Office of Postsecondary Education; Upward Bound Program, Veterans Upward Bound (VUB) and Upward Bound Math and Science (UBMS)) Notice Inviting Applications for New Awards for FY 2007, CFDA Numbers 84.047A and 84.047M [OPE]

FR Doc 06-8102
[Federal Register: September 22, 2006 (Volume 71, Number 184)]
[Notices]
[Page 55450-55454]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr22se06-60]
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DEPARTMENT OF EDUCATION

Office of Postsecondary Education; Overview Information; Upward
Bound Program (Includes Regular Upward Bound (UB), Veterans Upward
Bound (VUB) and Upward Bound Math and Science (UBMS)) Notice Inviting
Applications for New Awards for Fiscal Year (FY) 2007

Catalog of Federal Domestic Assistance (CFDA) Numbers: 84.047A and
84.047M.
Dates: Applications Available: September 22, 2006.
Deadline for Transmittal of Applications: November 6, 2006.
Deadline for Intergovernmental Review: January 5, 2007.
Eligible Applicants: Institutions of higher education; public or
private agencies and organizations; combinations of institutions,
agencies, and organizations; and secondary schools under exceptional
circumstances, if there is no institution, agency, or organization
capable of carrying out an applicable Upward Bound project in the
proposed target area.
Estimated Available Funds: The Administration's budget request for
FY 2007 does not include funds for the Upward Bound Program. However,
we are inviting applications to allow enough time to complete the grant
process if Congress appropriates funds for this program.
Estimated Range of Awards: $250,000-$853,000 for year one of UB;
$250,000-$543,000 for year one of VUB; and $250,000-$354,000 for year
one of UBMS.
Estimated Average Size of Awards: $350,000 for UB; $300,000 for
VUB; and $270,000 for UBMS.
Maximum Award: We will not fund any application at an amount
exceeding the maximum amounts specified below for a single budget
period of 12 months. We may choose not to further consider or review
applications with budgets that exceed the maximum amounts specified
below, if we conclude, during our initial review of the application,
that the proposed goals and objectives cannot be obtained with the
specified maximum amount.
For an applicant applying for a new UB, VUB or UBMS grant the
maximum award amount is $250,000. For a current grantee applying for a
VUB or UBMS grant (to continue funding for a currently funded project),
the maximum award amount is the greater of (a) $250,000 or (b) an
amount equal to 103 percent of the applicant's currently funded grant
award amount for FY 2006.
For a current grantee that did not receive supplemental funds under
the UB Expansion Initiative in FY 2006 that is applying for a UB grant,
the maximum award amount is the greater of (a) $250,000 or (b) an
amount equal to 103 percent of the applicant's currently funded grant
award amount for FY 2006. For a current grantee that received
supplemental funds under the UB Expansion Initiative in FY 2006 that is
applying for a UB grant, the maximum award amount is the greater of (a)
$250,000 or (b) an amount equal to 103 percent of the sum of the
applicant's currently funded grant award amount plus 50 percent of its
UB Expansion Initiative grant award amount for FY 2006.
Estimated Number of Awards: 766 for UB; 42 for VUB; and 128 for
UBMS.

Note: The Department is not bound by any estimates in this
notice.

Project Period: Up to 60 months. Applicants whose peer review
scores are within the highest ten percent of scores of all applicants
receiving awards will receive five-year awards. All other successful
applicants will receive four-year awards.

Full Text of Announcement

I. Funding Opportunity Description

Purpose of Program: The Upward Bound program is one of seven
programs known as the Federal TRIO programs. There are three types of
grants under the Upward Bound program: Regular Upward Bound grants;
Veterans Upward Bound grants; and Upward Bound Math and Science grants.
The regular Upward Bound projects are designed to generate in
participants the skills and motivation necessary for success in
education beyond secondary school. The Veterans Upward Bound projects
are designed to assist veterans in preparing for a program of
postsecondary education. The Upward Bound Math and Science projects are
designed to prepare high school students for postsecondary education
programs that lead to careers in the fields of math and science.
Priority: This priority is from the notice of final priority for
this program published elsewhere in this issue of the Federal Register.

[[Page 55451]]

Absolute Priority: For FY 2007, this priority is an absolute
priority. Under 34 CFR 75.105(c)(3), we consider only applications for
regular Upward Bound Program grants that meet the priority. This
priority only applies to the regular UB Program applications. This
priority does not apply to the VUB and UBMS competitions.
This priority is: Upward Bound Program Participant Selection and
Evaluation.
This priority supports regular Upward Bound Program projects that--
1. Select first-time participants from otherwise eligible students
who have completed the 8th grade but not the 10th grade in secondary
school, except a student who has previously participated in a regular
Upward Bound project may be selected notwithstanding the student's
grade level;
2. Select not less than 30 percent of all first-time participants
from students who have completed the 8th grade but not the 9th grade in
secondary school and who have a ``high academic risk for failure.''
``High academic risk for failure'' refers to otherwise eligible
students who--
a. Have not achieved at the proficient level on State assessments
in reading/language arts for grade eight;
b. Have not achieved at the proficient level on State assessments
in math for grade eight;
c. 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; or
d. Have not completed pre-algebra, algebra, or geometry by the end
of grade eight, and (in cases in which students are recruited early
during grade nine) are not taking algebra or geometry in grade nine.
To meet this priority, an applicant also must agree to conduct its
Upward Bound project in a manner consistent with the evaluation that
the Department plans to conduct for the Upward Bound Program. An
applicant also must agree, if selected to participate in the
evaluation, to--
1. Recruit at least twice as many eligible new students in project
year 2007-2008 as the grantee plans to serve in its project. Of that
larger pool of eligible new students, not less than 30 percent must
have completed the 8th grade but not the 9th grade in secondary school
and meet the definition of ``high academic risk for failure;''
2. Refrain from admitting new students into the Upward Bound
project for project year 2007-2008 until the evaluator has completed
its data collection and random assignment for those students;
3. Agree that eligible new students will be assigned randomly by
the evaluator either to participate in Upward Bound or to serve as part
of a control group (not in Upward Bound); and
4. Agree that a student assigned to serve as part of a control
group will not be subsequently selected to participate in Upward Bound.
This priority does not apply to the Veterans Upward Bound projects
and Upward Bound Math/Science projects.

Program Authority: 20 U.S.C. 1070a-11; 20 U.S.C. 1070a-13.

Applicable Regulations: (a) The Education Department General
Administrative Regulations (EDGAR) in 34 CFR parts 74, 75, 77, 79, 80,
82, 85, 86, 97, 98, and 99.
(b) The regulations for this program in 34 CFR part 645.
(c) The notice of final priority for this program published
elsewhere in this issue of the Federal Register.

II. Award Information

Type of Award: Discretionary grants.
Estimated Available Funds: The Administration's budget request for
FY 2007 does not include funds for the Upward Bound Program. However,
we are inviting applications to allow enough time to complete the grant
process if Congress appropriates funds for this program.
Estimated Range of Awards: $250,000-$853,000 for year one of UB;
$250,000-$543,000 for year one of VUB; and $250,000-$354,000 for year
one of UBMS.
Estimated Average Size of Awards: $350,000 for UB; $300,000 for
VUB; and $270,000 for UBMS.
Maximum Award: We will not fund any application at an amount
exceeding the maximum amounts specified below for a single budget
period of 12 months. We may choose not to further consider or review
applications with budgets that exceed the maximum amounts specified
below, if we conclude, during our initial review of the application,
that the proposed goals and objectives cannot be obtained with the
specified maximum amount.
For an applicant applying for a new UB, VUB or UBMS grant the
maximum award amount is $250,000. For a current grantee applying for a
VUB or UBMS grant (to continue funding for a currently funded project),
the maximum award amount is the greater of (a) $250,000 or (b) an
amount equal to 103 percent of the applicant's currently funded grant
award amount for FY 2006.
For a current grantee that did not receive supplemental funds under
the UB Expansion Initiative in FY 2006, that is applying for a UB
grant, the maximum award amount is the greater of (a) $250,000 or (b)
an amount equal to 103 percent of the applicant's currently funded
grant award amount for FY 2006. For a current grantee that received
supplemental funds under the UB Expansion Initiative in FY 2006 that is
applying for a UB grant, the maximum award amount is the greater of (a)
$250,000 or (b) an amount equal to 103 percent of the sum of the
applicant's currently funded grant award amount plus 50 percent of its
UB Expansion Initiative grant award amount for FY 2006.
Estimated Number of Awards: 766 for UB; 42 for VUB; and 128 for
UBMS.

Note: The Department is not bound by any estimates in this
notice.

III. Eligibility Information

1. Eligible Applicants: Institutions of higher education; public or
private agencies and organizations; combinations of institutions,
agencies, and organizations; and secondary schools under exceptional
circumstances, if there is no institution, agency, or organization
capable of carrying out an applicable Upward Bound project in the
proposed target area.
2. Cost Sharing or Matching: This program does not involve cost
sharing or matching.
3. Other: An applicant may submit more than one application, if
each separate application describes a project that will serve students
at different target schools and/or target populations. A secondary
school applicant must submit a certification that there is no other
eligible entity in the proposed target area that is capable of carrying
out a UB program project.

IV. Application and Submission Information

1. Address to Request Application Package: Gaby Watts, U.S.
Department of Education, 1990 K Street, NW., suite 7000, Washington, DC
2006-8510. Telephone: (202) 502-7600 or by e-mail:
TRIO@ed.gov.
If you use a telecommunications device for the deaf (TDD), you may
call the Federal Relay Service (FRS) at 1-800-877-8339.
Individuals with disabilities may obtain a copy of the application
package

[[Page 55452]]

in an alternative format (e.g., Braille, large print, audiotape, or
computer diskette) by contacting one of the program contact persons
listed in this section.
2. Content and Form of Application Submission: Requirements
concerning the content of an application, together with the forms you
must submit, are in the application package and instructions for this
program.
Page Limit: The Program Narrative is where you, the applicant,
address the selection criteria that reviewers use to evaluate your
application. You must limit the section of the narrative that addresses
the selection criteria to the equivalent of no more than 50 pages,
using the following standards:
A ``page'' is 8.5'' x 11'', on one side only, with 1''
margins at the top, bottom, and both sides. Page numbers and an
identifier may be within the 1'' margin.
Double space (no more than three lines per vertical inch)
all text in the application narrative, except titles, headings,
footnotes, quotations, references, captions and all text in charts,
tables, and graphs may be single spaced.
Use one or more of the following fonts: Times New Roman,
Courier, Courier New or Arial. Applications submitted in any other font
(including Times Roman and Arial Narrow) will be rejected.
Use not less than 12-point font.
The page limit does not apply to Part I, the Application for
Federal Assistance face sheet (SF 424); the supplemental information
form required by the Department of Education; Part II, the budget
information summary form (ED Form 524); and Part IV, the assurances and
certifications. The page limit also does not apply to a table of
contents. If you include any attachments or appendices not specifically
requested, these items will be counted as part of the Program Narrative
(Part III) for purposes of the page limit requirement. You must include
your complete response to the selection criteria in the Program
Narrative.
We will reject your application if--
You apply these standards and exceed the page limit; or
You apply other standards and exceed the equivalent of the
page limit.
3. Submission Dates and Times: Applications Available: September
22, 2006.
Deadline for Transmittal of Applications: November 6, 2006.
Applications for grants under this program must be submitted
electronically using the Grants.gov Apply site (Grants.gov). For
information (including dates and times) about how to submit your
application electronically or by mail or hand delivery if you qualify
for an exception to the electronic submission requirement, please refer
to Section IV. 6. Other Submission Requirements in this notice.
We do not consider an application that does not comply with the
deadline requirements.
Deadline for Intergovernmental Review: January 9, 2007.
4. Intergovernmental Review: This program is subject to Executive
Order 12372 and the regulations in 34 CFR part 79. Information about
Intergovernmental Review of Federal Programs under Executive Order
12372 is in the application package for this program.
5. Funding Restrictions: We reference the regulations outlining
funding restrictions in the Applicable Regulations section of this
notice.
6. Other Submission Requirements: Applications for grants under
this program must be submitted electronically unless you qualify for an
exception to this requirement in accordance with the instructions in
this section.
a. Electronic Submission of Applications. Applications for grants
under the Upward Bound Program--CFDA Number 84.047A and 84.047M must be
submitted electronically using the Grants.gov Apply site at:
http://www.grants.gov.
Through this site, you will be able to download a copy

of the application package, complete it offline, and then upload and
submit your application. You may not e-mail an electronic copy of a
grant application to us.
We will reject your application if you submit it in paper format
unless, as described elsewhere in this section, you qualify for one of
the exceptions to the electronic submission requirement and submit, no
later than two weeks before the application deadline date, a written
statement to the Department that you qualify for one of these
exceptions. Further information regarding calculation of the date that
is two weeks before the application deadline date is provided later in
this section under Exception to Electronic Submission Requirement.
You may access the electronic grant application for the Upward
Bound Program at: http://www.grants.gov.
You must search for the

downloadable application package for this program by the CFDA number.
Do not include the CFDA number's alpha suffix in your search.
Please note the following:
When you enter the Grants.gov site, you will find
information about submitting an application electronically through the
site, as well as the hours of operation.
Applications received by Grants.gov are time and date
stamped. Your application must be fully uploaded and submitted, and
must be date/time stamped by the Grants.gov system no later than 4:30
p.m., Washington, DC time, on the application deadline date. Except as
otherwise noted in this section, we will not consider your application
if it is date/time stamped by the Grants.gov system later than 4:30
p.m., Washington, DC time, on the application deadline date. When we
retrieve your application from Grants.gov, we will notify you if we are
rejecting your application because it was date/time stamped by the
Grants.gov system after 4:30 p.m., Washington, DC time, on the
application deadline date.
The amount of time it can take to upload an application
will vary depending on a variety of factors including the size of the
application and the speed of your Internet connection. Therefore, we
strongly recommend that you do not wait until the application deadline
date to begin the submission process through Grants.gov.
You should review and follow the Education Submission
Procedures for submitting an application through Grants.gov that are
included in the application package for this program to ensure that you
submit your application in a timely manner to the Grants.gov system.
You can also find the Education Submission Procedures pertaining to
Grants.gov at: http://e-Grants.ed.gov/help/GrantsgovSubmissionProcedures.pdf
.

To submit your application via Grants.gov, you must
complete all the steps in the Grants.gov registration process (see
http://www.grants.gov/applicants/get_registered.jsp). These steps

include (1) registering your organization, (2) registering yourself as
an Authorized Organization Representative (AOR), and (3) getting
authorized as an AOR by your organization. Details on these steps are
outlined in the Grants.gov 3-Step Registration Guide (see http://www.grants.gov/section910/Grants.govRegistrationBrochure.pdf
). You also

must provide on your application the same D-U-N-S Number used with this
registration. Please note that the registration process may take five
or more business days to complete, and you must have completed all
registration steps to allow you to

[[Page 55453]]

successfully submit an application via Grants.gov.
You will not receive additional point value because you
submit your application in electronic format, nor will we penalize you
if you qualify for an exception to the electronic submission
requirement, as described elsewhere in this section, and submit your
application in paper format.
You must submit all documents electronically including all
information typically included on the Application for Federal Education
Assistance (SF 424), Budget Information--Non-Construction Programs (ED
524), and all necessary assurances and certifications. You must attach
any narrative sections of your application as files in a .DOC
(document), .RTF (rich text), or .PDF (Portable Document) format. If
you upload a file type other than the three file types specified above
or submit a password protected file, we will not review that material.
Your electronic application must comply with any page
limit requirements described in this notice.
After you electronically submit your application, you will
receive an automatic acknowledgment from Grants.gov that contains a
Grants.gov tracking number. The Department will retrieve your
application from Grants.gov and send you a second confirmation by e-
mail that will include a PR/Award number (an ED-specified identifying
number unique to your application).
We may request that you provide us original signatures on
forms at a later date.
Application Deadline Date Extension in Case of Technical Issues
with the Grants.gov System: If you are prevented from electronically
submitting your application on the application deadline date because of
technical problems with the Grants.gov system, we will grant you an
extension until 4:30 p.m., Washington, DC time, the following business
day to enable you to transmit your application electronically, or by
hand delivery. You also may mail your application by following the
mailing instructions as described elsewhere in this notice. If you
submit an application after 4:30 p.m., Washington, DC time, on the
deadline date, please contact either of the persons listed elsewhere in
this notice under For Further Information Contact, and provide an
explanation of the technical problem you experienced with Grants.gov,
along with the Grants.gov Support Desk Case Number (if available). We
will accept your application if we can confirm that a technical problem
occurred with the Grants.gov system and that that problem affected your
ability to submit your application by 4:30 p.m., Washington, DC time,
on the application deadline date. The Department will contact you after
a determination is made on whether your application will be accepted.

Note: Extensions referred to in this section apply only to the
unavailability of or technical problems with the Grants.gov system.
We will not grant you an extension if you failed to fully register
to submit your application to Grants.gov before the deadline date
and time or if the technical problem you experienced is unrelated to
the Grants.gov system.

Exception to Electronic Submission Requirement: You qualify for an
exception to the electronic submission requirement, and may submit your
application in paper format, if you are unable to submit an application
through the Grants.gov system because--
You do not have access to the Internet; or
You do not have the capacity to upload large documents to
the Grants.gov system;

and

No later than two weeks before the application deadline
date (14 calendar days or, if the fourteenth calendar day before the
application deadline date falls on a Federal holiday, the next business
day following the Federal holiday), you mail or fax a written statement
to the Department, explaining which of the two grounds for an exception
prevent you from using the Internet to submit your application. If you
mail your written statement to the Department, it must be postmarked no
later than two weeks before the application deadline date. If you fax
your written statement to the Department, we must receive the faxed
statement no later than two weeks before the application deadline date.
Address and mail or fax your statement to: Geraldine Smith, U.S.
Department of Education, 1990 K Street, NW., suite 7000, Washington, DC
20006-8510. FAX: (202) 502-7857.
Your paper application must be submitted in accordance with the
mail or hand delivery instructions described in this notice.
b. Submission of Paper Applications by Mail.
If you qualify for an exception to the electronic submission
requirement, you may mail (through the U.S. Postal Service or a
commercial carrier) your application to the Department. You must mail
the original and two copies of your application, on or before the
application deadline date, to the Department at the applicable
following address:

By mail through the U.S. Postal Service: U.S. Department of Education,
Application Control Center, Attention: (CFDA Number 84.047A or
84.047M), 400 Maryland Avenue, SW., Washington, DC 20202-4260.
or

By mail through a commercial carrier: U.S. Department of Education,
Application Control Center--Stop 4260, Attention: (CFDA Number 84.047A
or 84.047M),7100 Old Landover Road, Landover, MD 20785-1506.

Regardless of which address you use, you must show proof of mailing
consisting of one of the following:
(1) A legibly dated U.S. Postal Service postmark,
(2) A legible mail receipt with the date of mailing stamped by the
U.S. Postal Service,
(3) A dated shipping label, invoice, or receipt from a commercial
carrier, or
(4) Any other proof of mailing acceptable to the Secretary of the
U.S. Department of Education.
If you mail your application through the U.S. Postal Service, we do
not accept either of the following as proof of mailing:
(1) A private metered postmark, or
(2) A mail receipt that is not dated by the U.S. Postal Service.
If your application is postmarked after the application deadline
date, we will not consider your application.

Note: The U.S. Postal Service does not uniformly provide a dated
postmark. Before relying on this method, you should check with your
local post office.

c. Submission of Paper Applications by Hand Delivery.
If you qualify for an exception to the electronic submission
requirement, you (or a courier service) may deliver your paper
application to the Department by hand. You must deliver the original
and two copies of your application, by hand, on or before the
application deadline date, to the Department at the following address:
U.S. Department of Education, Application Control Center, Attention:
(CFDA Number 84.047A or 84.047M), 550 12th Street, SW., Room 7041,
Potomac Center Plaza, Washington, DC 20202-4260.
The Application Control Center accepts hand deliveries daily
between 8 a.m. and 4:30 p.m., Washington, DC time, except Saturdays,
Sundays, and Federal holidays.

Note for Mail or Hand Delivery of Paper Applications: If you
mail or hand deliver your application to the Department:

[[Page 55454]]

(1) You must indicate on the envelope and--if not provided by
the Department--in Item 4 of the Application for Federal Education
Assistance (SF 424) the CFDA number--and suffix letter, if any--of
the competition under which you are submitting your application.
(2) The Application Control Center will mail a grant application
receipt acknowledgment to you. If you do not receive the grant
application receipt acknowledgment within 15 business days from the
application deadline date, you should call the U.S. Department of
Education Application Control Center at (202) 245-6288.

V. Application Review Information

1. Selection Criteria: The selection criteria for this program are
from 34 CFR 645.31 and are listed in the application package.

Note: Under the ``Objectives'' selection criteria, all
evaluation points will be awarded based upon the extent to which the
applicant's proposed objectives are determined to be both ambitious
and attainable. Applicants are advised to take this into account
when preparing their applications. In responding to the
``Objectives'' criteria, applicants should explain why their
proposed objectives are ambitious and attainable and provide data to
support that explanation. The peer reviewers will determine the
extent to which the objectives are both ambitious and attainable
based upon the data and explanations the applicant provides in the
Need for the project, Plan of operation, and Budget and cost
effectiveness sections of the application. The UB, UBMS, and VUB
Program Profile pages in the application package detail specific
information that applicants must submit regarding these objectives.

2. Review and Selection Process: The Secretary will select an
application for funding in rank-order, based on the application's total
score for the selection criteria and prior experience, pursuant to 34
CFR 645.31 and 645.32. If there are insufficient funds for two or more
applications with the same total scores, the Secretary will choose
among the tied applications so as to serve geographical areas that have
been underserved by the UB Program.

VI. Award Administration Information

1. Award Notices: If your application is successful, we notify your
U.S. Representative and U.S. Senators and send you a Grant Award
Notification (GAN). We may also notify you informally.
If your application is not evaluated or not selected for funding,
we notify you.
2. Administrative and National Policy Requirements: We identify
administrative and national policy requirements in the application
package and reference these and other requirements in the Applicable
Regulations section of this notice.
We reference the regulations outlining the terms and conditions of
an award in the Applicable Regulations section of this notice and
include these and other specific conditions in the GAN. The GAN also
incorporates your approved application as part of your binding
commitments under the grant.
3. Reporting: At the end of your project period, you must submit a
final performance report, including financial information, as directed
by the Secretary. If you receive a multi-year award, you must submit an
annual performance report that provides the most current performance
and financial expenditure information as specified by the Secretary in
34 CFR 75.118.
4. Performance Measures: The success of the UB program is measured
by the percentage of UB participants, both higher risk and overall, who
enroll in postsecondary institutions.

VII. Agency Contact

FOR FURTHER INFORMATION CONTACT: Gaby Watts, U.S. Department of
Education, 1990 K Street, NW., suite 7000, Washington, DC 20006-8510.
Telephone: (202) 502-7600 or by e-mail: TRIO@ed.gov.
If you use a telecommunications device for the deaf (TDD), you may
call the Federal Relay Service (FRS) 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 one of the program contact persons listed in
this section.

VIII. Other Information

Electronic Access to This Document: You may view this document, as
well as all other documents of this Department published in the Federal
Register, in text or Adobe Portable Document Format (PDF) on the
Internet at the following site:
http://www.ed.gov/news/fedregister.

To use PDF you must have Adobe Acrobat Reader, which is available
free at this site. If you have questions about using PDF, call the U.S.
Government Printing Office (GPO), toll free, at 1-888-293-6498; or in
the Washington, DC area at (202) 512-1530.

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.gov/nara/index.html.

Dated: September 19, 2006.
James F. Manning,
Acting Assistant Secretary for Postsecondary Education.
[FR Doc. 06-8102 Filed 9-21-06; 8:45 am]

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