

The commenter stated that by not including a provision that would

require applicants to submit such a plan it might imply that an

Upward Bound project would not focus on providing underrepresented

students with an opportunity to be successful in postsecondary

education.

Discussion: The Secretary disagrees with the commenter. The

Secretary believes that the Upward Bound program has and will

continue to provide services to exclusively underrepresented

populations. Thus a plan to do this is unnecessary.

Changes: None.

Comments: Several commenters felt that Sec. 645.31(e)(1) would

prevent projects from considering the work experience of individuals

when hiring the project director. Another commenter felt that the

requirement that directors have formal training in fields related to

the objectives of the projects was too restrictive and would require

all Upward Bound Math and Science directors to have formal education

degrees in the fields of math and science.

Discussion: The Secretary agrees with the commenters that work

experience should be considered when evaluating and determining the

suitability of a project director.

Changes: The Secretary has revised this section to include work

experience. The inclusion of work experience in this section will

allow persons to substitute for formal training in fields related to

the objectives of the project.

Comments: Several commenters suggested that clarity of

Sec. 645.31(g)(2) could be improved by combining the two

subsections.

Discussion: The Secretary agrees with the commenters.

Changes: The two subsections have been combined into one

statement.

How Does the Secretary Evaluate Prior Experience? (Sec. 645.32)

Comments: Several commenters suggested that the word

``consistently'' in Sec. 645.32(b)(1) be deleted. The commenters

felt that the word ``consistently'' was not defined and would have

to be interpreted by each project.

Discussion: The Secretary agrees with the commenter.

Changes: The word ``consistently'' has been deleted from the

section.

Comments: Many commenters suggested that aptitude and motivation

as stated in Sec. 645.32(b)(2) are difficult to measure. The

commenters further suggested that this section of the regulations

should emphasize the achievement levels and academic progress of

participants. Several commenters suggested new wording for the

section; some asked for the deletion of aptitude and motivation

while others suggested that motivation remain a part of the section.

One commenter further suggested that project retention, high school

graduation, postsecondary enrollment and success in postsecondary

education are better indicators of academic growth.

Discussion: The Secretary agrees with the commenters who

suggested that improvements in motivation and aptitude are difficult

to measure. The Secretary, however, believes that the project must

be held accountable for assisting participants in the

[[Page 4757]] project to develop skills that are necessary for entry

into an educational program beyond high school. The Secretary also

agrees with the commenter who suggested that a project's success

should be measured by the success of the project's participants.

Changes: The Secretary has deleted aptitude and motivation from

this criterion. The criterion now focuses on demonstrated

improvement in academic skills and competencies as measured by

standardized achievement tests and grade point averages.

Comments: Many commenters expressed concerns in

Sec. 645.32(b)(3) regarding the Department's efforts to highlight

the need for retention of participants in the projects throughout

their secondary school experience. Some commenters thought that the

inclusion of retention in the project as a part of the prior

experience criteria would affect the manner in which projects

selected participants. They expressed concern that higher risk

participants traditionally served by Upward Bound projects would be

overlooked. Others felt that if this criterion remains in the prior

experience section, some projects will be more likely to serve

students who have higher motivation but who may not be the students

with the greatest need for project services. One commenter asks that

the Secretary consider the harm that this requirement could have on

the Upward Bound Program and to delete the inclusion of this

requirement until much more discussion and study have taken place.

Discussion: The Secretary disagrees with the commenters. The

Secretary believes that the retention of participants in a project

is significant for determining the success of a project. The

Secretary believes that the consequences suggested by commenters

that would arise if this criteria is retained do not override the

disadvantages posed by a high turnover of participants. As in many

intervention programs, it has been proven that the longer the

participation, the far more likely is the chance for success.

Changes: This criteria has been revised for purposes of improved

clarity.

Comments: Several commenters suggested that, as written,

subsections (b)(4) and (b)(5) require that every participant,

whether or not they have completed high school and the Upward Bound

program would need to be tracked to determine whether they entered

and completed postsecondary education. Instead, they suggested

postsecondary continuation should be tracked for only Upward Bound

and high school graduates.

Discussion: The Secretary's intent was not to have projects

track Upward Bound participants who drop from the project prior to

graduation from high school. However, the Secretary believes that

Sec. 645.32 (b)(4) and (b)(5) best measure the success of a project

by comparing participants who enroll in a postsecondary education

program and do well in college against all project participants,

both those who complete the project and those who were initially

scheduled to complete the project.

Changes: The criterion has been revised for purpose of clarity.

How Long Is a Project Period? (Sec. 645.34)

Comments: One commenter suggested that the language in

Sec. 645.34(b) be changed to include ``highest 10 percent of all

applicants approved for new grants''.

Discussion: The length of an Upward Bound project period is

defined in the Higher Education Act. Section 645.34(b) of these

regulations merely reflects the statutory requirement.

Changes: None.

What Are Allowable Costs? (Sec. 645.40)

Comments: Many commenters suggested that the Secretary amend

Sec. 645.40 of the proposed regulations to include college admission

fees and college entrance examination fees in the list of allowable

costs.

Discussion: The Secretary has found that college admissions

application fees are often barriers that prevent low-income students

from filing applications to postsecondary programs. The Secretary

has also found that waivers of college admissions application fees

are not always available to low-income students. Some State-

supported institutions are legally prohibited from waiving admission

application fees, and private institutions may or may not waive

admissions application fees for low-income applicants. The high cost

of admission application fees and the unavailability of fee waivers

have the detrimental effect of preventing Upward Bound participants

from completing applications to certain four-year colleges and

universities. The Secretary has concluded that admissions fees

should be included in the list of allowable costs under certain

circumstances described in the regulations.

Upward Bound participants have historically benefited from

having testing materials available in order to prepare students for

the SAT, ACT, and other standardized tests. The Secretary believes

that it is also appropriate to allow Upward Bound projects to pay

for testing administered by a third party. Therefore, the Secretary

has included entrance examination fees in the circumstances

described in the regulations in the list of allowable costs.

Changes: The Secretary has changed Sec. 645.40 so that the list

of allowable costs includes fees required for college admissions

applications or entrance examinations if (1) a waiver of the fee is

unavailable; and (2) the fee is paid by the grantee to a third party

on behalf of the participant.

Comments: One commenter suggested that allowable costs be

expanded to include costs to cover medical insurance and health

services fees for participants during the academic year component.

The commenter stated that the regulations should be expanded to

allow for coverage in the event of accidents during visits to campus

sites and while on field trips.

Discussion: The Secretary believes that students participating

in an Upward Bound project should be protected by medical insurance

and accident insurance at all times while participating in project

activities. The Secretary believes that Sec. 645.40(j) (1) and (2)

is inclusive enough to cover participants at all times while

participating in a project activity.

Changes: None.

Comments: One commenter questioned the requirement of

Sec. 645.40(h), which limits the grantee to one project-sponsored

banquet or ceremony per year. The commenter suggested that projects

be given the flexibility to provide as many banquets or ceremonies

as they feel will motivate students toward successful completion of

secondary and postsecondary education.

Discussion: The Secretary believes that motivational activities

such as banquets should be supported by grant funds. However, the

Secretary believes that one banquet paid for out of grant funds is

reasonable.

Changes: None.

Comments: One commenter suggested that the word ``bridge''

should be deleted from Sec. 645.40(i). The commenter's justification

for deleting the word ``bridge'' is to allow beginning seniors the

opportunity to take college credit courses during the summer

component. The commenter felt that the program should be responsible

for providing funds for participants while they pursue a secondary

diploma and postsecondary program concurrently.

Discussion: The Secretary believes that all students who are

able to enroll in a secondary education program and postsecondary

education program concurrently should do so. However, the Secretary

does not believe that program funds should be used to support the

cost of tuition until the student has completed a program of

secondary education.

Changes: None.

Comments: One commenter stated that Sec. 645.40 should allow the

project to pay for meals for parents of participants when these

persons volunteer to serve as staff during field trips. The

commenter felt that when parents serve as volunteers on field trips

they should receive meals like other staff members.

Discussion: The Secretary agrees with the commenter that

volunteers, whether parents or other members of the community,

should at least receive meals while accompanying students on field

trips. The Secretary believes that involvement in the program by

parents is key to the success of a project.

Changes: None. Parents will be voluntary staff members and can

receive meals as allowed under Sec. 645.40(m) of these regulations.

Comments: Several commenters suggested that Sec. 645.40(k) be

deleted since the legislation and Sec. 645.11(b)(9) of the

regulations allow and encourage a project to provide programs and

activities that are specifically designed for individuals with

limited English proficiency. The commenter argued that

Sec. 645.40(k) contradicts Sec. 645.11(b)(9).

Discussion: The Secretary partially agrees with the commenters.

However, the Secretary does wish to reemphasize the point that

instruction in the English language for students who need to improve

their proficiency in order to pursue postsecondary education may be

offered by the project.

Changes: The section has been revised to agree with

645.11(b)(9).

What Are Unallowable Costs? (Sec. 645.41)

Comments: One commenter suggested that Sec. 645.41(f) be revised

to allow for tuition, [[Page 4758]] stipends or any other form of

student financial support for project staff ``beyond that provided

to employees of a grantee as a part of its regular fringe benefit

package.'' The commenter did not offer any reason for suggesting the

change.

Discussion: The Secretary disagrees with the commenter. A

project staff member should receive fringe benefits which are

consistent with the standard package offered to other employees of

the grantee.

Changes: None.

What Are Upward Bound Stipends? (Sec. 645.42)

Comments: Several commenters suggested raising the stipend

amount given to Upward Bound participants during the summer to

$80.00 per month to compete with summer jobs.

Discussion: The legislation authorizing the Upward Bound Program

establishes the maximum amounts allowable for monthly payment of

stipends.

Changes: None

Comments: One commenter noted that the legislation authorizes

the payment of stipends in the amount of up to $60 per month during

the months of June, July, and August. However, the proposed

regulations (Sec. 645.42(d)(1)(ii)) do not specify that June, July,

and August constitute a summer session.

Discussion: The Secretary agrees with the commenter that the law

authorizes the payment of up to $60 per month during the summer

component, which occurs for a six-week period sometime during the

months of June, July, and August. The regulations authorize the

payment of up to $60 per month, prorated as seen necessary, during

the time the summer component is in session.

Changes: None.

What Other Requirements Must a Grantee Meet? (Sec. 645.43)

Comments: One commenter suggested that the word ``academic'' be

deleted from Sec. 645.43(c)(2) of the proposed regulations. The

commenter stated that in order to take a holistic approach to a

participant's need, emotional, cultural, social, as well as

academic, support must be included.

Discussion: The Secretary agrees that a Upward Bound project

should be designed to meet the needs of each participant. The

Secretary believes that the services that a project can provide to

participants as outlined in Secs. 645.11 and 645.14 allow a project

to meet the total needs of a participant. Section 645.43(c) does not

establish the required services that a project must provide to

participants, but outlines the recordkeeping requirements. All

participants of an Upward Bound project must meet the eligibility

requirements as defined in Sec. 645.3 of the regulations. Section

645.43(c) establishes that, at a minimum, a project must keep

records which document that all participants who enroll in an Upward

Bound project have a need for academic support as well as meet the

other eligibility requirements of Sec. 645.3. This does not preclude

maintaining other information on participants.

Changes: None.

Comments: A number of commenters suggested that following a

student's educational progress throughout postsecondary education

would be very time consuming and potentially very costly. The

commenters also stated that this requirement exceeds the legislative

authority for the program.

Discussion: The Secretary believes that section 402(C) of the

Higher Education Act gives the Secretary the authority to require

that Upward Bound projects establish procedures for follow-up on

participants who have completed the Upward Bound project to

determine their success in postsecondary education. The Secretary

believes that the level of tracking necessary once an Upward Bound

graduate is enrolled should consist of annual contacts to determine

persistence or completion.

The Secretary believes that a system of follow-up is necessary

for determining the effectiveness of the Upward Bound Program. This

system should include or provide a method for determining if an

Upward Bound participant who completed the project and enrolled in a

postsecondary education program remains enrolled in the

postsecondary program to completion.

Changes: None.

[FR Doc. 95-1689 Filed 1-23-95; 8:45 am]

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