FR Doc 03-21582
[Federal Register: August 22, 2003 (Volume 68, Number 163)]
[Notices]
[Page 50957-50960]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr22au03-118]
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Part VII
Department of Education
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Upward Bound Program Participant Expansion Initiative; Notice
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DEPARTMENT OF EDUCATION
RIN 1840-ZA03
Upward Bound Program Participant Expansion Initiative
AGENCY: Office of Postsecondary Education, Department of Education.
ACTION: Notice of final priority.
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SUMMARY: The Secretary of Education announces an absolute priority to
provide supplemental funds of up to $100,000 in fiscal year (FY) 2003
to currently funded Upward Bound projects that (1) serve at least one
target high school in which at least 50 percent of the students were
eligible for free lunch under the National School Lunch Act (Free Lunch
program) during the 2001-2002 or 2002-2003 school year, and (2)
received supplemental funds in FY 2000 under the Upward Bound Program
Participant Expansion Initiative (UBP-PEI).
The Secretary further requires that projects that receive
supplemental funds under this priority will use those funds to select
and serve students eligible to participate in Upward Bound who (1)
attend a target high school in which at least 50 percent of the
students were eligible for free lunch under the National School Lunch
Act during the 2001-2002 or 2002-2003 school year, and (2) have the
greatest need for Upward Bound services. Eligible students having the
greatest need for Upward Bound services are those who:
1. Have not met the state academic achievement standard for grade
eight in reading/language arts; or
2. Have not met the state academic achievement standard for grade
eight in math; or
3. Have 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.
By using state academic achievement assessments to determine
student eligibility for services, schools can align this initiative
with the requirements and activities supported by the No Child Left
Behind Act of 2001, Pub. L. 107-110.
Applicants not eligible for the absolute priority are invited to
apply and will be funded, subject to the availability of funds, as
described in the funding order below. The selected projects must use
the supplemental funds to provide services to eligible project
participants with the greatest need for those services.
EFFECTIVE DATE: This priority is effective 30 days after the date of
publication in the Federal Register.
FOR FURTHER INFORMATION CONTACT: Dr. Margarita Benitez, Sheryl Wilson,
or Gaby Watts, U.S. Department of Education, 1990 K Street, NW., Room
7020, Washington, DC 20006-8510. Telephone (202) 502-7600. The e-mail
address for the Federal TRIO Programs is: Trio@ed.gov. The e-mail
address for Dr. Margarita Benitez is: margarita.benitez@ed.gov.
If you use a telecommunications device for the deaf (TDD), you may
call the Federal Information Relay Service (FIRS) at 1-800-877-8339.
Individuals with disabilities may obtain this document in an
alternative format (e.g., Braille, large print, audiotape, or computer
diskette) on request to the contact persons listed in the preceding
paragraph.
SUPPLEMENTARY INFORMATION: The Secretary of Education published a
notice of proposed priority in the Federal Register on June 24, 2003
(68 FR 37469-37470). This notice of final priority contains several
changes from the notice of proposed priority, which are explained fully
in the Analysis of Comments and Changes section in this notice.
Background
In FY 2003, the Congress appropriated funds for the Federal TRIO
Programs. In examining the options available to the Secretary for
allocating these funds, the Secretary determined that a portion of the
funds should be used to increase support to the Upward Bound Program.
The Upward Bound Program, authorized under section 402C of the Higher
Education Act of 1965, as amended (HEA), 20 U.S.C. 1070a-13, helps low-
income, potential first-generation college students acquire the skills
and motivation necessary for success in education beyond secondary
school.
The purpose of this supplement is to help the Upward Bound Program
achieve one of its key performance goals: increasing the college
enrollment rate of low-income, first generation college students. A
recent evaluation of the Upward Bound Program found that the program
has significant effects on higher risk students, but that the program
was inadequately targeting these students.
We intend that, under the absolute priority, there will be an
increase in the number of eligible students with the greatest need who
are served by the Upward Bound Program. The students with the greatest
need are generally those from the lowest income levels who have
potential for college but are not performing successfully in high
school. The Secretary believes that limiting supplemental funds to
projects that serve the above described target schools is a good way to
ensure that projects serve the lowest income students because the Free
Lunch program is limited to students from families with the lowest
family income. An estimated 180 current Upward Bound projects could
receive supplemental funds to serve additional students.
The effectiveness of UBP-PEI will be ultimately measured by the
college enrollment rate of these higher-risk, low-income, first
generation college students who participate in this initiative.
However, in addition to the ultimate measure of college enrollment, the
Secretary will also look at ``what works'' in preparing these students
for college, in order to inform program improvements in Upward Bound.
Each grantee will be required to work with an independent evaluator
retained by the Secretary to measure the expansion initiative's
effectiveness.
The Secretary will consider requests for $100,000, $75,000, and
$50,000 under this initiative. An institution that requests $100,000
must serve at least 20 students, an institution that requests $75,000
must serve at least 15 students, and an institution that requests
$50,000 must serve at least 10 students.
Note: This notice does not solicit applications. In any year in
which we choose to use this priority, we invite applications through
a notice in the Federal Register. When inviting applications we
designate the priority as absolute, competitive preference, or
invitational. The effect of each type of priority follows:
Absolute priority: Under an absolute priority we consider only
applications that meet the priority (34 CFR 75.105(c)(3)).
Competitive preference priority: Under a competitive preference
priority we give competitive preference to an application by either
(1) awarding additional points, depending on how well or the extent
to which the application meets the competitive priority (34 CFR
75.105(c)(2)(i)); or (2) selecting an application that meets the
competitive priority over an application of comparable merit that
does not meet the priority (34 CFR 75.105(c)(2)(ii)).
Invitational priority: Under an invitational priority we are
particularly interested in applications that meet the invitational
priority. However, we do not give an application that meets the
invitational priority a competitive or absolute preference over
other applications (34 CFR 75.105(c)(1)).
Absolute Priority
Under 34 CFR 75.105(c)(3), the Secretary will give an absolute
preference to applications that meet the following absolute priority.
The Secretary will provide supplemental funds of up to 100,000 to
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regular Upward Bound Program projects that:
1. Were selected for funding under the FY 2003 Upward Bound Program
competition.
2. Serve a target high school in which at least 50 percent of the
students were eligible to receive free lunch under the National School
Lunch Act during the 2001-2002 or 2002-2003 school year.
3. Received supplemental funds in FY 2000 under the Notice of Final
Priority dated July 24, 2000, 65 FR 45698-45699.
4. (a) Agree to select and serve at least 20 students who are
eligible for Upward Bound services, attend a target high school in
which at least 50 percent of the students were eligible to receive free
lunch under the National School Lunch Act during the 2001-2002 or 2002-
2003 school year and have the greatest need for project services, if
requesting $100,000.
(b) Agree to select and serve at least 15 students who are eligible
for Upward Bound services, attend a target high school in which at
least 50 percent of the students were eligible to receive free lunch
under the National School Lunch Act during the 2001-2002 or 2002-2003
school year and have the greatest need for project services, if
requesting $75,000.
(c) Agree to select and serve at least 10 students who are eligible
for Upward Bound services, attend a target high school in which at
least 50 percent of the students were eligible to receive free lunch
under the National School Lunch Act during the 2001-2002 or 2002-2003
school year and have the greatest need for project services, if
requesting $50,000.
Students who have the greatest need for project services are those
students who:
(i) Have not met the state academic achievement standard for grade
eight in reading/language arts;
(ii) Have not met the state academic achievement standard for grade
eight in math; or
(iii) Have 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.
Veterans Upward Bound projects and Upward Bound Math-Science
projects are not eligible to participate in this initiative.
The Secretary will fund applications in the following order:
1. Applications that meet the absolute priority.
2. All other applications that meet criteria 1, 2, and 4 above.
If funds are available after funding all applications that meet the
absolute priority, the Secretary will select from among the remaining
applicants that meet criteria 1, 2, and 4 based upon the highest scores
received (including prior experience points) in the FY 2003 Upward
Bound grant competition. If there are insufficient funds for all
applications with the same score, the Secretary will select for funding
those applicants with the lowest average cost per Upward Bound
participant (Federal funds only) for the 2001-2002 program year.
Analysis of Comments and Changes
In response to the Secretary's invitation in the notice of proposed
priority, thirty-four parties submitted comments. An analysis of the
comments and of changes in the priority since publication of the notice
of proposed priority follows. We group major issues by subject.
Generally, we do not address technical or other minor changes--and
suggested changes the law does not authorize us to make under the
applicable statutory authority.
Target School Eligibility
Comments: Nine commenters responded. Two recommended that
eligibility be student-centered, that is, that students with the
academic profile outlined in the notice of proposed priority be
eligible to participate in the initiative, regardless of whether they
were enrolled in a target school. Target schools were defined in the
notice of proposed priority as those ``in which at least 50 percent of
the students were eligible for free lunch under the National School
Lunch Act during the 2001-2002 school year and who have the greatest
need for Upward Bound services.'' One commenter posited that it was
unfair to exclude low income, high risk students from the initiative
simply because they were not enrolled in a school with 50 percent or
more students participating in the Free Lunch program. A third
commenter suggested that student eligibility should be determined by
the project.
Four commenters questioned the reliability of the Free Lunch
program data as the criterion for eligibility to qualify for funding
under the initiative. Two remarked that there are more high-poverty
areas in the country than those indicated by the Free Lunch program
statistics. According to one commenter, some regions of the country,
such as Appalachia, have a tradition of low registration in Federal
programs, such as the Free Lunch program. All four commenters referred
to a significant drop in Free Lunch program participation from the
early grades to middle and high school. Two pointed out that teenagers
are more averse than younger children to register in ``poverty''
programs. One suggested that we use data on both the number of
participants in the Free Lunch program and the number of students who
qualify for reduced lunch for target school eligibility.
Discussion: The Secretary agrees with many of the points made by
the commenters. However, for purposes of this initiative, the Secretary
believes that the Free Lunch program criterion is a fair, valid, and
objective measure of low-income and need for Upward Bound services.
Changes: None.
Date of Eligibility Data
Comments: Two commenters indicated that Free Lunch program data for
the 2002-2003 school year was actually easier to obtain and was more
current than data for the 2001-2002 school year.
Discussion: The Secretary proposed using data for the 2001-2002
year in the notice of proposed priority because the Secretary was
uncertain whether more recent data would be available. If that data is
available, the Secretary believes that such data may be used.
Changes: The Secretary will accept Free Lunch program data for
either the 2001-2002 or the 2002-2003 school year.
Priority for Currently Funded Programs
Comments: Six commenters addressed this issue. Four supported the
priority in favor of currently funded projects that participated in the
FY 2000 expansion initiative, citing their experience, proven
commitment, and record of success. Two pointed out the existence of
other experienced and well qualified projects, and suggested that
others be given the opportunity to serve students from other needy
areas.
Discussion: The Secretary understands that there are usually more
qualified applicants than available funds, and that forces hard
choices. In order to increase the chance that this initiative will
succeed, the Secretary has chosen to give an absolute priority to
experienced Upward Bound projects that have been successful in the past
working with eligible target schools and that have the staff capacity
to serve additional students. Nonetheless, the Secretary expects that
there will be sufficient funds for this initiative to award
supplemental grants to a few new projects.
Changes: None.
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Length of Funding for UBP-PEI
Comments: Four commenters inquired about the expected funding
period for this initiative.
Discussion: To the extent that the commenters were questioning
whether the Secretary planned to provide additional funding in future
fiscal years, the Secretary anticipates awarding funds under the UBP-
PEI for the next four project/budget years. However, the expenditure of
funds in the future is always contingent upon Congressional action,
including the size of the Congressional appropriation for a program in
a given fiscal year.
Changes: None.
Requests for Clarification on Student Eligibility
Comments: Ten commenters asked whether students already enrolled in
Upward Bound who took part in the previous Upward Bound initiative
could participate in this year's initiative. Eight commenters asked
whether all UBP-PEI students must come from the target schools that
have 50 percent or more students eligible for the Free Lunch program.
Another commenter asked whether grades of C or less in 8th grade core
subjects were acceptable if a student's grade point average was
unavailable.
Discussion: Students currently being served by Upward Bound
projects as a consequence of participating in the FY 2000 expansion
initiative may participate in UBP-PEI as long as they meet all UBP-PEI
criteria, that is they are eligible Upward Bound participants who are
enrolled in an eligible target high school and meet one or more of the
greatest academic need criteria listed in the priority. With regard to
the second question, for the reasons explained in a previous response,
all UBP-PEI students must attend eligible target schools. With regard
to the third question, the Secretary does not wish to add additional
criteria. Moreover, the third criterion allows a project to use the
grade point average for the most recent school year for which grade
point averages are available. Therefore, a relevant grade point average
will almost always be available.
Changes: None.
Request To Reduce the Minimum Number of Participants Served
Comments: One commenter proposed that eligible projects be given
the opportunity to serve the number of needy participants they could
manage best. The commenter indicated that project and institutional
resources may not be sufficient to accommodate and serve well 20
additional students, yet resources would be available to serve a
smaller number adequately.
Discussion: The Secretary considers this suggestion reasonable and
viable.
Changes: A project may request three levels of funding, $100,000,
$75,000, or $50,000. If a project requests $100,000, it must serve at
least 20 students; if it requests $75,000, it must serve at least 15
students; if it requests $50,000, it must serve at least 10 students.
Concerns About Local Impediments That Run Counter to UBP-PEI
Comments: Three commenters identified local or regional situations
that present difficulties in meeting the UBP-PEI criteria or providing
the required services. One was the Appalachia situation that was
mentioned above, a second was small rural schools, and a third was
jurisdictions like Chicago, where the School Board has mandated
students who flunk state tests take summer courses so the students
would be unable to participate in the Upward Bound summer component.
Discussion: The change discussed above that allows a project to
apply for three levels of funding should eliminate the first two
concerns. Jurisdictions like Chicago are providing a valuable service
to Chicago students, obviating the need for Upward Bound involvement.
Changes: See preceding change.
Suggestions for Additional Criteria for Student Eligibility
Comments: Three commenters suggested additional eligibility
criteria for program participants: limited English proficiency, English
as a second language, and a grade of C or less in core academic
subjects.
Discussion: As stated earlier, a student currently served by Upward
Bound projects may be eligible to participate in UBP-PEI if the student
is enrolled in an eligible target high school, and meets one or more of
the greatest academic need criteria listed in the priority. The
Secretary does not wish to add additional criteria that may be hard to
implement consistently across projects nationwide and may confound the
evaluation of the impact that UBP-PEI has on the individuals served.
Changes: None.
Intergovernmental Review
This program is subject to Executive Order 12372 and the
regulations in 34 CFR part 79. One of the objectives of the Executive
order is to foster an intergovernmental partnership and a strengthened
federalism. The Executive order relies on processes developed by State
and local governments for coordination and review of proposed Federal
financial assistance.
This document provides early notification of our specific plans and
actions for this program.
Applicable Program Regulations
34 CFR part 645
Electronic Access to This Document
You may view this document, as well as all other Department of
Education documents published in the Federal Register, in text or Adobe
Portable Document Format (PDF) on the Internet at the following site:
http://www.ed.gov/legislation/FedRegister/.
To use PDF, you must have the Adobe Acrobat Reader which is
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Note: The official version of this document is the document
published in the Federal Register. Free Internet access to the
official edition of the Federal Register and the Code of Federal
Regulations is available on GPO access at: http://www.gpoaccess.org/fr/.
(Catalog of Federal Domestic Assistance Number 84.047A, Upward Bound
Program Participant Expansion Initiative)
Program Authority: 20 U.S.C. 1070.
Dated: August 18, 2003.
Sally L. Stroup,
Assistant Secretary, Office of Postsecondary Education.
[FR Doc. 03-21582 Filed 8-19-03; 8:45 am]
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