34 C.F.R. Subpart D—How Does the Secretary Make a Grant?
Title 34 - Education
(a) The Secretary evaluates an application for a grant as follows: (1)(i) The Secretary evaluates the application on the basis of the selection criteria in §645.31. (ii) The maximum score for all the criteria in §645.31 is 100 points. The maximum score for each criterion is indicated in parentheses with the criterion. (2)(i) If an applicant for a new grant proposes to continue to serve substantially the same target population 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 §645.32. (ii) The maximum score for all the criteria in §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) The Secretary uses the following criteria to evaluate an application for a grant: (a) Need for the project (24 points). In determining need for an Upward Bound project, the Secretary reviews each type of project (Regular, Math and Science, or Veterans) using different need criteria. The criteria for each type of project contain the same maximum score of 24 points and read as follows: (1) The Secretary evaluates the need for a Regular Upward Bound project in the proposed target area on the basis of information contained in the application which clearly demonstrates that— (i) The income level of families in the target area is low; (ii) The education attainment level of adults in the target area is low; (iii) Target high school dropout rates are high; (iv) College-going rates in target high schools are low; (v) Student/counselor ratios in the target high schools are high; and (vi) Unaddressed academic, social and economic conditions in the target area pose serious problems for low-income, potentially first-generation college students. (2) The Secretary evaluates the need for an Upward Bound Math and Science Center in the proposed target area on the basis of— (i) The extent to which student performance on standardized achievement and assessment tests in mathematics and science in the target area is lower than State or national norms. (ii) The extent to which potential participants attend schools in the target area that lack the resources and coursework that would help prepare persons for entry into postsecondary programs in mathematics, science, or engineering; (iii) The extent to which such indicators as attendance data, dropout rates, college-going rates and student/counselor ratios in the target area indicate the importance of having additional educational opportunities available to low-income, first-generation students; and (iv) The extent to which there are eligible students in the target area who have demonstrated interest and capacity to pursue academic programs and careers in mathematics and science, and who could benefit from an Upward Bound Math and Science program. (3) The Secretary evaluates the need for a Veterans Upward Bound project in the proposed target area on the basis of clear evidence that shows— (i) The proposed target area lacks the services for eligible veterans that the applicant proposes to provide; (ii) A large number of veterans who reside in the target area are low income and potential first generation college students; (iii) A large number of veterans who reside in the target area who have not completed high school or, have completed high school but have not enrolled in a program of postsecondary education; and (iv) Other indicators of need for a Veterans Upward Bound project, including the presence of unaddressed academic or socio-economic problems of veterans in the area. (b) Objectives (9 points). The Secretary evaluates the quality of the applicant's 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. (Authority: 20 U.S.C. 1070a–11 and 1070a–13) (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; (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. (Authority: 20 U.S.C. 1070a–11 and 1070a–13) (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) (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 §645.31. (Authority: 20 U.S.C. 1070a–11)
Title 34: Education
PART 645—UPWARD BOUND PROGRAM
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?
