GEAR UP State Application

U.S. DEPARTMENT OF EDUCATION

OFFICE OF POSTSECONDARY EDUCATION

WASHINGTON, D.C. 20006-8524

http://www2.ed.gov/programs/gearup/index.html

FY 2011

APPLICATION FOR GRANTS

UNDER THE GAINING EARLY AWARENESS

& READINESS FOR

UNDERGRADUATE PROGRAMS (GEAR UP)

STATE GRANTS

CFDA Number 84.334S

FORM APPROVED

OMB no. 1840-_____, Expiration Date: __________

DATED MATERIAL – OPEN IMMEDIATELY

CLOSING DATE: ________

Contents

Dear Applicant Letter…….…..………………………..…………………………………………….….......3

Competition Highlights......…………….………..……………………………………………….…….........6

Grants.gov Organization Registration Instruction.…….…………….….……………………..………...12

Grants.gov Submission Procedures and Tips for Applicants …...…….………………….……..……... 15

Application Transmittal Instructions …...………………….……………………..….….………….….. .18

Closing Date Notice…………………………………………………………………………………………20

GEAR UP Authorizing Legislation……….….…………………………………….…………………..….53

GEAR UP Program Regulations………….………...………….………………………………….…........62

State Grants Program Overview…….…………………………………………………….…………........75

Evaluation of Project Performance…....………………………….………………………………...…….84

Selection Criteria for State Grants…..…………….……….……………..……………………...............88

Contact Information…….………………………………………..…………………………….….……….91

Instructions for Completing the GEAR UP Application Package

Instructions for Completing the Application Package………………...………………...…….……........94

Important Notice to Prospective Participants in ED Contract and Grant Programs……...….….........96

Intergovernmental Review of Federal Programs: Executive Order 12372………….……………...…..97

Notice to Applicants: The Government Performance and Results Act (GPRA)…….……...…….........98

Application Package Checklist...….………………………………………………………...……..............99

Instructions for Standard and Program Specific Forms…..…………………………….......................100

GEAR UP Program Specific Forms

Students To Be Served Form. .…...………………………………………………..………….….............103

Project Budget Summary Form…….…………………………………………….…………….……......104

Matching Funds Provided by Non-Federal Sources Form.……………….…..……………..…..….….105

Applicant Organization Form and Cost Share Worksheet……...….…….………………………........106

Partner Identification Form and Cost Share Worksheet..…….………………………………..…..….107

Paperwork Burden Statement……….....……………………………………..……………………..…...108

Standard Application Forms Detailed Instructions

General Education Provisions Act (GEPA) Section 427………….…………………………..…….…..111

Instructions for the SF-424.………….…..…....……………………………………………………….....113

Instructions for the Department of Education Supplemental Information for SF 424……….…........115

Instructions for Completion of the SF-LLL, Disclosure of Lobbying Activities….……….………......116

Survey Instructions for Ensuring Equal Opportunity for Applicants.............……..………….…....…117

Standard Application Forms

Application for Federal Assistance (SF-424)………....…….………………………….……...…………119

Supplemental Information Required for Department of Education………...…………...….….……..122

Certification Regarding Lobbying (formerly ED form 80-0013)………...…………….………..…......123

Assurances - Non-Construction Programs (SF 424B)……..……………………………..….….............124

Disclosure of Lobbying Activities (SF-LLL).……….….……………………………….…………...…..126

Survey on Ensuring Equal Opportunity for Applicants….………………………………….…...….....127

UNITED STATES DEPARTMENT OF EDUCATION

OFFICE OF POSTSECONDARY EDUCATION

Dear Applicant:

Thank you for your interest in the Gaining Early Awareness and Readiness for Undergraduate Programs (GEAR UP) program. We are pleased to provide the application package for the fiscal year (FY) 2011 GEAR UP State grant competition. Included in this application package are the program statute and regulations, and the instructions and forms needed to submit a complete partnership application package to the U.S. Department of Education (Department) through Grants.gov.

The GEAR UP program is designed to significantly increase the number of low-income students who are prepared to enter and succeed in postsecondary education. GEAR UP provides six- or seven-year grants to States to provide services at high-poverty middle and high schools and through the first year of college. The services include: providing information regarding financial aid for postsecondary education to participating students in the cohort, encouraging student enrollment in rigorous and challenging curricula and coursework, and improving the number of participating students who obtain a secondary school diploma and complete applications for and enroll in a program of postsecondary education. GEAR UP funding can also be used to provide scholarships to students.

This letter highlights a few items in the FY 2011 application package that will be important to you in applying for grants under this program. You should review the entire application package carefully before preparing and submitting your application. Information on the GEAR UP program is accessible at the U.S. Department of Education web site at:

http://www.ed.gov/programs/gearup/index.html

In the FY 2011 competition, there is one invitational priority and four competitive preference priorities. Please note that under the invitational priority, an application that meets the priority will not receive a competitive or absolute preference over the other applicants. Under the competitive preference priorities, an applicant is eligible to receive up to an additional 12 points based on the degree to which applicant proposes to meet the priorities. For additional information about the FY 2011 priorities, refer to the Federal Register Notice Inviting Applications for New Awards (Notice) for FY 2011 and information in the application package.

Please be sure to review thoroughly the entire application booklet for information concerning the GEAR UP program. Applicants should pay particular attention to the section entitled “Competition Highlights” that outlines program and competition details.

The Department is requiring that applications for FY 2011 grants under the GEAR UP program be submitted electronically using Grants.gov. You are urged to acquaint yourself with the requirements of Grants.gov early.

A more thorough discussion is included in the application package. Grants.gov is accessible through its portal page at: http://www.grants.gov.

We also urge you to consider the following if you are planning to apply for this program:

1. We strongly encourage you to register in Grants.gov early. The registration procedures may require 5 or more days to complete.

2. We strongly recommend that you submit your application 2-3 days prior to the closing date. The time it takes to upload an application will vary depending on a number of factors, including the size of the files and the speed of your Internet connection. The application submission process must be complete prior to the deadline for transmittal of applications.

3. In order to submit successfully, you must remember to provide on your application the DUNS number that was used when your organization registered with the Central Contractor Registry (CCR).

Please carefully review the enclosed materials regarding eligibility and program requirements. Also, please note GEAR UP grantees are obligated to provide at least 50 percent of the total cost of a GEAR UP project (a dollar-for-dollar match) from State, local, institutional, or private funds in the form of cash or documented in-kind contributions.

The Notice Inviting Applications for New Awards published in the Federal Register is the official document describing the requirements for applying for a GEAR UP state grant and provides application submission procedures. You should not rely upon any information that is inconsistent with the guidance contained within the official document.

As you know, the GEAR UP statute requires grantees to conduct and submit biennial evaluations of their activities (sec. 404G(a)) and the Secretary to define standards for these evaluations (sec. 404G(b)). We would like to share with you the importance of ensuring that your application includes a strong evaluation plan that meets the criteria we have outlined below.  Peer reviewers will be instructed to look closely at the potential of GEAR UP program applicants to successfully reach their individual project goals, including their ability to gather data related to the prescribed Program performance indicators and to carry out evaluations for continuous program improvement.

The applicant’s evaluation plan should describe how the Project will conduct a summative assessment (i.e., measure how it contributed to student outcomes) and may include a formative assessment of Project activities (e.g., how well the Project is functioning). It should use the student outcomes identified in the Program performance indicators as the key measures. However, the evaluation may include other student outcomes or indicators of importance to the Project. The evaluation plan should shape the development of the project from the beginning of the grant period and provide benchmarks for the monitoring of progress and measurement of that progress throughout the grant award period.  You should pay close attention to the information provided in the Evaluation of Project Performance section of this application regarding the development of your evaluation activity.

For further information regarding the program, please contact James Davis, Director, GEAR UP program, at (202) 502-7802 or at [email protected].

Sincerely,

/signed/

Debra Saunders-White, Ed.D.

Deputy Assistant Secretary

Higher Education Programs

COMPETITION HIGHLIGHTS

1. Purpose of the Program

The GEAR UP program is a discretionary grant program which encourages applicants to provide support and maintain a commitment to eligible low-income students, including students with disabilities, to assist the students in obtaining a secondary school diploma and preparing for and succeeding in postsecondary education.

2. Eligible Applicants

The Governor of the State must designate, in writing, the eligible State entity that can apply for a GEAR UP State grant on behalf of the State.

3. Invitational Priority

In FY 20ll and any subsequent year in which we make awards from the list of unfunded applicants from this competition, this priority is an invitational priority. Under 34 CFR 75.105(c) (l) we do not give an application that meets this invitational priority a competitive or absolute preference over other applications.

This priority is: Financial Access and College Saving Accounts

A lack of financial literacy is a barrier to college access and success for many students and families, and research indicates that financial education is more effective when in the context of real-life financial decisions.  In addition, studies demonstrate that students with college savings accounts are more likely to attend college, even when controlling for other factors. Therefore, the Secretary invites applications from eligible entities that partner with financial institutions or other stakeholders to provide students and families with safe, affordable, and appropriate deposit accounts at federally-insured banks or credit unions, and create financial or other incentives to increase savings, in connection with the applicant's proposed financial and economic literacy activities.

4. Competitive Preference Priorities

In FY 2011 and any subsequent year in which we make awards from the list of unfunded applicants from this competition, these priorities are competitive preference priorities. Under 34 CFR 75.105(c) (2) (i) we award up to an additional 12 points to an application depending on how well the application meets these priorities.

The Secretary introduces these priorities to respond to a new legislative requirement, and in an effort to encourage applicants to connect their GEAR UP projects to existing state reforms in the areas of data-based decision-making, the development of college- and career-ready standards, and turning around low-performing schools. In meeting these priorities, applicants should be able to show substantive actions, with plans and documentation, as appropriate, to demonstrate their ability to carry out these priorities.

These priorities are:

Competitive Preference Priority 1: The Secretary shall give priority to an eligible applicant for a State GEAR UP grant that has both: (a) Carried out a successful State GEAR UP grant prior to August 14, 2008, determined on the basis of data (including outcome data) submitted by the applicant as part of its annual and final performance reports, and the applicant’s history of compliance with applicable statutory and regulatory requirements; and (b) A prior, demonstrated commitment to early intervention leading to college access through collaboration and replication of successful strategies.

Competitive Preference Priority 2: Projects that are designed to address one or more of the following priority areas: (a) improving student achievement in persistently lowest-achieving schools and (b) increasing graduation rates and college enrollment rates for students in persistently lowest-achieving schools.

Background on Priority 2: An essential element in strengthening our education system is dramatic improvement of student performance in each State's persistently lowest-achieving schools. These schools often require intensive interventions to improve the school culture and climate, strengthen the school staff and instructional program, increase student attendance and enrollment in advanced courses, provide more time for learning, and ensure that social services and community support are available for students in order to raise student achievement, graduation rates, and college enrollment rates. In addition, students in these schools can benefit from participating in programs that offer additional services designed to increase student success, such as GEAR UP. The Department is interested in seeing strong plans to support improvements in student achievement and outcomes within these schools.

For instance, States proposing to work in persistently lowest-achieving schools under this priority could provide a list of schools in which the State proposes to work along with descriptions of the strategies the State proposes to implement within these specific schools, in order to improve either student achievement or graduation and college enrollment outcomes, or both.

Note on Priority 2:

To identify the persistently lowest-achieving schools, a State must take into account both: (i) the academic achievement of the “all students” group in a school in terms of proficiency on the State’s assessments under section 1111(b)(3) of the Elementary and Secondary Education Act (ESEA) in reading/language arts and mathematics combined; and (ii) the school’s lack of progress on those assessments over a number of years in the “all students” group.

A list of each State’s persistently lowest-achieving schools for FY 2009 may be found in the State’s application for the School Improvement Grants (SIG) program at: http://www2.ed.gov/programs/sif/summary/index.html.  Please note that these lists may be updated annually.  For the purposes of this application, applicants may use schools designated as persistently lowest-achieving schools in the State’s application for the SIG program in FY 2009 or later. 

Competitive Preference Priority 3: Projects that are designed to collect (or obtain), analyze, and use high-quality and timely data, especially on program participant outcomes, in accordance with privacy requirements, in one of the following priority areas: (a) improving instructional practices, policies and student outcomes in elementary and secondary schools; (b) improving postsecondary student outcomes relating to enrollment, persistence, and completion and leading to career success; and (c) providing reliable and comprehensive information on the implementation of Department of Education programs, and participant outcomes in these programs, especially by developing strategies with appropriate State agencies to use data from State longitudinal data systems or by obtaining data from reliable third-party sources.

Background on Priority 3: Accurate, timely, relevant, and appropriate data are the key to knowing what is working for students and what is not. Data can tell us which students are on track to college and career readiness and which need additional support, which instructional strategies are working, which schools or institutions are successfully improving student learning and performance, and which teachers or faculty excel in increasing student achievement so that they can, for example, be given the opportunity to coach others or to lead communities of professional practice. Data and the effective use of data for informed decision-making are essential to the continuous improvement of educational results.

This proposed priority is designed to support projects that provide educators, as well as families and other key stakeholders, with high-quality data and the capacity and training to use those data to improve school readiness, respond to the learning and academic needs of students, increase student achievement (as defined in this notice), improve educator effectiveness, inform professional development practices and approaches, understand the culture and climate of their schools and institutions, and make informed decisions that increase overall program effectiveness.

Applicants proposing to meet this priority could demonstrate the ability to access the State’s longitudinal data system for reporting collegiate enrollment and outcomes of students. Examples of other data-based activities include using course-taking trend data to structure interventions tailored keep students ‘on-track’ to graduate from high school prepared for postsecondary education or using such data to develop early warning indicator systems designed to intervene before students drop out.

Competitive Preference Priority 4: Projects that are designed to support the implementation of internationally benchmarked, college- and career-ready academic standards held in common by multiple States and to improve instruction and learning, including projects in one or more of the following priority areas: (a) the development or implementation of curriculum or instructional materials aligned with those standards, (b) the development or implementation of professional development or preparation programs aligned with those standards, and (c) strategies that translate the standards into classroom practice.

Background on Priority 4: Many States are already moving toward the adoption of common, internationally benchmarked, college- and career-ready academic standards for elementary and secondary school students. States will benefit from assistance in transitioning to these new standards, including assistance in developing and implementing (a) high-quality instructional materials, (b) assessments aligned with the standards, (c) teacher and principal preparation and professional development programs, and (d) other strategies that translate the standards into classroom practice. The Department would like to see GEAR UP State applicants develop plans to assist in transitioning to these new standards, which will, in turn, help more students succeed in postsecondary education. Applicants could, for instance, propose to support internationally benchmarked, common college- and career-ready standards by first demonstrating that the State is part of some agreement to adopt such standards, and sharing details on plans to provide professional development to instructors to teach to the standards.

NOTE: In evaluating the adherence to these priorities (2, 3 and 4), the Department is looking to consider the extent to which applicants provide clear evidence of their plans for addressing the priories within proposed projects.

4. Electronic Submission of Applications

GEAR UP applications submitted for the FY 2011 competition must be submitted electronically using Grants.gov, accessible through its portal page at:

http://www.grants.gov

You are urged to acquaint yourself with the requirements of Grants.gov early as the registration procedures may require 5 or more days to complete. A more thorough discussion is included later in this application package. For technical support regarding Grants.gov, please email Grants.gov Contact Center at [email protected] or by telephone at 1-800-518-4726. Also, refer to “Grants.Gov Submission Procedures and Tips for Applicants” found in this application booklet.

Please note, once you download an application from Grants.gov, you will be working offline and saving data on your computer. Please be sure to note where you are saving the Grants.gov file on your computer. You will need to log on to Grants.gov to upload and submit the application. You must provide on your application the Data Universal Numbering System (DUNS) number that was used when your organization registered with the Central Contractor Registry (CCR).

Electronic submission of applications is required; therefore, you must submit an electronic application unless you follow the procedures outlined in the Federal Register Notice Inviting Applications for New Awards for FY 2011 (the Notice) and qualify for one of the exceptions to the electronic submission requirements. If you think you may need an exception, you are urged to review the requirement promptly.

Please note that you must submit your application by 4:30:00 p.m. (Washington, D.C. time) on or before the application deadline date. Late applications will not be accepted. We suggest that you submit your application several days before the deadline. The Department is required to enforce the established deadline to ensure fairness to all applicants. No changes or additions to an application will be accepted after the deadline date and time.

5. Format of Application

Applicants must double space the application project narrative and use a font that is either 12-point or larger. However, charts, tables, figures, graphs, footnotes, and endnotes may be single spaced but font must be 12-point or larger. The following fonts are required to be used: Times New Roman, Courier, Courier New, or Arial. Applications submitted in any other font, including Times Roman and Arial Narrow, will not be accepted.

All attachments must be in .PDF format only. Other types of files will not be accepted.

6. GEAR UP Program-Specific Forms

The following forms are specific to the GEAR UP program and should be reviewed

carefully to ensure accuracy of information. Additional information on these documents is provided in this application package.

• Students To Be Served Form

• Project Budget Summary Form (and Detailed Budget Narrative)

• Applicant Organization Identification Form and Cost Share Worksheet

• Partner Identification Form and Cost Share Worksheet

• Documentation of Student Eligibility for Free or Reduced-Price Lunch

Please note that more detailed instructions for attaching these forms are covered in the

“INSTRUCTIONS FOR COMPLETING THE APPLICATION PACKAGE” section of

the application.

7. Page Limit

The Notice contains specific information governing page limits for each grant type and formatting instructions. The total page limit for the project narrative portion of the application for the FY 2011 GEAR UP competition is 45 pages. The page limit for the project invitational priority narrative portion only is 4 pages. The page limit for the project competitive preference priorities narrative portion only is 20 pages.

8. Project Abstract

The project abstract is limited to one page, single spaced. The abstract should include:

applicant name, information about the project’s goals and objectives, number of students

to be served, the target school(s), a list of partners, and the activities and services that

will be implemented during the six- or seven-year performance period.

9. Selection Criteria

The selection criteria in EDGAR 34 CFR part 75 sections 75.209(a) and 75.210 are used to evaluate applications. The selection criteria and maximum possible points are included in the Notice.

10. Notice to Successful Applicants

The Department’s Office of Legislation and Congressional Affairs will inform the Congress regarding applications approved for new GEAR UP program grants. Successful applicants will receive award notices by mail shortly after the Congress is notified. No funding information will be released before the Congress is notified.

11. Notice to Unsuccessful Applicants

Unsuccessful applicants will be notified in writing following the notice to successful

applicants.

12. Annual Performance Report Requirements

If you receive an FY 2011 new grant award, you will be required to submit annual and final performance reports during the six- or seven-year funding cycle using an Internet-based reporting system. This online system collects narratives and data about funded projects, to enable program officers to determine if a grantee is making substantial progress toward meeting approved project objectives. The Annual Performance Report used for this program can be found at http://www.ed.gov/gearup.

State grantees providing scholarships must report, annually to the Secretary, information on Federal and non-Federal reserved funds held for GEAR UP scholarships and the disbursement of these funds to eligible students until these funds are fully expended or returned to the Secretary.

13. Contact Information

For GEAR UP program-related questions and assistance, please contact:

Program Officer: Pariece Wilkins

Address: Gaining Early Awareness and Readiness for Undergraduate Programs

U.S. Department of Education

1990 K Street, N.W., Room 7025

Washington, D.C. 20006-8524

Telephone: (202) 219-7104

Fax: (202) 219-7074

E-mail Address: [email protected]

For technical support regarding Grants.gov, please contact:

Telephone: (800) 518-4726

Email: [email protected]

Grants.gov Contact Center is open 24 hours a day, 7 days a week.

Also, refer to “Grants.gov Submission Procedures and Tips for Applicants” found in

this application booklet.

You are reminded that the document published in the Federal Register is the official document, and that you should not rely upon any information that is inconsistent with the guidelines contained within the official document.

Grants.gov Organization Registration Instructions

The following instructions provide registration guidance for a company, academic or research institution, State, local or tribal government, not-for-profit, or other type of organization. Registration is a one-time process that is required before representatives of an organization can submit grant application packages electronically through Grants.gov. The registration process can take up to four weeks depending on your organization and whether all steps are taken in a timely manner. For more information, visit http://www07.grants.gov/applicants/get_registered.jsp.

Note: If you are an individual applying for a grant on your own behalf and not on behalf of a company, academic or research institution, state, local or tribal government, not-for-profit, or other type of organization, visit http://www.grants.gov/applicants/individual_registration.jsp. If you apply as an individual to a grant designated for organizations, your application will be rejected.

STEP 1: OBTAIN DATA UNIVERSAL NUMBER SYSTEM (DUNS) NUMBER

WHY?

• The Federal government has adopted the use of DUNS numbers to track how Federal grant money is allocated. DUNS numbers identify your organization.

HOW?

• Ask the grant administrator, chief financial officer, or authorizing official of your organization to identify your DUNS number.

• If your organization does not know its DUNS number or needs to register for one, visit Dun & Bradstreet at http://fedgov.dnb.com/webform/displayHomePage.do.

TIME REQUIRED?

• Same day. You will receive DUNS number information online.

STEP 2: REGISTER WITH CENTRAL CONTRACTOR REGISTRATION (CCR)

WHY?

• Registering with the CCR is required for organizations to use Grants.gov.

HOW?

• Ask the grant administrator, chief financial officer, or authorizing official of your organization if your organization has registered with the CCR.

• If your organization is not registered, apply online at http://www.ccr.gov.

• When your organization registers with CCR, you must designate an E-Business Point of Contact (E-Biz POC). This person will identify a special password called an MPIN.

• This MPIN gives the E-Biz POC authority to designate which staff members from your organization are allowed to submit applications electronically through Grants.gov. These designated staff members are called Authorized Organization Representatives (AORs).

TIME REQUIRED?

• If your organization already has an Employment Identification Number (EIN) or Taxpayer Identification Number (TIN), allow one to three business days to complete the entire CCR registration.

• If your organization does not have an EIN or TIN, allow two weeks for obtaining the EIN or TIN from the Internal Revenue Service (IRS) if requested via phone or Internet.

• Your organization needs to renew its CCR registration once a year, which may take up to five business days. You will not be able to move on to Step 3 until this step is completed.

STEP 3: CREATE GRANTS.GOV USERNAME & PASSWORD

WHY?

• An AOR username and password serves as an "electronic signature" when submitting a Grants.gov application.

HOW?

• To create a username and password, AORs must complete a profile on Grants.gov (using their organization’s DUNS number) at https://apply07.grants.gov/apply/OrcRegister.

• AORs must wait one business day after their organization registers with the CCR before creating a profile.

TIME REQUIRED?

• Same day. After the AOR has completed their profile they will be prompted to create a username and password that will allow the user to log in and check their approval status immediately.

STEP 4: AOR AUTHORIZATION

WHY?

• Only the E-Biz POC can approve AORs, who then have the ability to submit applications on behalf of the organization.

HOW?

• When an AOR registers with Grants.gov, that organization's E-Biz POC is notified by email.

• The E-Biz POC must then log in to Grants.gov (using the organization’s DUNS number for the username and the MPIN password obtained in Step 2) and approve the AOR, thereby giving him or her permission to submit applications.

• When an E-Biz POC approves an AOR, Grants.gov will send the AOR a confirmation email.

TIME REQUIRED?

• This depends on how long it takes the E-Biz POC to log in and approve the AOR. Once the approval is completed, the AOR can immediately submit an application.

STEP 5: TRACK AOR STATUS

WHY?

To verify that the organization’s E-Biz POC has approved the AOR. HOW?

• AORs can log in using their username and password (obtained in Step 3) to check if they have been approved by the E-Biz POC.

TIME REQUIRED?

• Logging in as an applicant is instantaneous. The approval process depends on how long it takes the E-Biz POC to log in and approve the AOR

IMPORTANT – PLEASE READ FIRST

U.S. Department of Education

Grants.gov Submission Procedures and Tips for Applicants

To facilitate your use of Grants.gov, this document includes important submission procedures you need to be aware of to ensure your application is received in a timely manner and accepted by the Department of Education.

ATTENTION – Adobe Forms and PDF Files Required

Applications submitted to Grants.gov for the Department of Education will be posted using Adobe forms. Therefore, applicants will need to download the latest version of Adobe reader (at least Adobe Reader 8.1.2). Information on computer and operating system compatibility with Adobe and links to download the latest version is available on Grants.gov. We strongly recommend that you review these details on www.Grants.gov before completing and submitting your application. In addition, applicants should submit their application a day or two in advance of the closing date as detailed below. Also, applicants are required to upload their attachments in .pdf format only. (See details below under “Attaching Files – Additional Tips.”) If you have any questions regarding this matter please email the Grants.gov Contact Center at [email protected] or call 1-800-518-4726.

Also, applicants should be aware that on October 11, 2010, Grants.gov implemented a new security build which requires each organization’s e-Biz POC (Point of Contact) update their Grants.gov registration. To complete this step, the e-Biz POC must have their DUNS number and CCR MPIN. We recommend this step be completed several days before application submission unless the e-Biz POC has already responded to this requirement. For more information on this topic, please visit this Grants.gov information link: http://www.grants.gov/securitycommebiz/.

1. REGISTER EARLY – Grants.gov registration may take five or more business days to complete. You may begin working on your application while completing the registration process, but you cannot submit an application until all of the Registration steps are complete. For detailed information on the Registration Steps, please go to: http://www.grants.gov/applicants/get_registered.jsp. [Note: Your organization will need to update its Central Contractor Registry (CCR) registration annually.]

2. SUBMIT EARLY – We strongly recommend that you do not wait until the last day to submit your application. Grants.gov will put a date/time stamp on your application and then process it after it is fully uploaded. The time it takes to upload an application will vary depending on a number of factors including the size of the application and the speed of your Internet connection, and the time it takes Grants.gov to process the application will vary as well. If Grants.gov rejects your application (see step three below), you will need to resubmit successfully before 4:30:00 p.m. Washington, DC time on the deadline date.

Note: To submit successfully, you must provide the DUNS number on your application that was used when you registered as an Authorized Organization Representative (AOR) on Grants.gov. This DUNS number is typically the same number used when your organization registered with the CCR (Central Contractor Registry). If you do not enter the same DUNS number on your application as the DUNS you registered with, Grants.gov will reject your application.

3. VERIFY SUBMISSION IS OK – You will want to verify that Grants.gov and the Department of Education receive your Grants.gov submission in a timely manner and that it was validated successfully. To see the date/time your application was received, login to Grants.gov and click on the Track My Application link. For a successful submission, the date/time received should be earlier than 4:30:00 p.m. Washington, DC time, on the deadline date, AND the application status should be: Validated, Received by Agency, or Agency Tracking Number Assigned.

If the date/time received is later than 4:30:00 p.m. Washington, D.C. time, on the deadline date, your application is late. If your application has a status of “Received” it is still awaiting validation by Grants.gov. Once validation is complete, the status will change to either “Validated” or “Rejected with Errors.” If the status is “Rejected with Errors,” your application has not been received successfully. Some of the reasons Grants.gov may reject an application can be found on the Grants.gov site: http://www.grants.gov/applicants/applicant_faqs.jsp#54. For more detailed information on troubleshooting Adobe errors, you can review the Adobe Reader Error Messages document at http://www.grants.gov/assets/AdobeReaderErrorMessages.pdf. If you discover your application is late or has been rejected, please see the instructions below. Note: You will receive a series of confirmations both online and via e-mail about the status of your application. Please do not rely solely on e-mail to confirm whether your application has been received timely and validated successfully.

Submission Problems – What should you do?

If you have problems submitting to Grants.gov before the closing date, please contact Grants.gov Customer Support at 1-800-518-4726 or http://www.grants.gov/contactus/contactus.jsp, or use the customer support available on the Web site: http://www.grants.gov/applicants/applicant_help.jsp.

If electronic submission is optional and you have problems that you are unable to resolve before the deadline date and time for electronic applications, please follow the transmittal instructions for hard copy applications in the Federal Register notice and get a hard copy application postmarked by midnight on the deadline date.

If electronic submission is required, you must submit an electronic application before 4:30:00 p.m., unless you follow the procedures in the Federal Register notice and 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. (See the Federal Register notice for detailed instructions.)

Helpful Hints When Working with Grants.gov

Please note, once you download an application from Grants.gov, you will be working offline and saving data on your computer. Please be sure to note where you are saving the Grants.gov file on your computer. You will need to logon to Grants.gov to upload and submit the application. You must provide the DUNS number on your application that was used when you registered as an Authorized Organization Representative (AOR) on Grants.gov.

Please go to http://www.grants.gov/applicants/applicant_help.jsp for help with Grants.gov. For additional tips related to submitting grant applications, please refer to the Grants.gov Submit Application FAQs found on the Grants.gov http://www.grants.gov/help/submit_application_faqs.jsp.

Dial-Up Internet Connections

When using a dial up connection to upload and submit your application, it can take significantly longer than when you are connected to the Internet with a high-speed connection, e.g. cable modem/DSL/T1. While times will vary depending upon the size of your application, it can take a few minutes to a few hours to complete your grant submission using a dial up connection. If you do not have access to a high-speed connection and electronic submission is required, you may want to consider following the instructions in the Federal Register notice to obtain an exception to the electronic submission requirement no later than two weeks before the application deadline date. (See the Federal Register notice for detailed instructions.)

MAC Users

For MAC compatibility information, review the Operating System Platform Compatibility Table at the following Grants.gov link: http://www.grants.gov/help/download_software.jsp. If electronic submission is required and you are concerned about your ability to submit electronically as a non-Windows user, please follow instructions in the Federal Register notice to obtain an exception to the electronic submission requirement no later than two weeks before the application deadline date. (See the Federal Register notice for detailed instructions.)

Attaching Files – Additional Tips

Please note the following tips related to attaching files to your application, especially the requirement that applicants only include .pdf files in their application:

1. Ensure that you attach .PDF files only for any attachments to your application. PDF files are the only Education-approved file type accepted as detailed in the Federal Register application notice. Applicants must submit individual .PDF files only when attaching files to their application. Specifically, the Department will not accept any attachments that contain files within a file, such as PDF Portfolio files. Any attachments uploaded that are not .PDF files or are password protected files will not be read. If you need assistance converting your files to a .pdf format, please refer to this Grants.gov webpage with links to conversion programs: http://www.grants.gov/help/download_software.jsp#pdf_conversion_programs

2. Grants.gov cannot process an application that includes two or more files that have the same name within a grant submission. Therefore, each file uploaded to your application package should have a unique file name.

3. When attaching files, applicants should follow the guidelines established by Grants.gov on the size and content of file names. Uploaded files must be less than 50 characters, contain no spaces, no special characters (example: -, &, *, %, /, #, \) including periods (.), blank spaces and accent marks. Applications submitted that do not comply with the Grants.gov guidelines will be rejected at Grants.gov and not forwarded to the Department.

4. Applicants should limit the size of their file attachments. Documents submitted that contain graphics and/or scanned material often greatly increase the size of the file attachments and can result in difficulties opening the files. For reference, the average discretionary grant application package totals 1 to 2 MB. Therefore, you may want to check the total size of your package before submission.

APPLICATION TRANSMITTAL INSTRUCTIONS

ATTENTION ELECTRONIC APPLICANTS: Please note that you must follow the Application Procedures as described in the Federal Register notice announcing the grant competition.

This program requires the electronic submission of applications; specific requirements and waiver instructions can be found in the Federal Register notice.

According to the instructions found in the Federal Register notice, those requesting and qualifying for an exception to the electronic submission requirement may submit an application by mail, commercial carrier or by hand delivery.

If you want to apply for a grant and be considered for funding, you must meet the following deadline requirements:

Applications Submitted Electronically

You must submit your grant application through Grants.gov portal site (http://www.grants.gov) by 4:30:00 p.m. (Washington, D.C. time) on or before the deadline date. Applications received by Grants.gov are date and time stamped.

Submission of Paper Applications by Mail:

If you qualify for an exception to the electronic submission requirement, you may submit your application in paper format by mail (through the U.S. Postal Service or a commercial carrier), you must mail the original and two copies of your application, 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 84.334S)

LBJ Basement Level 1

400 Maryland Avenue, SW

Washington, DC 20202-4260

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.

(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.

(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.

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 84.334S)

550 12th Street, SW.

Room 7041, Potomac Center Plaza

Washington, DC 20202-4260

The Application Control Center accepts hand deliveries daily between 8:00 a.m. and 4:30:00 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--

(1) You must indicate on the envelope and--if not provided by the Department--in Item 11 of the SF 424 the CFDA number, including suffix letter, if any, of the competition under which you are submitting your application; and

(2) The Application Control Center will mail to you a notification of receipt of your grant application. If you do not receive this notification 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.

4000-01-U

DEPARTMENT OF EDUCATION

Applications for New Awards; Gaining Early Awareness and Readiness for Undergraduate Programs

AGENCY: Office of Postsecondary Education, Department of Education

ACTION: Notice.

Gaining Early Awareness and Readiness for Undergraduate Programs (GEAR UP)

Notice inviting applications for new awards for fiscal year (FY) 2011.

Catalog of Federal Domestic Assistance (CFDA) Number:

84.334S (State grants).

Dates:

Applications Available: [INSERT DATE OF PUBLICATION IN THE FEDERAL REGISTER].

Deadline for Transmittal of Applications: [INSERT DATE 30 DAYS AFTER DATE OF PUBLICATION IN THE FEDERAL REGISTER].

Deadline for Intergovernmental Review: [INSERT DATE 90 DAYS AFTER DATE OF PUBLICATION IN THE FEDERAL REGISTER].

Full Text of Announcement

I. Funding Opportunity Description

Purpose of Program: The GEAR UP Program is a discretionary grant program that provides financial support for academic and related support services that eligible low-income students, including students with disabilities, need to enable them to obtain a secondary school diploma and to prepare for and succeed in postsecondary education.

Priorities: This notice contains four competitive preference priorities and one invitational priority.

Background: The President has set a clear goal for our education system: By 2020, the United States will once again lead the world in college completion. To achieve this goal, the Department has consistently encouraged four key reforms to improve elementary and secondary education--in particular the Department is seeking to: improve the effectiveness of teachers and school leaders and promote equity in the distribution of effective teachers and school leaders; strengthen the use of data to improve teaching and learning; provide high-quality instruction based on rigorous college- and career-ready standards and measure students’ mastery of standards using high-quality assessments aligned with those standards; and turn around the lowest-performing schools.

The Department views the GEAR UP program as a critical component in the effort to improve the quality of secondary schools so that more students are well prepared for college and careers. In order to more strategically align GEAR UP with these overarching reform strategies for school improvement, the Department is announcing four competitive preference priorities for this competition. The Department also proposes one invitational priority for this competition.

We are using three priorities from the Department’s notice of final supplemental priorities and definitions for discretionary grant programs, published in the Federal Register on December 15, 2010 (75 FR 78486).

The Department is using Competitive Preference Priority 2--Turning Around Persistently Lowest-Achieving Schools because an essential element in strengthening our education system is dramatic improvement of student performance in each State's persistently lowest-achieving schools. These schools often require intensive interventions to improve the school culture and climate, strengthen the school staff and instructional program, increase student attendance and enrollment in advanced courses, provide more time for learning, and ensure that social services and community support are available for students in order to raise student achievement, graduation rates, and college enrollment rates. In addition, students in these schools can benefit from participating in programs, such as GEAR UP, that offer additional services designed to increase student success. The Department is interested in seeing strong plans to support improvements in student achievement and outcomes within these schools.

The Department is using Competitive Preference Priority 3--Enabling More Data-Based Decision-Making because the Department believes that the effective use of data for informed decision-making is essential to the continuous improvement of educational results. Specifically, this priority is for projects that are designed to provide educators, as well as families and other key stakeholders, with high-quality data and the capacity and training to use those data. The data may be used to respond to the learning and academic needs of students, increase student achievement (as defined in this notice), improve educator effectiveness, inform professional development practices and approaches, understand the culture and climate of their schools and institutions, and make informed decisions that increase overall program effectiveness. We believe that inclusion of this competitive preference priority is important because accurate, timely, relevant, and appropriate data are key to knowing what is working for students and what is not. Data can tell us which students are on track to college- and career-readiness and which students need additional support, which instructional strategies are working, which schools or institutions are successfully improving student learning and performance, and which teachers or faculty excel in increasing student achievement so that they can, for example, be given the opportunity to coach others or to lead communities of professional practice.

Finally, we are using Competitive Preference Priority 4--Implementing Internationally Benchmarked, College- and Career-Ready Elementary and Secondary Academic Standards because the Department believes that the adoption of common, internationally benchmarked, college- and career-ready academic standards for elementary and secondary school students is key to ensuring that high schools graduate students with the skills and knowledge that prepare them to enroll in postsecondary education without the need for remediation and to successfully earn a postsecondary credential. Holding students to college- and career-ready academic standards, and providing them with the instructional materials and support they need to meet those standards, is particularly important for the low-income students served by GEAR UP who otherwise would be less likely to be ready for and successful in postsecondary education. Therefore, the Department is giving priority to States that have adopted such standards and that are proposing projects that will support their implementation by, for example, providing assistance to local educational agencies in transitioning to these new standards and including assistance in developing and implementing high-quality instructional materials, assessments aligned with the standards, teacher and principal preparation and professional development programs, and other strategies that translate the standards into classroom practice. The Department would like to see GEAR UP State applicants develop plans that would help students in schools served by their GEAR UP projects in meeting these new standards.

Competitive Preference Priorities.  The first competitive preference priority is from section 404A(b)(3) of the Higher Education Act of 1965, as amended (20 U.S.C. 1070a-21) and the GEAR UP program regulations in 34 CFR 694.19. The remaining three competitive preference priorities are from the notice of final supplemental priorities and definitions for discretionary grant programs, published in the Federal Register on December 15, 2010 (75 FR 78486).  For FY 2011 and any subsequent year in which we make awards from the list of unfunded applicants from this competition, these priorities are competitive preference priorities. Under 34 CFR 75.105(c)(2)(i) we award up to an additional 12 points to an application, depending on how well the application meets each priority.

These priorities are:

Competitive Preference Priority 1--Successful completion of Prior GEAR UP Projects (Up to 2 additional points).

Consistent with section 404A(b)(3) of the Higher Education Act, as amended by the Higher Education Opportunity Act (Pub. L. 110-315)(HEA), and 34 CFR §694.19, the Secretary gives priority to an eligible applicant for a State GEAR UP grant that has both: (a) carried out a successful State GEAR UP grant prior to August 14, 2008, determined on the basis of data (including outcome data) submitted by the applicant as part of its annual and final performance reports, and the applicant’s history of compliance with applicable statutory and regulatory requirements; and (b) a prior, demonstrated commitment to early intervention leading to college access through collaboration and replication of successful strategies. Competitive Preference Priority 2--Turning Around Persistently Lowest-Achieving Schools (Up to 3 additional points).

Projects that are designed to address one or more of the following priority areas:

(a) Improving student achievement (as defined in this notice) in persistently lowest-achieving schools (as defined in this notice).

(b) Increasing graduation rates (as defined in this notice) and college enrollment rates for students in persistently lowest-achieving schools (as defined in this notice).

Note: States proposing to work in persistently lowest- achieving schools under this priority should consider providing a list of qualifying schools along with descriptions of the strategies that the State proposes to implement within these specific schools in order to improve one or more of the following: student achievement (as defined in this notice), graduation rates (as defined in this notice), or college enrollment rates.

Competitive Preference Priority 3--Enabling More Data-Based Decision-Making (Up to 3 additional points).

Projects that are designed to collect (or obtain), analyze, and use high-quality and timely data, including data on program participant outcomes, in accordance with privacy requirements (as defined in this notice), in one or more of the following priority areas:

(a) Improving instructional practices, policies, and student outcomes in elementary or secondary schools.

(b) Improving postsecondary student outcomes relating to enrollment, persistence, and completion and leading to career success.

(c) Providing reliable and comprehensive information on the implementation of Department of Education programs, and participant outcomes in these programs, by using data from State longitudinal data systems or by obtaining data from reliable third-party sources.

Note: Applicants proposing to use data to improve decision-making might want to consider demonstrating their ability to access the State’s longitudinal data system for reporting postsecondary student outcomes and student outcomes in elementary and secondary schools. Examples of other data-based activities could include using course-taking trend data to structure interventions tailored to keep students ‘on-track’ to graduate from high school and prepared for postsecondary education or using such data to develop early warning indicator systems designed to prevent students from dropping out.

Competitive Preference Priority 4--Implementing Internationally Benchmarked, College-and Career-Ready Elementary and Secondary Academic Standards (Up to 4 additional points).

Projects that are designed to support the implementation of internationally benchmarked, college- and career-ready academic standards held in common by multiple States and to improve instruction and learning, including projects in one or more of the following priority areas:

(a) The development or implementation of curriculum or instructional materials aligned with those standards.

(b) The development or implementation of professional development or preparation programs aligned with those standards.

(c) Strategies that translate the standards into classroom practice.

Note: We interpret the GEAR UP statute and applicable cost principles contained in U.S. Office of Management and Budget Circular A-87 as not authorizing a State grantee to use GEAR UP program funds to either develop the assessments or implement other activities in this priority unless doing so focuses only on the eligible students in local educational agencies (LEAs) participating in the State’s GEAR UP project. However, a State grantee may use Federal funds to help participating LEAs implement any part of the State’s or LEA’s strategies for meeting this competitive preference priority. Similarly, a State also may use GEAR UP program funds to assist LEAs that have received funding under the Investing in Innovation (i3) program to implement strategies and activities that align with State strategies for preparing eligible GEAR UP students to attend and succeed in postsecondary education. These strategies may include the development of graduation and career plans.

Invitational Priority: For FY 2011 and any subsequent year in which we make awards from the list of unfunded applicants from this competition, this priority is an invitational priority.  Under 34 CFR 75.105(c)(1), we do not give an application that meets this invitational priority a competitive or absolute preference over other applications.

This priority is:

Invitational Priority--Financial Access and College Savings Accounts.

Background:

Research indicates that students with savings accounts may be up to seven times more likely to attend college, even when controlling for other factors (Elliot, Jung, and Friedline, 2010: http://csd.wustl.edu/Publications/Documents/WP10-01.pdf).  Yet 25 percent of U.S. households (and 50 percent of Black and Hispanic households) are unbanked or underbanked, meaning that they either do not have a Federally-insured deposit account, or that they have an account but still rely on costly alternative financial services.  Young adults are disproportionately unbanked and underbanked (http://www.economicinclusion.gov/).  At the same time, a lack of financial literacy –- such as overestimating the price of college, not applying for Federal student aid, and taking private education loans before exhausting Federal loans -- is a major roadblock on the path to college access and success for too many students and families (http://www2.ed.gov/legislation/FedRegister/announcements/2010-3/072610c.html).  Partially as a result of these findings, the Secretary of Education and the Chairmen of the Federal Deposit Insurance Corporation and the National Credit Union Administration announced in November 2010 a new interagency agreement to increase partnerships among schools, financial institutions, and other stakeholders to help students gain access to deposit accounts, learn about money, and save for college.  The Department’s press statement on this partnership can be found at:

http://www.ed.gov/news/press-releases/fdic-and-ncua-chairs-join-education-secretary-announce-partnership-promote-finan and the Secretary’s recently recorded video encouraging participation at:  http://www.youtube.com/watch?v=uxOoXeOkh_w.

Section 404D(b) of the HEA expressly authorizes GEAR UP program grantees to design projects that promote participating students’ secondary school completion and enrollment in postsecondary education by means that include promotion of financial literacy and economic literacy education or counseling.  Accordingly, and in keeping with the goals of the new interagency agreement, the Secretary specifically invites applications that address the following invitational priority.

    

Invitational Priority:

The Secretary invites applications that propose, as part of their strategy for ensuring secondary school completion and postsecondary education enrollment of participating students, financial and economic literacy activities that include:

• Creation or enhancement of partnerships with financial institutions and/or other stakeholders that would (1) provide students with safe and affordable deposit accounts at Federally-insured banks or credit unions, or other safe, affordable, and appropriate financial services, and (2) evaluate the success of these partnerships in meeting this objective; and

• Creation of financial or other incentives to increase savings by GEAR UP students and families of participating GEAR UP students.

Definitions: These definitions are from the notice of final supplemental priorities and definitions for discretionary grant programs, published in the Federal Register on December 15, 2010 (75 FR 78486) and apply to the competitive preference priorities in this notice.

Graduation rate means a four-year adjusted cohort graduation rate consistent with 34 CFR 200.19(b)(1) and may also include an extended-year adjusted cohort graduation rate consistent with 34 CFR 200.19(b)(1)(v) if the State in which the proposed project is implemented has been approved by the Secretary to use such a rate under Title I of the Elementary and Secondary Education Act of 1965 (ESEA), as amended.

Persistently lowest-achieving schools means, as determined by the State: (i) Any Title I school in improvement, corrective action, or restructuring that (a) is among the lowest-achieving 5 percent of Title I schools in improvement, corrective action, or restructuring or the lowest-achieving five Title I schools in improvement, corrective action, or restructuring in the State, whichever number of schools is greater; or (b) is a high school that has had a graduation rate as defined in 34 CFR 200.19(b) that is less than 60 percent over a number of years; and (ii) any secondary school that is eligible for, but does not receive, Title I funds that: (a) is among the lowest-achieving 5 percent of secondary schools or the lowest-achieving five secondary schools in the State that are eligible for, but do not receive, Title I funds, whichever number of schools is greater; or (b) is a high school that has had a graduation rate as defined in 34 CFR 200.19(b) that is less than 60 percent over a number of years.

To identify the persistently lowest-achieving schools, a State must take into account both: (i) the academic achievement of the “all students” group in a school in terms of proficiency on the State’s assessments under section 1111(b)(3) of the ESEA in reading/language arts and mathematics combined; and (ii) the school’s lack of progress on those assessments over a number of years in the “all students” group.

Privacy requirements means the requirements of the Family Educational Rights and Privacy Act (FERPA), 20 U.S.C. 1232g, and its implementing regulations in 34 CFR part 99, the Privacy Act, 5 U.S.C. 552a, as well as all applicable Federal, State and local requirements regarding privacy.

Student achievement means--

(a) For tested grades and subjects: (1) a student’s score on the State’s assessments under the ESEA; and, as appropriate, (2) other measures of student learning, such as those described in paragraph (b) of this definition, provided they are rigorous and comparable across schools.

(b) For non-tested grades and subjects: alternative measures of student learning and performance, such as student scores on pre-tests and end-of-course tests; student performance on English language proficiency assessments; and other measures of student achievement that are rigorous and comparable across schools.

Program Authority: 20 U.S.C. 1070a-21 - 1070a-28.

Applicable Regulations: (a) The Education Department General Administrative Regulations (EDGAR) in 34 CFR parts 74, 75, 77, 79, 80, 81, 82, 84, 85, 86, 97, 98, and 99. (b) The regulations for this program in 34 CFR part 694.

(c) The notice of final supplemental priorities and definitions for discretionary grant programs, published in the Federal Register on December 15, 2010 (75 FR 78486). Note: The regulations in 34 CFR part 79 apply to all applicants except federally recognized Indian tribes.

Note: The regulations in 34 CFR part 86 apply to institutions of higher education (IHEs) only.

II. Award Information

Type of Award: Discretionary grants.

Estimated Available Funds: $72,802,000.

Contingent upon the availability of funds and the quality of applications, we may make additional awards in FY 2012 from the list of unfunded applicants from this competition.

Estimated Range of Awards: $500,000-$5,000,000.

Estimated Average Size of Awards: $4,850,000.

Maximum Award: We will reject any application for a State grant that proposes a budget exceeding $5,000,000 for a single budget period of 12 months. We also will reject any State grant application that proposes an increase in its budget after the first 12-month budget period. The Assistant Secretary for Postsecondary Education may change the maximum amounts through a notice published in the Federal Register.

Estimated Number of Awards: 15.

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

Project Period: Up to 84 months.

III. Eligibility Information

1. Eligible Applicants: States.

2. a. Cost Sharing or Matching: Section 404C(b) (1) of the HEA requires grantees under this program to provide from State, local, institutional, or private funds, not less than 50 percent of the cost of the program (or $1 of non-Federal funds for every $1 of Federal funds awarded), which may be provided in cash or in-kind. The provision also provides that the match may be accrued over the full duration of the grant award period, except that the grantee must make substantial progress toward meeting the matching requirement in each year of the grant award period.

b. Supplement-Not-Supplant: This program involves supplement-not-supplant funding requirements. Under section 404B(e) of the HEA, grant funds awarded under this program must be used to supplement, and not supplant, other Federal, State, and local funds that would otherwise be expended to carry out activities assisted under this program (20 U.S.C. 1070a-22).

3. Other: Under Section 404E(b)(1) of the HEA for State grants, a State must use not less than 25 percent and not more than 50 percent of the grant funds for activities targeted at the LEA level as described in section 404D (excluding the reservation of funds for postsecondary scholarships provided for in section 404D(a)(4) and with the remainder of grant funds spent on postsecondary scholarships to eligible GEAR UP students as described in section 404E. However, section 404E(b)(2), of the HEA permits The Secretary to allow a State to use more than 50 percent of grant funds received under this program for activities targeted at the LEA level if the State demonstrates in its grant application that it has another means of providing the students with the financial assistance described in section 404E.

IV. Application and Submission Information

1. Address to Request Application Package: You can obtain an application package via the Internet by downloading the package from the program Web site at: http://www.ed.gov/programs/gearup/index.html.

You also can request a copy of the application package from the following: Pariece Wilkins, Gaining Early Awareness and Readiness for Undergraduate Programs, U.S. Department of Education, 1990 K Street, NW., room 7025, Washington, DC 20006-8524. Telephone: (202) 219-7104 or by e-mail: [email protected].

If you use a telecommunications device for the deaf (TDD), call the Federal Relay Service (FRS), toll free, at 1-800-877-8339.

Individuals with disabilities can obtain a copy of the application package in an accessible format (e.g., braille, large print, audiotape, or computer diskette) by contacting the program contact person 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 for this program.

Page Limit: The application narrative is where you, the applicant, address the selection criteria that reviewers use to evaluate your application. You must limit the application narrative (Part II) to no more than 45 pages. However, if you choose to address the invitational priority and/or the competitive preference priorities, you must limit your discussion on the invitational priority to only 4 additional pages and discussion on the competitive preference priorities to only 20 additional pages above the 40-page narrative limitation. For purpose of determining compliance with the page limit, each page on which there are words will be counted as one full page. Applicant must use the following standards:

• A “page” is 8.5” x 11”, on one side only, with 1” margins at the top, bottom, and both sides.

• Double space (no more than three lines per vertical inch) all text in the application narrative, except titles, headings, footnotes, quotations, references, and captions, as well as all text in charts, tables, figures, and graphs.

• Use a font that is either 12-point or larger or no smaller than 10 pitch (characters per inch).

• Use one of the following fonts: Times New Roman, Courier, Courier New, or Arial. An application submitted in any other font (including Times Roman and Arial Narrow) will not be accepted.

The page limits do not apply to the cover sheet; the budget section, including the budget narrative and summary form; the assurances and certifications; or the one-page abstract.

We will reject your application if you exceed the page limit.

3. Submission Dates and Times:

Applications Available: [INSERT DATE OF PUBLICATION IN THE FEDERAL REGISTER].

Deadline for Transmittal of Applications: [INSERT DATE 30 DAYS AFTER PUBLICATION IN THE FEDERAL REGISTER].

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 in paper format by mail or hand delivery if you qualify for an exception to the electronic submission requirement, please refer to section IV.7. Other Submission Requirements of this notice.

We do not consider an application that does not comply with the deadline requirements.

Individuals with disabilities who need an accommodation or auxiliary aid in connection with the application process should contact the person listed under For Further Information Contact in section VII of this notice. If the Department provides an accommodation or auxiliary aid to an individual with a disability in connection with the application process, the individual’s application remains subject to all other requirements and limitations in this notice.

Deadline for Intergovernmental Review: [INSERT DATE 90 DAYS AFTER DATE OF PUBLICATION IN THE FEDERAL REGISTER].

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 regulations outlining funding restrictions in the Applicable Regulations section of this notice.

6. Data Universal Numbering System Number, Taxpayer Identification Number, and Central Contractor Registry: To do business with the Department of Education, you must--

a. Have a Data Universal Numbering System (DUNS) number and a Taxpayer Identification Number (TIN);

b. Register both your DUNS number and TIN with the Central Contractor Registry (CCR), the Government’s primary registrant database;

c. Provide your DUNS number and TIN on your application; and

d. Maintain an active CCR registration with current information while your application is under review by the Department and, if you are awarded a grant, during the project period.

You can obtain a DUNS number from Dun and Bradstreet. A DUNS number can be created within one business day.

If you are a corporate entity, agency, institution, or organization, you can obtain a TIN from the Internal Revenue Service. If you are an individual, you can obtain a TIN from the Internal Revenue Service or the Social Security Administration. If you need a new TIN, please allow 2-5 weeks for your TIN to become active.

The CCR registration process may take five or more business days to complete. If you are currently registered with the CCR, you may not need to make any changes. However, please make certain that the TIN associated with your DUNS number is correct. Also note that you will need to update your CCR registration on an annual basis. This may take three or more business days to complete.

In addition, if you are submitting your application via Grants.gov, you must (1) be designated by your organization as an Authorized Organization Representative (AOR); and (2) register yourself with Grants.gov as an AOR. Details on these steps are outlined in the Grants.gov 3-Step Registration Guide (see www.grants.gov/section910/Grants.govRegistrationBrochure.pdf).

7. 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 GEAR UP State Grant competition, CFDA number 84.334S must be submitted electronically using the Governmentwide Grants.gov Apply site at 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 GEAR UP State Grant competition at www.Grants.gov. You must search for the downloadable application package for this competition by the CFDA number. Do not include the CFDA number’s alpha suffix in your search (e.g., search for 84.326, not 84.326A).

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 date and time stamped. Your application must be fully uploaded and submitted and must be date and time stamped by the Grants.gov system no later than 4:30:00 p.m., Washington, DC time, on the application deadline date. Except as otherwise noted in this section, we will not accept your application if it is received--that is, date and time stamped by the Grants.gov system--after 4:30:00 p.m., Washington, DC time, on the application deadline date. We do not consider an application that does not comply with the deadline requirements. When we retrieve your application from Grants.gov, we will notify you if we are rejecting your application because it was date and time stamped by the Grants.gov system after 4:30:00 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 competition 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 under News and Events on the Department’s G5 system home page at http://www.G5.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 you typically provide on the following forms: the Application for Federal Assistance (SF 424), the Department of Education Supplemental Information for SF 424, Budget Information--Non-Construction Programs (ED 524), and all necessary assurances and certifications.

• You must upload any narrative sections and all other attachments to your application as files in a .PDF (Portable Document) format only. If you upload a file type other than a .PDF 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 from Grants.gov an automatic notification of receipt that contains a Grants.gov tracking number. (This notification indicates receipt by Grants.gov only, not receipt by the Department.) The Department then will retrieve your application from Grants.gov and send a second notification to you by e-mail. This second notification indicates that the Department has received your application and has assigned your application 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 experiencing problems submitting your application through Grants.gov, please contact the Grants.gov Support Desk, toll free, at 1-800-518-4726. You must obtain a Grants.gov Support Desk Case Number and must keep a record of it.

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 4:30:00 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 described elsewhere in this notice.

If you submit an application after 4:30:00 p.m., Washington, DC time, on the application deadline date, please contact the person listed under For Further Information Contact in section VII of this notice and provide an explanation of the technical problem you experienced with Grants.gov, along with the Grants.gov Support Desk Case Number. 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 4:30:00 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: The extensions to which we refer 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 application 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: Pariece Wilkins, U.S. Department of Education, 1990 K Street, NW., room 7025, Washington, DC 20006-8524. FAX: (202) 219-7074.

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 following address:

U.S. Department of Education

Application Control Center

Attention: (CFDA Number 84.334S)

LBJ Basement Level 1

400 Maryland Avenue, SW.

Washington, DC 20202-4260

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.

(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.

(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 84.334S)

550 12th Street, SW.

Room 7041, Potomac Center Plaza

Washington, DC 20202-4260

The Application Control Center accepts hand deliveries daily between 8:00 a.m. and 4:30:00 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--

(1) You must indicate on the envelope and--if not provided by the Department--in Item 11 of the SF 424 the CFDA number, including suffix letter, if any, of the competition under which you are submitting your application; and

(2) The Application Control Center will mail to you a notification of receipt of your grant application. If you do not receive this notification 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 75.210 of EDGAR and are listed in the application package.

2. Review and Selection Process: We remind potential applicants that in reviewing applications in any discretionary grant competition, the Secretary may consider, under 34 CFR 75.217(d)(3), the past performance of the applicant in carrying out a previous award, such as the applicant’s use of funds, achievement of project objectives, and compliance with grant conditions. The Secretary may also consider whether the applicant failed to submit a timely performance report or submitted a report of unacceptable quality.

In addition, in making a competitive grant award, the Secretary also requires various assurances including those applicable to Federal civil rights laws that prohibit discrimination in programs or activities receiving Federal financial assistance from the Department of Education (34 CFR 100.4, 104.5, 106.4, 108.8, and 110.23).

3. Special Conditions: Under 34 CFR 74.14 and 80.12, the Secretary may impose special conditions on a grant if the applicant or grantee is not financially stable; has a history of unsatisfactory performance; has a financial or other management system that does not meet the standards in 34 CFR parts 74 or 80, as applicable; has not fulfilled the conditions of a prior grant; or is otherwise not responsible.

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 notify you informally, also.

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: (a) If you apply for a grant under this competition, you must ensure that you have in place the necessary processes and systems to comply with the reporting requirements in 2 CFR part 170 should you receive funding under the competition. This does not apply if you have an exception under 2 CFR 170.110(b).

(b) 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 directed by the Secretary under 34 CFR 75.118. The Secretary may also require more frequent performance reports under 34 CFR 75.720(c). For specific requirements on reporting, please go to www.ed.gov/fund/grant/apply/appforms/appforms.html.

4. Performance Measures: The objectives of the GEAR UP Program are--(1) to increase the academic performance and preparation for postsecondary education of participating students; (2) to increase the rate of high school graduation and participation in postsecondary education of participating students; and (3) to increase educational expectations for participating students and student and family knowledge of postsecondary education options, preparation, and financing.

The effectiveness of this program depends on the rate at which program participants complete high school and enroll in and complete a postsecondary education. Under the Government Performance and Results Act of 1993 (GPRA), we developed the following performance measures to track progress toward achieving the program’s goals:

1. The percentage of GEAR UP students who pass Pre-algebra by the end of 8^th grade.

2. The percentage of GEAR UP students who pass Algebra 1 by the end of 9th grade.

3. The percentage of GEAR UP students who take two years of mathematics beyond Algebra 1 by the 12^th grade.

4. The percentage of GEAR UP students who graduate from high school.

Note: For each GEAR UP project, the high school graduation rate is defined in the State’s approved accountability plan under Part A of Title I of ESEA.

5. The percentage of GEAR UP students and former GEAR UP students who are enrolled in college.

6. The percentage of GEAR UP students who place into college-level Math and English without need for remediation.

7. The percentage of current GEAR UP students and former GEAR UP students enrolled in college who are

on track to graduate college.

8. The percentage of students and parents of GEAR UP students who demonstrate knowledge of available financial aid and the costs and benefits of pursuing postsecondary education.

Note: The Department will ask grantees to track and report on Free Application for Federal Student Aid (FAFSA) completion, and will update the survey currently used by grantees to assess knowledge of financial aid and the costs and benefits of pursuing postsecondary education.

9. The percentage of GEAR UP students who have knowledge of, and demonstrate, necessary academic preparation for college.

Note: This measure will be calculated using factors such as the percentage of GEAR UP students on track for graduation at the end of each grade, the percentage of GEAR UP students who complete the PLAN or PSAT by the end of the 10^th grade, the percentage of GEAR UP students who complete the SAT or ACT by the end of 11^th grade, and the percentage of GEAR UP students who have an unweighted grade point average (GPA) of at least 3.0 on a 4-point scale by the end of the 11^th grade.

10. The percentage of parents of GEAR UP students who actively engage in activities associated with assisting students in their academic preparation for college.

In addition, to assess the efficiency of the program, we track the average cost in Federal funds, of achieving a successful outcome, where success is defined as enrollment in postsecondary education of GEAR UP students immediately after high school graduation. These performance measures constitute GEAR UP’s indicators of the success of the program. Grant recipients must collect and report data on steps they have taken toward achieving these goals. Accordingly, we request that applicants include these performance measures in conceptualizing the design, implementation, and evaluation of their proposed projects.

5. Continuation Awards: In making a continuation award, the Secretary may consider, under 34 CFR 75.253, the extent to which a grantee has made “substantial progress toward meeting the objectives in its approved application.” This consideration includes the review of a grantee’s progress in meeting the targets and projected outcomes in its approved application, and whether the grantee has expended funds in a manner that is consistent with its approved application and budget. In making a continuation grant, the Secretary also considers whether the grantee is operating in compliance with the assurances in its approved application, including those applicable to Federal civil rights laws that prohibit discrimination in programs or activities receiving Federal financial assistance from the Department (34 CFR 100.4, 104.5, 106.4, 108.8, and 110.23).

VII. Agency Contact

For Further Information Contact: Pariece Wilkins, Gaining Early Awareness and Readiness for Undergraduate Programs, U.S. Department of Education, 1990 K Street, NW., room 7025, Washington, DC 20006-8524. Telephone: (202) 219-7104 or by e-mail: [email protected].

If you use a TDD, call the FRS, toll free, at 1-800-877-8339.

VIII. Other Information

Accessible Format: Individuals with disabilities can obtain this document and a copy of the application package in an accessible format (e.g., braille, large print, audiotape, or computer diskette) on request to the program contact person listed under For Further Information Contact in section VII of this notice.

Electronic Access to This Document: 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 via the Federal Digital System at: www.gpo.gov/fdsys. At this site you can 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). To use PDF you must have Adobe Acrobat Reader, which is available free at this site.

Dated:

_________________________________

Eduardo M. Ochoa,

Assistant Secretary for

Postsecondary Education.

THE HIGHER EDUCATION ACT OF 1965, as amended

Subpart 2 – Federal Early Outreach and Student Services Programs

CHAPTER 2- GAINING EARLY AWARENESS AND READINESS FOR UNDERGRADUATE PROGRAMS

SEC.404A. [20 U.S.C. 1070a-21] EARLY INTERVENTION AND COLLEGE AWARENESS PROGRAM AUTHORIZED.

(a) PROGRAM AUTHORIZED.-The Secretary is authorized, in accordance with the requirements of this chapter, to establish a program that-

encourages eligible entities to provide support, and maintain a commitment, to eligible low-income students, including students with disabilities, to assist the students in obtaining a secondary school diploma (or its recognized equivalent), and to prepare for and succeed in postsecondary education, by providing-

1. financial assistance, academic support, additional counseling, mentoring, outreach,

and supportive services to elementary school students, including students with disabilities, to reduce—

1. the risk of such students dropping out of school; or

(B) the need for remedial education for such students at the postsecondary level;

and

2. information to students and their families about the advantages of obtaining a

postsecondary education and, college financing options for the students and their families.

(b) AWARDS.-

(1) IN GENERAL.-From funds appropriated under section 404H for each fiscal year, the Secretary shall make awards to eligible entities described in paragraphs (1) and (2) of subsection (c) to enable the entities to carry out the program authorized under subsection (a).

(2) AWARD PERIOD.-The Secretary may award a grant under this chapter to an eligible entity described in paragraphs (1) and (2) of subsection (c) for-

(A) six years; or

(B) in the case of an eligible entity that applies for a grant under this chapter for seven years to enable to eligible entity to provide services to a student through the student’s first year of attendance at an institution of higher education, seven years.

(3) PRIORITY.-In making awards to eligible entities described in paragraph (c)(1), the Secretary shall-

(A) give priority to eligible entities that-

(i) on the day before the date of enactment of the Higher Education

Opportunity Act, carried out successful educational opportunity programs under this chapter (as this chapter was in effect on such day); and

(ii) have a prior, demonstrated commitment to early intervention leading

to college access through collaboration and replication of successful strategies; and

2. ensure that students served under this chapter on the day before the date of

enactment of the Higher Education Opportunity Act continue to receive assistance through the completion of secondary school.

(c) DEFINITION OF ELIGIBLE ENTITY.-For the purpose of this chapter, the term “eligible entity” means-

(1) a State; or

(2) a partnership-

(A) consisting of –

(i) one or more local educational agencies; and

(ii) one or more degree granting institutions of higher education; and

2. which may include not less than two other community organizations or

entities, such as businesses, professional organizations, state agencies, institutions or agencies sponsoring programs authorized under subpart 4, or other public or private agencies or organizations.

SEC. 404B. [20 U.S.C. 1070a-22] REQUIREMENTS.

(a) FUNDING RULES.-

In awarding grants from the amount appropriated under section 404H for a fiscal year,

the Secretary shall-

make available-

1. to eligible entities described in section 404A(c)(1), not less than 33 percent of

such amount

(2) to eligible entities described in section 404A(c)(2), not less than 33 percent of such amount and

(3) to eligible entities described in paragraph (1) or (2) of section 404A(c), the remainder of such amount taking into consideration the number, quality, and promise of the applications for the grants, and to the extent practicable-

(A) the geographic distribution of such grant awards; and

(B) the distribution of such grant awards between urban and rural applicants.

(b) COORDINATION.-Each eligible entity shall ensure that the activities assisted under this chapter are, to the extent practicable, coordinated with, and complement and enhance-

(1) services under this chapter provided by other eligible entities serving the same school district or State; and

(2) related services under other Federal or non-Federal programs.

(c) DESIGNATION OF FISCAL AGENT.-An eligible entity described in section 404A(c)(2) shall designate an institution of higher education or a local educational agency as the fiscal agent for the eligible entity.

(d) COHORT APPROACH.-

(1) IN GENERAL.- The Secretary shall require that eligible entities described in section 404A(c)(2)-

(A) provide services under this chapter to at least one grade level of students, beginning not later than 7^th grade, in a participating school that has a 7^th grade and in which at least 50 percent of the students enrolled are eligible for free or reduced-price lunch under the Richard B. Russell National School Lunch Act (or, if an eligible entity determines that it would promote the effectiveness of a program, an entire grade level of students, beginning not later than the 7^th grade, who reside in public housing as defined in section 3(b)(1) of the United States Housing Act of 1937);

(B) ensure that the services are provided through the 12^th grade to students in the participating grade level and provide the option of continued services through the student’s first year of attendance at an institution of higher education to the extent the provision of such services was described in the eligible entity’s application for assistance under this chapter and

(C) provide services under this chapter to students who have received services under a previous GEAR UP grant award but have not yet completed the 12^th grade.

(2) COORDINATION REQUIREMENT.-In order for the Secretary to require the cohort approach described in paragraph (1), the Secretary shall, where applicable, ensure that the cohort approach is done in coordination and collaboration with existing early intervention programs and does not duplicate the services already provided to a school or community.

(e) SUPPLEMENT, NOT SUPPLANT.- Grant funds awarded under this chapter shall be used to supplement, and not supplant, other Federal, State, and local funds that would otherwise be expended to carry out activities assisted under this chapter.

SEC.404C. [20 U.S.C. 1070a-23] APPLICATIONS.

(a) APPLICATION REQUIRED FOR ELIGIBILITY.-

(1) IN GENERAL.-In order for an eligible entity to qualify for a grant under this chapter, the eligible entity shall submit to the Secretary an application for carrying out the program under this chapter.

(2) CONTENTS.-Each application submitted pursuant to paragraph (1) shall be in such form, contain or be a accompanied by such information or assurances, and be submitted at such time as the Secretary may require by regulation. Each such application shall, at a minimum-

(A) describe the activities for which assistance under this chapter is sought, including how the eligible entity will carry out the required activities described in section 404D(a);

(B) describe, in the case of an eligible entity described in section 404A(c)(2) that chooses to provide scholarships, or an eligible entity described in section 404A(c)(1), how the eligible entity will meet the requirements of section 404E;

(C) describe, in the case of an eligible entity described in section 404A(c)(2) that requests a reduced match percentage under subsection (b)(2), how such reduction will assist the entity to provide the scholarships described in subsection (b)(2)(A)(ii);

(D) provide assurances that adequate administrative and support staff will be responsible for coordinating the activities described in section 404D;

(E) provide assurances that activities assisted under this chapter will not displace an employee or eliminate a position at a school assisted under this chapter, including a partial displacement such as a reduction in hours, wages, or employment benefits;

(F) described, in the case of an eligible entity described in section 404A(c)(1) that chooses to use a cohort approach, or an eligible entity described in section 404A(c)(2), how the eligible entity will define the cohorts of the students served by the eligible entity pursuant to section 404B(d), and how the eligible entity will serve the cohorts through grade 12, including-

(i) how vacancies in the program under this chapter will be filled; and

(ii) how the eligible entity will serve students attending different secondary schools;

(G) describe how the eligible entity will coordinate programs under this chapter

with other existing Federal, State, or local programs to avoid duplication and maximize the number of students served;

(H) provide such additional assurances as the Secretary determines necessary to ensure compliance with the requirements of this chapter;

(I) provide information about the activities that will be carried out by the eligible entity to support systemic changes from which future cohorts of students will benefit; and

(J) described the sources of matching funds that will enable the eligible entity to meet the matching requirements described in subsection (b).

(b) MATCHING REQUIREMENT.-

(1) IN GENERAL.-The Secretary shall not approve an application submitted under subsection (a) unless such application-

(A) provides that the eligible entity will provide, from State, local, institutional,

or private funds, not less than 50 percent of the cost of the program, which matching funds may be provided in cash or in kind and may be accrued over the full duration of the grant award period, except that the eligible entity shall make substantial progress towards meeting the matching requirement in each year of the grant award period;

(B) specifies the methods by which matching funds will be paid; and

(C) includes provisions designed to ensure that funds provided under this chapter shall supplement and not supplant funds expended for existing programs.

(2) SPECIAL RULE.-Notwithstanding the matching requirement described in paragraph (1)(A), the Secretary may by regulation modify the percentage requirement described in paragraph (1)(A) for eligible entities described in section 404A(c)(2). The Secretary may approve an eligible entity’s request for a reduced match percentage-

(A) at the time of application-

(i) if the eligible entity demonstrates significant economic hardship that

precludes the eligible entity from meeting the matching requirement; or

(ii) if the eligible entity is described in section 404A(c)(2) and requests

that contributions to the eligible entity’s scholarship fund established under section 404E be matched on a two to one basis; or

(B) in response to a petition by an eligible entity subsequent to a grant award

under this section if the eligible entity demonstrates that the matching funds described in its application are no longer available and the eligible entity has exhausted all revenues for replacing such matching funds.

(c) METHODS FOR COMPLYING WITH MATCHING REQUIREMENT.-An eligible entity may count toward the matching requirement described in subsection (b)(1)(A)-

(1) the amount of the financial assistance obligated to students from State, local, institutional, or private funds under this chapter, including pre-existing non-Federal financial assistance programs, including-

(A) the amount contributed to a student scholarship fund established under section 404E; and

(B) the amount of the costs of administering the scholarship program under section 404E;

(2) the amount of tuition, fees, room or board waived or reduced for recipients of financial assistance under this chapter;

(3) the amount expended on documented, targeted, long-term mentoring and counseling provided by volunteers or paid staff of non-school organizations, including businesses, religious organizations, community groups, postsecondary educational institutions, nonprofit and philanthropic organizations, and other organizations; and

(4) other resources recognized by the Secretary, including equipment and supplies, cash contributions from non-Federal sources, transportation expenses, in-kind or discounted program services, indirect costs, and facility usage.

(d) PEER REVIEW PANEL.- The Secretary shall convene peer review panels to assist in making determinations regarding the awarding of grants under this chapter.

SEC.404D. [20 U.S.C. 1070a-24] ACTIVITIES.

(a) REQUIRED ACTIVITIES.- Each eligible entity receiving a grant under this chapter shall provide comprehensive mentoring, outreach, and supportive services to students participating in the programs under this chapter. Such activities shall include the following:

(1) providing information regarding financial aid for postsecondary education to participating students in the cohort described in section 404B(d)(1)(A) or to priority students described in subsection (d).

(2) encouraging student enrollment in rigorous and challenging curricula and coursework, in order to reduce the need for remedial coursework at the postsecondary level.

(3) improving the number of participating students who-

(A) obtain a secondary school diploma; and

(B) complete applications for and enroll in a program of postsecondary education.

(4) in the case of an eligible entity described in section 404A(c)(1), providing for the scholarships described in section 404E.

(b) PERMISSIBLE ACTIVITIES FOR STATES AND PARTNERSHIPS.- An eligible entity that receives a grant under this chapter may use grant funds to carry out one or more of the following activities:

(1) providing tutors and mentors, who may include adults or former participants of a program under this chapter, for eligible students.

(2) conducting outreach activities to recruit priority students described in subsection (d) to participate in program activities.

(3) providing supportive services to eligible students.

(4) supporting the development or implementation of rigorous academic curricula, which may include college preparatory, Advanced Placement, or International Baccalaureate programs, and providing participating students access to rigorous core academic courses that reflect challenging State academic standards.

(5) supporting dual or concurrent enrollment programs between the secondary school and institution of higher education partners of an eligible entity described in section 404A(c)(2), and other activities that support participating students in-

(A) meeting challenging State academic standards;

(B) successfully applying for postsecondary education;

(C) successfully applying for student financial aid; and

(D) developing graduation and career plans.

(6) providing special programs or tutoring in science, technology, engineering, or mathematics.

(7) in the case of an eligible entity described in section 404A(c)(2), providing support for scholarships described in section 404E.

(8) introducing eligible students to institutions of higher education, through trips and school-based sessions.

(9) providing an intensive extended school day, school year, or summer program that offers-

(A) additional academic classes; or

(B) assistance with college admission applications.

(10) providing other activities designed to ensure secondary school completion and postsecondary education enrollment of at-risk children, such as-

(A) the identification of at-risk children;

(B) after-school and summer tutoring;

(C) assistance to at-risk children in obtaining summer jobs;

(D) academic counseling;

(E) financial literacy and economic literacy education or counseling;

(F) volunteer and parent involvement;

(G) encouraging former or current participants of a program under this chapter to serve as peer counselors;

(H) skills assessments;

(I) personal and family counseling, and home visits;

(J) staff development; and

(K) programs and activities described in this subsection that are specially designed for students who are limited English proficient.

(11) enabling eligible students to enroll in Advanced Placement or International

Baccalaureate courses, or college entrance examination preparation courses.

(12) providing services to eligible students in the participating cohort described in section

404B(d)(1)(A), through the first year of attendance at an institution of higher education.

(13) fostering and improving parent and family involvement in elementary and secondary

education by promoting the advantages of a college education, and emphasizing academic admission requirements and the need to take college preparation courses, through parent engagement and leadership activities.

(14) disseminating information that promotes the importance of higher education, explains college preparation and admission requirements, and raises awareness of the resources and services provided by the eligible entities to eligible students, their families, and communities.

(15) in the event that matching funds described in the application are no longer available, engaging entities described in section 404A(c)(2) in a collaborative manner to provide matching resources and participate in other activities authorized under this section.

(c) ADDITIONAL PERMISSIBLE ACTIVITIES FOR STATES.- In addition to the required activities described in subsection (a) and the permissible activities described in subsection (b), an eligible entity described in section 404A(c)(1) receiving funds under this chapter may use grant funds to carry out one or more of the following activities:

(1) providing technical assistance to-

(A) secondary schools that are located within the State; or

(B) partnerships described in section 404A(c)(2) that are located within the State.

(2) providing professional development opportunities to individuals working with eligible cohorts of students described in section 404B(d)(1)(A).

(3) providing administrative support to help build the capacity of eligible entities described in section 404A(c)(2) to compete for and manage grants awarded under this chapter.

(4) providing strategies and activities that align efforts in the State to prepare eligible students to attend and succeed in postsecondary education, which may include the development of graduation and career plans.

(5) disseminating information on the use of scientifically valid research and best practices to improve services for eligible students.

(6)(A) disseminating information on effective coursework and support services that assist students in obtaining the goals described in subparagraph (B)(ii).

(B) identifying and disseminating information on best practices with respect to-

(i) increasing parental involvement; and

(ii) preparing students, including students with disabilities and students who are limited English proficient, to succeed academically in, and prepare financially for, postsecondary education.

(7) working to align State academic standards and curricula with the expectations of

postsecondary institutions and employers.

(8) developing alternatives to traditional secondary school that give students a head start

on attaining a recognized postsecondary credential (including an industry-recognized certificate, an apprenticeship, or an associate’s or a bachelor’s degree), including school designs that give students early exposure to college-level courses and experiences and allow students to earn transferable college credits or an associate’s degree at the same time as a secondary school diploma.

(9) creating community college programs for drop-outs that are personalized drop-out recovery programs that allow drop-outs to complete a regular secondary school diploma and begin college-level work.

(d) PRIORITY STUDENTS.- For eligible entities not using a cohort approach, the eligible entity shall treat as a priority student any student in secondary school who is:

(1) eligible to be counted under section 1124(c) of the Elementary and Secondary Education Act of 1965;

(2) eligible for assistance under a state program funded under part A or E of title IV of the Social Security Act (42 U.S.C. 601 et seq., 670 et seq.);

(3) eligible for assistance under subtitle B of title VII of the McKinney-Vento Homeless Assistance Act (42 U.S.C. 11431 et seq.); or

(4) otherwise considered by the eligible entity to be a disconnected student.

(e) ALLOWABLE PROVIDERS.- In the case of eligible entities described in section 404A(c)(1), the activities required by this section may be provided by service providers such as community-based organizations, schools, institutions of higher education, public and private agencies, nonprofit and philanthropic organizations, businesses, institutions and agencies sponsoring programs authorized under subpart 4, and other organizations the State deems appropriate.

SEC. 404E. [20 U.S.C. 1070a-25] SCHOLARSHIP COMPONENT.

(a) IN GENERAL.-

(1) STATES.- In order to receive a grant under this chapter, an eligible entity described in section 404A(c)(1) shall establish or maintain a financial assistance program that awards scholarships to students in accordance with the requirements of this section. The Secretary shall encourage the eligible entity to ensure that a scholarship provided pursuant to this section is available to an eligible student for use at any institution of higher education.

(2) PARTNERSHIPS.- An eligible entity described in section 404A(c)(2) may award scholarships to eligible students in accordance with the requirements of this section.

(b) LIMITATION.-

(1) IN GENERAL.- Subject to paragraph (2), each eligible entity described in section 404A(c)(1) that receives a grant under this chapter shall use not less than 25 percent and not more than 50 percent of the grant funds for activities described in section 404D (except for the activity described in subsection (a)(4) of such section), with the remainder of such funds to be used for a scholarship program under this section in accordance with such subsection.

(2) EXCEPTION.- Notwithstanding paragraph (1), the Secretary may allow an eligible entity to use more than 50 percent of grant funds received under this chapter for such activities, if the eligible entity demonstrates that the eligible entity has another means of providing the students with the financial assistance described in this section and describes such means in the application submitted under section 404C.

(c) NOTIFICATION OF ELIGIBILITY.- Each eligible entity providing scholarships under this section shall provide information on the eligibility requirements for the scholarships to all participating students upon the students’ entry into the programs assisted under this chapter.

(d) GRANT AMOUNTS.- The maximum amount of a scholarship that an eligible student shall be eligible to receive under this section shall be established by the eligible entity. The minimum amount of the scholarship for each fiscal year shall not be less than the minimum Federal Pell Grant award under section 401 for such award year.

(e) PORTABILITY OF ASSISTANCE.-

(1) IN GENERAL.- Each eligible entity described in section 404A(c)(1) that receives a grant under this chapter shall hold in reserve, for the students served by such grant as described in section 404B(d)(1)(A) or 404D(d), an amount that is not less than the minimum scholarship amount described in subsection (d), multiplied by the number of students the eligible entity estimates will meet the requirements of paragraph (2).

(2) REQUIREMENT FOR PORTABILITY.-Funds held in reserved under paragraph (1) shall be made available to an eligible student when the eligible student has-

(A) completed a secondary school diploma, its recognized equivalent, or another

recognized alternative standard for individuals with disabilities; and

(B) enrolled in an institution of higher education.

(3) QUALIFIED EDUCATIONAL EXPENSES.- Funds available to an eligible student under this subsection may be used for-

(A) tuition, fees, books, supplies, and equipment required for the enrollment or attendance of the eligible student at an institution of higher education; and

(B) in the case of eligible student with special needs, expenses for special needs services that are incurred in connection with such enrollment or attendance.

(4) RETURN OF FUNDS.-

(A) REDISTRIBUTION.-

(i) IN GENERAL.-Funds held in reserve under paragraph (1) that are not used by an eligible student within six years of the student’s scheduled completion of secondary school may be redistributed by the eligible entity to other eligible students.

(ii) RETURN OF EXCESS TO THE SECRETARY.-If, after meeting the requirements of paragraph (1) and, if applicable, redistributing excess funds in accordance with clause (i) of this subparagraph, an eligible entity has funds held in reserve under paragraph (1) that remain available, the eligible entity shall return such remaining reserved funds to the Secretary for distribution to other grantees under this chapter in accordance with the funding rules described in section 404B(a).

(B) NONPARTICIPATING ENTITY.- Notwithstanding subparagraph (A), in the

case of an eligible entity that does not receive assistance under this subpart for six fiscal years, the eligible entity shall return any funds held in reserve under paragraph (1) that are not awarded or obligated to eligible students to the Secretary for distribution to other grantees under this chapter.

(f) RELATION TO OTHER ASSISTANCE.-Scholarships provided under this section shall not be considered for the purpose of awarding Federal grant assistance under this title, except that in no case shall the total amount of student financial assistance awarded to a student under this title exceed such student’s total cost of attendance.

(g) ELIGIBLE STUDENTS.- A student eligible for assistance under this section is a student who-

(1) is less than 22 years old at time of first scholarship award under this section;

(2) receives a secondary school diploma or its recognized equivalent on or after January 1, 1993;

(3) is enrolled or accepted for enrollment in a program of undergraduate instruction at an institution of higher education that is located within the State’s boundaries, except that, at the State’s option, an eligible entity may offer scholarship program portability for recipients who attend instructions of higher education outside such State; and

(4) who participated in the activities required under section 404D(a).

SEC. 404F. [(20 U.S.C. 1070a-26] 21^ST CENTURY SCHOLAR CERTIFICATES.

(a) IN GENERAL.-An eligible entity that receives a grant under this chapter shall provide certificates, to be known as 21^st Century Scholar Certificates, to all students served by the eligible entity who are participating in a program under this chapter.

(b) INFORMATION REQUIRED.-A 21^st Century Scholar Certificate shall be personalized for each student and indicate the amount of Federal financial aid for college and the estimated amount of any scholarship provided under section 404E, if applicable, that a student may be eligible to receive.

SEC.404G. [20 U.S.C. 1070a-27] EVALUATION AND REPORT.

(a) EVALUATION.-Each eligible entity receiving a grant under this chapter shall biennially evaluate the activities assisted under this chapter in accordance with the standards described in subsection (b) and shall submit to the Secretary a copy of such evaluation. The evaluation shall permit service providers to track eligible student progress during the period such students are participating in the activities and shall be consistent with standards developed by the Secretary pursuant to subsection (b).

(b) EVALUATION STANDARDS.-The Secretary shall prescribe standards for the evaluation described in subsection (a). Such standards shall-

(1) provide or input from eligible entities and service providers; and

(2) ensure that data protocols and procedures are consistent and uniform.

(c) FEDERAL EVALUATION.-In order to evaluate and improve the impact of the activities assisted under this chapter, the Secretary shall, from not more than 0.75 percent of the funds appropriated under section 404H for a fiscal year, award one or more grants, contracts, or cooperative agreements to or with public and private institutions and organizations, to enable the institutions and organizations to evaluate the effectiveness of the program and, as appropriate, disseminate the results of the evaluation. Such evaluation shall include a separate analysis of-

(1) the implementation of the scholarship component described in section 404E; and

(2) the use of methods for complying with matching requirements described in paragraphs (1) and (2) of section 404C(c).

(d) REPORT. –The Secretary shall biennially report to Congress regarding the activities assisted under this chapter and the evaluations conducted pursuant to this section.

SEC. 404H [20 U.S.C. 1070a-28] AUTHORIZATION OF APPROPRIATIONS.

There are authorized to be appropriated to carry out this chapter $400,000,000 for fiscal year 2009 and such sums as may be necessary for each of the five succeeding fiscal years.

GEAR UP PROGRAM REGULATIONS

PART 694--GAINING EARLY AWARENESS AND READINESS FOR UNDERGRADUATE PROGRAMS (GEAR UP)

120. The authority citation for part 694 continues to read as follows:

Authority: 20 U.S.C. 1070a-21 to 1070a-28.

121. Section 694.1 is amended by revising paragraph (a), introductory text to read as follows:

§694.1 What is the maximum amount that the Secretary may award each fiscal year to a Partnership or a State under this program?

(a) Partnership grants. The Secretary may establish the maximum amount that may be awarded each fiscal year for a GEAR UP Partnership grant in a notice published in the Federal Register. The maximum amount for which a Partnership may apply may not exceed the lesser of the maximum amount established by the Secretary, if applicable, or the amount calculated by multiplying--

* * * * *

122. Section 694.4 is amended by revising paragraph (b)(2) to read as follows:

§694.4 Which students must a State or Partnership serve when there are changes in the cohort?

* * * * *

(b) * * *

(2) Must continue to provide GEAR UP services to at least those students in the cohort who attend one or more participating schools that together enroll a substantial majority of the students in the cohort.

* * * * *

123. Section 694.7 is revised to read as follows:

§694.7 What are the matching requirements for a GEAR UP grant?

(a) In order to be eligible for GEAR UP funding--

(1) An applicant must state in its application the percentage of the cost of the GEAR UP project the applicant will provide for each year from non-Federal funds, subject to the requirements in paragraph (b) of this section; and

(2) A grantee must make substantial progress towards meeting the matching percentage stated in its approved application for each year of the project period.

(b) Except as provided in §§694.8 and 694.9, the non-Federal share of the cost of the GEAR UP project must be not less than 50 percent of the total cost of the project (i.e., one dollar of non-Federal contributions for every one dollar of Federal funds obligated for the project) over the project period.

(c) The non-Federal share of the cost of a GEAR UP project may be provided in cash or in-kind.

(Authority: 20 U.S.C. 1070a-23)

124. Part 694 is amended by redesignating §§694.8, 694.9, 694.10, 694.11, 694.12, 694.13, and 694.15 as follows:

Old Section	New Section
§694.8	§694.10
§694.9	§694.11
§694.10	§694.13
§694.11	§694.15
§694.12	§694.17
§694.13	§694.18
§694.15	§694.19

125. New §694.8 is added to read as follows:

§694.8 Under what conditions may the Secretary approve a request from a Partnership applying for a GEAR UP grant to waive a portion of the matching requirement?

(a) The Secretary may approve a Partnership applicant’s request for a waiver of up to 75 percent of the matching requirement for up to two years if the applicant demonstrates in its application a significant economic hardship that stems from a specific, exceptional, or uncontrollable event, such as a natural disaster, that has a devastating effect on the members of the Partnership and the community in which the project would operate.

(b)(1) The Secretary may approve a Partnership applicant’s request to waive up to 50 percent of the matching requirement for up to two years if the applicant demonstrates in its application a pre-existing and an on-going significant economic hardship that precludes the applicant from meeting its matching requirement.

(2) In determining whether an applicant is experiencing an on-going economic hardship that is significant enough to justify a waiver under this paragraph, the Secretary considers documentation of such factors as:

(i) Severe distress in the local economy of the community to be served by the grant (e.g., there are few employers in the local area, large employers have left the local area, or significant reductions in employment in the local area).

(ii) Local unemployment rates that are higher than the national average.

(iii) Low or decreasing revenues for State and County governments in the area to be served by the grant.

(iv) Significant reductions in the budgets of institutions of higher education that are participating in the grant.

(v) Other data that reflect a significant economic hardship for the geographical area served by the applicant.

(3) At the time of application, the Secretary may provide tentative approval of an applicant’s request for a waiver under paragraph (b)(1) of this section for all remaining years of the project period. Grantees that receive tentative approval of a waiver for more than two years under this paragraph must submit to the Secretary every two years by such time as the Secretary may direct documentation that demonstrates that--

(i) The significant economic hardship upon which the waiver was granted still exists; and

(ii) The grantee tried diligently, but unsuccessfully, to obtain contributions needed to meet the matching requirement.

(c) The Secretary may approve a Partnership applicant’s request in its application to match its contributions to its scholarship fund, established under section 404E of the HEA, on the basis of two non-Federal dollars for every one Federal dollar of GEAR UP funds.

(d) The Secretary may approve a request by a Partnership applicant that has three or fewer institutions of higher education as members to waive up to 70 percent of the matching requirement if the Partnership applicant includes--

(1) A fiscal agent that is eligible to receive funds under title V, or Part B of title III, or section 316 or 317 of the HEA, or a local educational agency;

(2) Only participating schools with a 7th grade cohort in which at least 75 percent of the students are eligible for free or reduced-price lunch under the Richard B. Russell National School Lunch Act; and

(3) Only local educational agencies in which at least 50 percent of the students enrolled are eligible for free or reduced-price lunch under the Richard B. Russell National School Lunch Act.

(Authority: 20 U.S.C. 1070a-23)

126. New §694.9 is added to read as follows:

§694.9 Under what conditions may the Secretary approve a request from a Partnership that has received a GEAR UP grant to waive a portion of the matching requirement?

(a) After a grant is awarded, the Secretary may approve a Partnership grantee’s written request for a waiver of up to--

(1) 50 percent of the matching requirement for up to two years if the grantee demonstrates that--

(i) The matching contributions described for those two years in the grantee’s approved application are no longer available; and

(ii) The grantee has exhausted all funds and sources of potential contributions for replacing the matching funds.

(2) 75 percent of the matching requirement for up to two years if the grantee demonstrates that matching contributions from the original application are no longer available due to an uncontrollable event, such as a natural disaster, that has a devastating economic effect on members of the Partnership and the community in which the project would operate.

(b) In determining whether the grantee has exhausted all funds and sources of potential contributions for replacing matching funds, the Secretary considers the grantee’s documentation of key factors such as the following and their direct impact on the grantee:

(1) A reduction of revenues from State government, County government, or the local educational agency (LEA).

(2) An increase in local unemployment rates.

(3) Significant reductions in the operating budgets of institutions of higher education that are participating in the grant.

(4) A reduction of business activity in the local area (e.g., large employers have left the local area).

(5) Other data that reflect a significant decrease in resources available to the grantee in the local geographical area served by the grantee.

(c) If a grantee has received one or more waivers under this section or under §694.8, the grantee may request an additional waiver of the matching requirement under this section no earlier than 60 days before the expiration of the grantee’s existing waiver.

(d) The Secretary may grant an additional waiver request for up to 50 percent of the matching requirement for a period of up to two years beyond the expiration of any previous waiver.

(Authority: 20 U.S.C. 1070a-23)

127. New §694.12 is added to read as follows:

§694.12 Under what conditions do State and Partnership GEAR UP grantees make section 404E scholarship awards?

(a)(1) State Grantees. All State grantees must establish or maintain a financial assistance program that awards section 404E scholarships to students in accordance with the requirements of §694.13 or §694.14, as applicable.

(2) Partnership Grantees. Partnerships may, but are not required, to award scholarships to eligible students. If a Partnership awards scholarships to eligible students pursuant to section 404E of the HEA, it must comply with the requirements of §694.13 or §694.14, as applicable.

(b)(1) Section 404E scholarship awards for grantees whose initial GEAR UP grant awards were made prior to August 14, 2008. A State or Partnership grantee making section 404E scholarship awards using funds from GEAR UP grant awards that were made prior to August 14, 2008, must provide such scholarship awards in accordance with the requirements of §694.13 unless it elects to provide the scholarships in accordance with the requirements of §694.14 pursuant to paragraph (b)(2) of this section.

(2) Election to use §694.14 requirements. A State or Partnership grantee making section 404E scholarship awards using funds from GEAR UP grant awards that were made prior to August 14, 2008, may provide such scholarship awards in accordance with the requirements of §694.14 (rather than the requirements of §694.13) provided that the grantee--

(i) Informs the Secretary, in writing, of its election to make the section 404E scholarship awards in accordance with the requirements of §694.14; and

(ii) Such election does not decrease the amount of the scholarship promised to any individual student under the grant.

(c) Section 404E scholarship awards for grantees whose initial GEAR UP grant awards were made on or after August 14, 2008. A State or Partnership grantee making section 404E scholarship awards using funds from GEAR UP grant awards that were made on or after August 14, 2008, must provide such scholarship awards in accordance with the requirements of §694.14.

(Authority: 20 U.S.C. 1070a-25)

128. Newly redesignated §694.13 is revised to read as follows:

§694.13 What are the requirements concerning section 404E scholarship awards for grantees whose initial GEAR UP grant awards were made prior to August 14, 2008?

The following requirements apply to section 404E scholarship awards for grantees whose initial GEAR UP grant awards were made prior to August 14, 2008 unless the grantee elects to provide such scholarship awards in accordance with the requirements of §694.14 pursuant to §694.12(b)(2).

(a)(1) The maximum scholarship amount that an eligible student may receive under this section must be established by the grantee.

(2) The minimum scholarship amount that an eligible student receives in a fiscal year pursuant to this section must not be less than the lesser of--

(i) 75 percent of the average cost of attendance for an in-State student, in a four-year program of instruction, at public institutions of higher education in the student’s State; or

(ii) The maximum Federal Pell Grant award funded under section 401 of the HEA for the award year in which the scholarship is awarded.

(3) If an eligible student who is awarded a GEAR UP scholarship attends an institution of higher education on a less than full-time basis during any award year, the State or Partnership awarding the GEAR UP scholarship may reduce the scholarship amount, but in no case may the percentage reduction in the scholarship be greater than the percentage reduction in tuition and fees charged to that student.

(b) Scholarships provided under this section may not be considered for the purpose of awarding Federal grant assistance under title IV of the HEA, except that in no case may the total amount of student financial assistance awarded to a student under title IV of the HEA exceed the student’s total cost of attendance.

(c) Grantees providing section 404E scholarship awards in accordance with this section--

(1) Must award GEAR UP scholarships first to students who will receive, or are eligible to receive, a Federal Pell Grant during the award year in which the GEAR UP scholarship is being awarded; and

(2) May, if GEAR UP scholarship funds remain after awarding scholarships to students under paragraph (c)(1) of this section, award GEAR UP scholarships to other eligible students (i.e., students who are not eligible to receive a Federal Pell Grant) after considering the need of those students for GEAR UP scholarships.

(d) For purposes of this section, an eligible student is a student who--

(1) Is less than 22 years old at the time of award of the student’s first GEAR UP scholarship;

(2) Has received a secondary school diploma or its recognized equivalent on or after January 1, 1993;

(3) Is enrolled or accepted for enrollment in a program of undergraduate instruction at an institution of higher education that is located within the State’s boundaries, except that, at the grantee’s option, a State or Partnership may offer scholarships to students who attend institutions of higher education outside the State; and

(4) Has participated in activities under §694.21 or §694.22.

(e) A State using a priority approach may award scholarships under paragraph (a) of this section to eligible students identified by priority at any time during the grant award period rather than reserving scholarship funds for use only in the seventh year of a project or after the grant award period.

(f) A State or a Partnership that makes scholarship awards from GEAR UP funds in accordance with this section must award continuation scholarships in successive award years to each student who received an initial scholarship and who is enrolled or accepted for enrollment in a program of undergraduate instruction at an institution of higher education.

(Authority: 20 U.S.C. 1070a-21 to 1070a-28)

129. New §694.14 is added to read as follows:

§694.14 What are the requirements concerning section 404E scholarship awards for grantees whose initial GEAR UP grant awards were made on or after August 14, 2008?

The following requirements apply to section 404E scholarship awards provided by grantees whose initial GEAR UP grant awards were made on or after August 14, 2008 and any section 404E scholarship awards for grantees whose initial GEAR UP grant awards were issued prior to August 14, 2008, but who, pursuant to §694.12(b)(2), elected to use the §694.14 requirements (rather than the §694.13 requirements).

(a)(1) The maximum scholarship amount that an eligible student may receive under section 404E of the HEA must be established by the grantee.

(2) The minimum scholarship amount that an eligible student receives in a fiscal year must not be less than the minimum Federal Pell Grant award under section 401 of the HEA at the time of award.

(3) If an eligible student who is awarded a GEAR UP scholarship attends an institution of higher education on a less than full-time basis during any award year, the State or Partnership awarding the GEAR UP scholarship may reduce the scholarship amount, but in no case may the percentage reduction in the scholarship be greater than the percentage reduction in tuition and fees charged to that student.

(b) For purposes of this section, an eligible student is a student who--

(1) Is less than 22 years old at the time of award of the first GEAR UP scholarship;

(2) Has received a secondary school diploma or its recognized equivalent on or after January 1, 1993;

(3) Is enrolled or accepted for enrollment in a program of undergraduate instruction at an institution of higher education that is located within the State’s boundaries, except that, at the grantee’s option, a State or Partnership may offer scholarships to students who attend institutions of higher education outside the State; and

(4) Has participated in the activities required under §694.21.

(c)(1) By the time students who have received services from a State grant have completed the twelfth grade, a State that has not received a waiver under section 404E(b)(2) of the HEA of the requirement to spend at least 50 percent of its GEAR UP funds on scholarships must have in reserve an amount that is not less than the minimum Federal Pell Grant multiplied by the number of students the State estimates will enroll in an institution of higher education.

(2) Consistent with paragraph (a) of this section and §694.16(a), States must use funds held in reserve to make scholarships to eligible students.

(3) Scholarships must be made to all students who are eligible under the definition in paragraph (b) of this section. A grantee may not impose additional eligibility criteria that would have the effect of limiting or denying a scholarship to an eligible student.

(d) A State using a priority approach may award scholarships under paragraph (a) of this section to eligible students identified by priority at any time during the grant award period rather than reserving scholarship funds for use only in the seventh year of a project or after the grant award period.

(e) States providing scholarships must provide information on the eligibility requirements for the scholarships to all participating students upon the students’ entry into the GEAR UP program.

(f) A State must provide scholarship funds as described in this section to all eligible students who attend an institution of higher education in the State, and may provide these scholarship funds to eligible students who attend institutions of higher education outside the State.

(g) A State or a Partnership that chooses to participate in the scholarship component in accordance with section 404E of the HEA may award continuation scholarships in successive award years to each student who received an initial scholarship and who is enrolled or accepted for enrollment in a program of undergraduate instruction at an institution of higher education.

(h) A GEAR UP scholarship, provided under section 404E of the HEA, may not be considered in the determination of a student's eligibility for other grant assistance provided under title IV of the HEA, except that in no case may the total amount of student financial assistance awarded to a student under title IV of the HEA exceed the student’s total cost of attendance.

(Authority: 20 U.S.C. 1070a-25)

130. Newly redesignated §694.15 is revised to read as follows:

§694.15 May a Partnership that does not award scholarships under section 404E of the HEA provide, as part of a GEAR UP project, financial assistance for postsecondary education using non-Federal funds?

A GEAR UP Partnership that does not participate in the GEAR UP scholarship component may provide financial assistance for postsecondary education with non-Federal funds, and those funds may be used to satisfy the matching requirement.

(Authority: 20 U.S.C. 1070a-21 to 1070a-28)

131. Section 694.16 is added to read as follows:

§694.16 What are the requirements for redistribution or return of scholarship funds not awarded to a project’s eligible students?

The following requirements apply only to section 404E scholarship awards for grantees whose initial GEAR UP grant awards were made on or after August 14, 2008, and to any section 404E scholarship awards for grantees whose initial GEAR UP grant awards were made prior to August 14, 2008, but who, pursuant to §694.12(b)(2), elect to use the §694.14 requirements (rather than the §694.13 requirements):

(a) Scholarship funds held in reserve by States under §694.14(c) or by Partnerships under section 404D(b)(7) of the HEA that are not used by eligible students as defined in §694.14(b) within six years of the students’ scheduled completion of secondary school may be redistributed by the grantee to other eligible students.

(b) Any Federal scholarship funds that are not used by eligible students within six years of the students’ scheduled completion of secondary school, and are not redistributed by the grantee to other eligible students, must be returned to the Secretary within 45 days after the six-year period for expending the scholarship funds expires.

(c) Grantees that reserve funds for scholarships must annually furnish information, as the Secretary may require, on the amount of Federal and non-Federal funds reserved and held for GEAR UP scholarships and the disbursement of these scholarship funds to eligible students until these funds are fully expended or returned to the Secretary.

(d) A scholarship fund is subject to audit or monitoring by authorized representatives of the Secretary throughout the life of the fund.

(Authority: 20 U.S.C. 1070a-25(e))

132. Newly redesignated §694.18 is revised to read as follows:

§694.18 What requirements must be met by a Partnership or State participating in GEAR UP with respect to 21st Century Scholarship Certificates?

(a) A State or Partnership must provide, in accordance with procedures the Secretary may specify, a 21^st Century Scholar Certificate to each student participating in its GEAR UP project.

(b) 21st Century Scholarship Certificates must be personalized and indicate the amount of Federal financial aid for college and the estimated amount of any scholarship provided under section 404E of the HEA, if applicable, that a student may be eligible to receive.

(Authority: 20 U.S.C. 1070a-26)

133. Newly redesignated §694.19 is revised to read as follows:

§694.19 What priorities does the Secretary establish for a GEAR UP grant?

The Secretary awards competitive preference priority points to an eligible applicant for a State grant that has both--

(a) Carried out a successful State GEAR UP grant prior to August 14, 2008, determined on the basis of data (including outcome data) submitted by the applicant as part of its annual and final performance reports, and the applicant’s history of compliance with applicable statutory and regulatory requirements; and

(b) A prior, demonstrated commitment to early intervention leading to college access through collaboration and replication of successful strategies.

(Authority: 20 U.S.C. 1070a-21(b))

134. New §694.20 is added to read as follows:

§694.20 When may a GEAR UP grantee provide services to students attending an institution of higher education?

(a) The Secretary authorizes an eligible State or Partnership to provide GEAR UP services to students attending an institution of higher education if the State or Partnership--

(1) Applies for and receives a new GEAR UP award after August 14, 2008, and

(2) In its application, requested a seventh year so that it may continue to provide services to students through their first year of attendance at an institution of higher education.

(b) A State grantee that uses a priority (rather than or in addition to a cohort) approach to identify participating students may, consistent with its approved application and at any time during the project period, provide services to students during their first year of attendance at an institution of higher education, provided that the grantee continues to provide all required services throughout the Federal budget period to GEAR UP students still enrolled in a local educational agency.

(c) If a grantee is awarded a seven year grant, consistent with the grantee’s approved application, during the seventh year of the grant the grantee--

(1) Must provide services to students in their first year of attendance at an institution of higher education; and

(2) May choose to provide services to high school students who have yet to graduate.

(d) Grantees that continue to provide services under this part to students through their first year of attendance at an institution of higher education must, to the extent practicable, coordinate with other campus programs, including academic support services to enhance, not duplicate service.

(Authority: 20 U.S.C. 1070a-21(b)(2))

135. New §694.21 is added to read as follows:

§694.21 What are required activities for GEAR UP projects?

A grantee must provide comprehensive mentoring, outreach, and supportive services to students participating in the GEAR UP program. These services must include the following activities:

(a) Providing information regarding financial aid for postsecondary education to eligible participating students.

(b) Encouraging student enrollment in rigorous and challenging curricula and coursework, in order to reduce the need for remedial coursework at the postsecondary level.

(c) Implementing activities to improve the number of participating students who--

(1) Obtain a secondary school diploma, and

(2) Complete applications for, and enroll in, a program of postsecondary education.

(d) In the case of a State grantee that has not received a 100-percent waiver under section 404E(b)(2) of the HEA, providing scholarships in accordance with section 404E of the HEA.

(Authority: 20 U.S.C. 1070a-24(a))

136. New §694.22 is added to read as follows:

§694.22 What other activities may all GEAR UP projects provide?

A grantee may use grant funds to carry out one or more of the following services and activities:

(a) Providing tutors and mentors, who may include adults or former participants in a GEAR UP program, for eligible students.

(b) Conducting outreach activities to recruit priority students (identified in section 404D(d) of the HEA) to participate in program activities.

(c) Providing supportive services to eligible students.

(d) Supporting the development or implementation of rigorous academic curricula, which may include college preparatory, Advanced Placement, or International Baccalaureate programs, and providing participating students access to rigorous core academic courses that reflect challenging State academic standards.

(e) Supporting dual or concurrent enrollment programs between the secondary school and institution of higher education partners of a GEAR UP Partnership, and other activities that support participating students in--

(1) Meeting challenging State academic standards;

(2) Successfully applying for postsecondary education;

(3) Successfully applying for student financial aid; and

(4) Developing graduation and career plans, including career awareness and planning assistance as they relate to a rigorous academic curriculum.

(f) Providing special programs or tutoring in science, technology, engineering, or mathematics.

(g) For Partnerships, providing scholarships described in section 404E of the HEA, and for all grantees providing appropriate administrative support for GEAR UP scholarships.

(h) Introducing eligible students to institutions of higher education, through trips and school-based sessions.

(i) Providing an intensive extended school day, school year, or summer program that offers--

(1) Additional academic classes; or

(2) Assistance with college admission applications.

(j) Providing other activities designed to ensure secondary school completion and postsecondary education enrollment of at-risk children, such as:

(1) Identification of at-risk children.

(2) After-school and summer tutoring.

(3) Assistance to at-risk children in obtaining summer jobs.

(4) Academic counseling.

(5) Financial and economic literacy education or counseling.

(6) Volunteer and parent involvement.

(7) Encouraging former or current participants of a GEAR UP program to serve as peer counselors.

(8) Skills assessments.

(9) Personal and family counseling, and home visits.

(10) Staff development.

(11) Programs and activities that are specially designed for students who are limited English proficient.

(k) Enabling eligible students to enroll in Advanced Placement or International Baccalaureate courses, or college entrance examination preparation courses.

(l) Providing services to eligible students in the participating cohort described in §694.3 through the first year of attendance at an institution of higher education.

(m) Fostering and improving parent and family involvement in elementary and secondary education by promoting the advantages of a college education, and emphasizing academic admission requirements and the need to take college preparation courses, through parent engagement and leadership activities.

(n) Disseminating information that promotes the importance of higher education, explains college preparation and admission requirements, and raises awareness of the resources and services provided by the eligible entities to eligible students, their families, and communities.

(o) For a GEAR UP Partnership grant, in the event that matching funds described in the approved application are no longer available, engaging other potential partners in a collaborative manner to provide matching resources and to participate in other activities authorized in §§ 694.21, 694.22, and 694.23.

(Authority: 20 U.S.C. 1070a-24(b))

137. New §694.23 is added to read as follows:

§694.23 What additional activities are allowable for State GEAR UP projects?

In addition to the required and permissible activities identified in §§694.21 and 694.22, a State may use grant funds to carry out one or more of the following services and activities:

(a) Providing technical assistance to--

(1) Secondary schools that are located within the State; or

(2) Partnerships that are eligible to apply for a GEAR UP grant and that are located within the State.

(b) Providing professional development opportunities to individuals working with eligible cohorts of students.

(c) Providing administrative support to help build the capacity of Partnerships to compete for and manage grants awarded under the GEAR UP program.

(d) Providing strategies and activities that align efforts in the State to prepare eligible students to attend and succeed in postsecondary education, which may include the development of graduation and career plans.

(e) Disseminating information on the use of scientifically valid research and best practices to improve services for eligible students.

(f)(1) Disseminating information on effective coursework and support services that assist students in achieving the goals described in paragraph (f)(2)(ii) of this section, and

(2) Identifying and disseminating information on best practices with respect to--

(i) Increasing parental involvement; and

(ii) Preparing students, including students with disabilities and students who are limited English proficient, to succeed academically in, and prepare financially for, postsecondary education.

(g) Working to align State academic standards and curricula with the expectations of postsecondary institutions and employers.

(h) Developing alternatives to traditional secondary school that give students a head start on attaining a recognized postsecondary credential (including an industry-recognized certificate, an apprenticeship, or an associate's or a bachelor's degree), including school designs that give students early exposure to college-level courses and experiences and allow students to earn transferable college credits or an associate's degree at the same time as a secondary school diploma.

(i) Creating community college programs for individuals who have dropped out of high school that are personalized drop-out recovery programs, and that allow drop-outs to complete a secondary school diploma and begin college-level work.

(Authority: 20 U.S.C. 1070a-24)

138. New §694.24 is added to read as follows:

§694.24 What services may a GEAR UP project provide to students in their first year at an institution of higher education?

Consistent with their approved applications and §694.20, a grantee may provide any services to students in their first year of attendance at an institution of higher education that will help those students succeed in school, and that do not duplicate services otherwise available to them. Examples of services that may be provided include--

(a) Orientation services including introduction to on-campus services and resources;

(b) On-going counseling to students either in person or though electronic or other means of correspondence;

(c) Assistance with course selection for the second year of postsecondary education;

(d) Assistance with choosing and declaring an academic major;

(e) Assistance regarding academic, social, and personal areas of need;

(f) Referrals to providers of appropriate services;

(g) Tutoring, mentoring, and supplemental academic support;

(h) Assistance with financial planning;

(i) Career counseling and advising services; or

(j) Advising students about transferring to other schools.

(Authority: 20 U.S.C. 1070a-24)

139. New §694.25 is added to read as follows:

§694.25 Are GEAR UP grantees required to provide services to students who were served under a previous GEAR UP grant?

If a Partnership or State is awarded a GEAR UP grant on or after August 14, 2008 (i.e., initial grant), the grant ends before all students who received GEAR UP services under the grant have completed the twelfth grade, and the grantee receives a new award in a subsequent GEAR UP competition (i.e., new grant), the grantee must--

(a) Continue to provide services required by or authorized under §§694.21, 694.22, and 694.23 to all students who received GEAR UP services under the initial grant and remain enrolled in secondary schools until they complete the twelfth grade; and

(b) Provide the services specified in paragraph (a) of this section by using Federal GEAR UP funds awarded for the new grant or funds from the non-Federal matching contribution required under the new grant.

(Authority: 20 U.S.C. 1070a-21(b)(3)(B) and 1070a-22(d)(1)(C))

GEAR UP STATE GRANTS PROGRAM OVERVIEW

Legislative Authority

Title IV, Sections 404A-404H, of the Higher Education Act of 1965, as amended.

Purpose

The GEAR UP program is a discretionary grant program which encourages applicants to provide support and maintain a commitment to eligible low-income students, including students with disabilities, to assist the students in obtaining a secondary school diploma and preparing for and succeeding in postsecondary education.

Description of the GEAR UP State Grant Program

The GEAR UP program is designed to significantly increase the number of low-income students who are prepared to enter and succeed in postsecondary education. GEAR UP provides six- or seven-year grants to States to provide services at high-poverty middle and high schools and through the first year of college. The services include: providing information regarding financial aid for postsecondary education to participating students in the cohort, encouraging student enrollment in rigorous and challenging curricula and coursework, and improving the number of participating students who obtain a secondary school diploma and complete applications for and enroll in a program of postsecondary education. GEAR UP funding can also be used to provide scholarships to students.

Definitions

To assist applicants in preparing their GEAR UP application, we are providing commonly used definitions for the following terms: persistently lowest-achieving schools, college-ready curriculum, high school graduate and college enrollment.

Persistently lowest-achieving schools – As determined by the State: (i) Any Title I school in improvement, corrective action, or restructuring that (a) is among the lowest-achieving five percent of Title I schools in improvement, corrective action, or restructuring or the lowest-achieving five Title I schools in improvement, corrective action, or restructuring in the State, whichever number of schools is greater; or (b) is a high school that has had a graduation rate as defined in 34 CFR 200.19(b) that is less than 60 percent over a number of years; and (ii) any secondary school that is eligible for, but does not receive, Title I funds that: (a) is among the lowest-achieving five percent of secondary schools or the lowest-achieving five secondary schools in the State that are eligible for, but do not receive, Title I funds, whichever number of schools is greater; or (b) is a high school that has had a graduation rate as defined in 34 CFR 200.19(b) that is less than 60 percent over a number of years.

College-Ready Curriculum – A high school curriculum which requires students to earn passing grades in at least the following: four years of English; three years of mathematics (including algebra I and a higher level course such as algebra II, geometry, or data analysis and statistics); three years of science (including at least two courses chosen from biology, chemistry, or physics); three years of social studies; and one year of a language other than English.

High School Graduate – Students who receive a secondary credential that is fully aligned with each State’s academic standards or its recognized equivalent.

College Enrollment – Students who are attending a 4-year or 2-year college or university in a program of study that may advance the student towards a recognized college or university degree.

Invitational Priority

Financial Access and College Saving Accounts. A lack of financial literacy is a barrier to college access and success for many students and families, and research indicates that financial education is more effective when in the context of real-life financial decisions.  In addition, studies demonstrate that students with college savings accounts are more likely to attend college, even when controlling for other factors. Therefore, the Secretary invites applications from eligible entities that partner with financial institutions or other stakeholders to provide students and families with safe, affordable, and appropriate deposit accounts at federally-insured banks or credit unions, and create financial or other incentives to increase savings, in connection with the applicant's proposed financial and economic literacy activities. We will not give an application that meets this invitational priority a competitive or absolute preference over other applications.

Competitive Preference Priorities

Competitive Preference Priority 1: The Secretary shall give priority to an eligible applicant for a State GEAR UP grant that has previously carried out a successful State GEAR UP grant prior to August 14, 2008, has had a demonstrated commitment to early intervention leading to college access through collaboration and replication of successful strategies, and will ensure that students receive assistance through completion of secondary school. We will award up to an additional 2 points for this competitive preference priority depending on how well the application meets the priority.

Competitive Preference Priority 2: Projects that are designed to address one or more of the following priority areas: (a) improving student achievement in persistently lowest-achieving schools, and (b) increasing graduation rates and college enrollment rates for students in persistently lowest-achieving schools. We will award up to an additional 3 points for this competitive preference priority depending on how well the application meets the priority.

Competitive Preference Priority 3: Projects that are designed to collect (or obtain), analyze, and use high-quality and timely data, especially on program participant outcomes, in accordance with privacy requirements, in one of the following priority areas: (a) improving instructional practices, policies and student outcomes in elementary and secondary schools, (b) improving postsecondary student outcomes relating to enrollment, persistence, and completion and leading to career success, and (c) providing reliable and comprehensive information on the implementation of Department of Education programs, and participant outcomes in these programs, especially by developing strategies with appropriate State agencies to use data from State longitudinal data systems or by obtaining data from reliable third-party sources. We will award up to an additional 3 points for this competitive preference priority depending on how well the application meets the priority.

Competitive Preference Priority 4: Projects that are designed to support the implementation of internationally benchmarked, college and career ready academic standards held in common by multiple States and to improve instruction and learning, including projects in one or more of the following priority areas: (a) the development or implementation of curriculum or instructional materials aligned with those standards; (b) the development or implementation of professional development or preparation programs aligned with those standards; and (c) strategies that translate the standards into classroom practice. We will award up to an additional 4 points for this competitive preference priority depending on how well the application meets the priority.

Size of Awards

The maximum Federal award for State grants awarded in FY 2011 is $5 million. There is no minimum award.

Out-Year Costs

State grants originally funded with FY 2011 funds will receive level funding in the out years based on approved funding for the first year award. For example, if a grantee requests $100,000 of funding in year one of the grant and that amount is approved, the grantee will receive no more than $100,000 of Federal funding for years two through six or seven of the grant.

ELIGIBILITY

The governor of each State must designate, in a letter, one agency to apply for and administer a GEAR UP State grant. Each State application must contain information or assurances that describe how the applicant will carry out the required activities component of the grant as well as how the applicant plans to meet the scholarship component. State applicants must provide assurances that adequate administrative and support staff will be responsible for coordinating the required activities component as well as assurances that the grant will not displace an employee or eliminate a position at a participating school. In addition, State applicants who elect to use a cohort approach must define the cohort of students it will serve through grade 12, including how vacancies in the program will be filled and how the applicant will serve students attending different secondary schools. State applicants must provide information about the activities that will be carried out to support systemic changes from which future cohorts of students will benefit and describe the sources of matching funds that will enable the applicant to meet the matching requirement.

Match Requirements

State applicants are required to provide from State, local, institutional, or private funds, not less than 50 percent of the cost of the program. Matching funds may be provided in cash or in kind and may be accrued over the full duration of the grant award period. Grantees are required to make substantial progress towards meeting the matching requirement in each year of the grant award period. Grantees must also specify the methods by which matching funds will be paid and include provisions designed to ensure that funds provided shall supplement and not supplant funds expended for existing programs. Please note that funded applicants will be held to the matching commitment proposed in the application for funding, even if the proposed match is higher than the percent required by statute. No points will be awarded for match exceeding the 50 percent level required by statute.

Required Elements of a GEAR UP State Grant

Each eligible entity receiving a grant shall provide comprehensive mentoring, outreach, financial aid information and supportive services to students participating in the programs. Such activities shall include the following:

1. Financial aid information for postsecondary education to participating students in the

cohort;

2. Encourage student enrollment in rigorous and challenging curricula and coursework, in

order to reduce the need for remedial coursework at the postsecondary level; and

3. Improve the number of participating students who a) obtain a secondary diploma and b)

complete applications for and enroll in a program of postsecondary education.

Cohort or Priority

States may choose to:

1. Serve “priority students” as defined below; and/or

2. Serve a cohort of students

States that target services to priority students must target any students in secondary school who are eligible:

1. To be counted under section 1124(c) of the Elementary and Secondary Education Act of 1965;

2. For assistance under the Temporary Assistance for Needy Families (TANF) or under Federal Payments for Foster Care and Adoption Assistance (FPFCAA), authorized by Title IV of the Social Security Act; and

3. For assistance under the McKinney-Vento Homeless Assistance Act; or

4. Any student the applicant considers to be disconnected.

States that opt to serve a cohort must provide services to at least one grade level of students, beginning not later than 7^th grade, in a participating school that has a 7^th grade and in which at least 50 percent of the students enrolled are eligible for free or reduced-price lunch under the Richard B. Russell National School Lunch Act. If an applicant determines that it would promote the effectiveness of a program, it may choose to serve an entire grade level of students, beginning not later than the 7^th grade, who reside in public housing, as defined in section 3(b) (1) of the United States Housing Act of 1937.

States must also ensure that the services are provided through the 12^th grade to students in

the participating grade level. States that applied for a seventh year of the grant must provide services through the student’s first year of attendance at an institution of higher

education.

State grant applicants that choose to use the cohort approach must provide services to students who have received services under a previous GEAR UP grant award but have not yet completed the 12^th grade.

21^st Century Scholar Certificates

GEAR UP students must receive a one-time 21^st Century Scholar Certificate congratulating them on their commitment and reminding them that if they study hard, take challenging courses, and finish high school, they will be able to go to college. On the reverse side of the certificate will be a summary of how much Federal aid may be available to them based on income. Supplemental information will also be provided which gives further detail about the forms of available Federal financial assistance and how families can learn more about Federal financial aid programs.

The grantee is responsible for supplying the 21^st Century Scholar Certificates and the accompanying supplemental material to all GEAR UP students. The grantee should personalize the certificates by adding the students’ names, and distributing the certificates to participating GEAR UP students. GEAR UP students receive only one certificate throughout the life of the grant. Grant funds may be used for hosting an event where families, faculty, partners, and others supporting the local Partnership are invited and students receive their certificates.

Permissible Activities for States

The following activities are permissible uses of Federal and matching funds:

1. Provide tutors and mentors, who may include adults or former participants of the GEAR UP program, for eligible students.

2. Conduct outreach activities to recruit priority students to participate in program activities.

3. Provide supportive services to eligible students.

4. Support the development or implementation of rigorous academic curricula, which may include college preparatory, Advanced Placement, or International Baccalaureate programs, and provide participating students access to rigorous core academic courses that reflect challenging State academic standards.

5. Support dual or concurrent enrollment programs between the secondary school and institution of higher education partners and other activities that support participating students in:

a. meeting challenging State academic standards;

b. successfully applying for postsecondary education;

c. successfully applying for student financial aid; and

d. developing graduation and career plans.

6. Provide special programs or tutoring in science, technology, engineering, or mathematics.

7. Introduce eligible students to institutions of higher education, through trips and school-based sessions.

8. Provide an intensive extended school day, school year, or summer program that offers:

a. additional academic classes; or

b. assistance with college admission applications.

9. Provide activities designed to ensure secondary school completion and postsecondary education enrollment of at-risk children such as:

a. the identification of at-risk children;

b. after-school and summer tutoring;

c. assistance to at-risk children in obtaining summer jobs;

d. academic counseling;

e. financial literacy and economic literacy education or counseling;

f. volunteer and parent involvement;

g. encouraging former or current participants to serve as peer counselors;

h. skills assessments;

i. personal and family counseling, and home visits;

j. staff development; and

k. programs and activities that are specially designed for students who are limited English

proficient.

10. Enable eligible students to enroll in Advanced Placement or International Baccalaureate courses, or college entrance examination preparation courses.

11. Provide services to eligible students in the participating cohort through the first year of attendance at an institution of higher education.

12. Foster and improve parent and family involvement in elementary and secondary education by promoting the advantages of a college education, and emphasize academic admission requirements and the need to take college preparation courses, through parent engagement and leadership activities.

13. Disseminate information that promotes the importance of higher education, explains college preparation and admission requirements, and raises awareness of the resources and services provided to eligible students, their families, and communities.

Additional Permissible Activities for States

1. Provide technical assistance to;

a. secondary schools that are located within the State; or

b. partnerships that are located within the State.

2. Provide professional development opportunities to individuals working with eligible cohorts of students.

3. Provide administrative support to help build the capacity of eligible partnerships to compete for and manage GEAR UP grants.

4. Provide strategies and activities that align efforts in the State to prepare eligible students to attend and succeed in postsecondary education, which may include the development of graduation and career plans.

5. Disseminate information on the use of scientifically-valid research and best practices to improve services for eligible students.

6. Identify and disseminate information on best practices with respect to increasing parental involvement and preparing students, including students with disabilities and students who are limited English proficient, to succeed academically in, and prepare financially for, postsecondary education.

7. Work to align State academic standards and curricula with the expectations of postsecondary institutions and employers.

8. Develop alternatives to traditional secondary school that give students a head start on attaining a recognized postsecondary credential including school designs that give students early exposure to college-level courses and experiences and allow students to earn transferable college credits or an associate’s degree at the same time as a secondary school diploma.

9. Create community college programs for drop-outs that are personalized drop-out recovery programs that allow drop-outs to complete a regular secondary school diploma and begin college-level work.

COORDINATION AND PROJECT MANAGEMENT

Coordination

State projects must ensure that the activities proposed are, to the extent practicable, coordinated with, and complement and enhance services provided by, other eligible entities serving the same school district or State and related services under other Federal or non-Federal programs. GEAR UP grant funds shall be used to supplement and not supplant other Federal, State, and local funds.

Indirect Costs

Consistent with section 75.562 of EDGAR, all grant recipients are limited to a maximum indirect cost rate of eight percent of a modified total direct cost base or the amount permitted by its negotiated indirect cost rate agreement, whichever is less. Notwithstanding 34 CFR 75.560-75.562 and 34 CFR 80.22, the maximum indirect cost rate that an agency of a state or local government receiving funds under GEAR UP may use to charge indirect costs to these funds is the lesser of (a) the rate established by the negotiated indirect cost agreement; or (b) eight percent of a modified total direct cost base. (Authority: 20 U.S.C. 1070a-21 to 1070a-28). Unrecovered indirect costs cannot be used to fulfill non-Federal matching requirements.

Participation in Conferences and Workshops

It is essential for grantees to collaborate, together and with others, on strategies for improving the academic experiences of low-income students. To achieve these objectives, applicants should plan and budget for required attendance at the annual conferences and capacity-building workshops, in the event that they are awarded a grant. Each trip will be for four days for up to six persons paid for out of GEAR UP funds (Federal and/or non-Federal). Grantees may also make prudent use of grant funds to participate in other conferences during the year, if these activities will contribute to their efforts to prepare GEAR UP students for college and help inform parents about the cost of college and student financial assistance. Before using GEAR UP Federal or matching funds to attend conferences not sponsored or co-sponsored by the U.S. Department of Education, grantees must obtain approval from their program officer at the U.S. Department of Education.

SCHOLARSHIPS

State applicants are required to establish or maintain a financial assistance program that awards scholarships to eligible students. Applicants are encouraged to ensure that a scholarship is available to an eligible student for use at any institution of higher education.

State applicants are required to spend not less than 25 percent and not more than 50 percent of the grant funds for required activities. The remainder of grant funds must be used to fund the scholarship program. The Secretary may allow an applicant to use more than 50 percent of grant funds for required activities if the applicant demonstrates it has another means of providing students with financial assistance and describes these means in its application. A request to waive the requirement that 25 to 50 percent of funds must be spent on scholarships needs to be included as an attachment to the application.

Scholarship Eligibility

A student is eligible for a scholarship if the student:

1. is less than 22 years old at time of first scholarship award;

2. receives a secondary school diploma or its recognized equivalent on or after

January 1, 1993;

3. is enrolled or accepted for enrollment in a program of undergraduate instruction

at an institution of higher education that is located within the State’s boundaries, except

that, at the State’s option, an eligible entity may offer scholarship program portability for

recipients who attend institutions of higher education outside such State; and

4. participated in the required activities component.

Notification of Eligibility

Grantees must provide information on the eligibility requirements for the scholarships to all participating students upon the students’ entry into the program.

Priority Approach

States using a priority approach may award scholarships to eligible students identified by priority at any time during the grant award period rather than reserving scholarship funds for use only in the seventh year of, or after, the grant award period. GEAR UP scholarships are designed to supplement, not supplant, other scholarship funding.

Scholarship Portability

States must provide scholarship funds to all eligible students who attend an institution of higher education in the State and may also provide scholarship funds to eligible students who attend institutions of higher education outside of the State.

Scholarship Amount

Individual States may determine the maximum amount of a scholarship that an eligible student shall receive. The minimum amount of the scholarship for each fiscal year shall not be less than the minimum Federal Pell Grant award.

Reserve Scholarship Funds

a. State grantees that have not received a waiver must hold in reserve scholarship funds of at least the minimum required scholarship amount multiplied by the estimated number of eligible students.

b. States using a priority model may award scholarships directly rather than holding funds in reserve.

Return of Funds

States must return to the Secretary any Federal scholarship funds that are not used by an eligible student within six years of the student’s scheduled completion of secondary school or have not been redistributed to the other eligible students.

Reporting Requirements

a. States must report, annually to the Secretary, information on Federal and non-Federal reserved funds held for GEAR UP scholarships and the disbursement of these funds to eligible students until these funds are fully expended or returned to the Secretary.

b. Scholarship funds are subject to audit or monitoring by authorized representatives throughout the life of the fund.

Qualified Educational Expenses

The scholarship funds available to an eligible student may be used for:

a. Tuition, fees, books, supplies, and equipment required for the enrollment or

attendance of the eligible student at an institution of higher education; and

b. In the case of an eligible student with special needs, expenses for special

needs services that are incurred in connection with such enrollment or attendance.

EVALUATION OF PROJECT PERFORMANCE

Your application must explain your GEAR UP project’s overall objectives. These objectives

must be clear and measurable, and be outcomes-oriented (i.e., related to achieving specific,

desirable results of your GEAR UP services for participants) rather than process-oriented. The

activities that you propose to implement for students, parents, and teachers must be linked to the

objectives you are aiming to achieve.

Each year, successful applicants will be required to submit to the Department an annual performance report that includes evidence of progress in meeting the project’s objectives and program’s objectives which are:

Objective 1: Increase the academic performance and preparation for postsecondary education for GEAR UP students.

Objective 2: Increase the rate of high school graduation and enrollment in postsecondary education for GEAR UP students.

Objective 3: Increase GEAR UP students’ and their families’ knowledge of postsecondary education options, preparation, and financing.

In addition, Public Law 100-315, Title IV, PART A, Sec. 404G requires each GEAR UP

grant projects to report biennially on the progress in implementing the proposed services

and other provisions, achieving the objectives/expected outcomes (and overall impact on

the affected project participants), as well as any warranted adjustments to components

(e.g., type, frequency, duration) to the services not achieving their expected desired results

or enhancing student learning.

Overall, GEAR UP projects, similar to other Federal projects, are required to provide documented evidence of their accountability for the expenditures of the obligated funds and the utilization of the accompanying matching contributions. Therefore, if you are chosen as a GEAR UP grantee, you will be required to consistently collect, analyze, and report on the participation and outcome data that enables the Department to verify that your GEAR UP project is accomplishing the proposed (measurable) objectives during each year.

In this application, you need to report on each of your project objectives and associated performance measures for each of those objectives. (Note: there can be multiple performance measures tied to each (measurable) project objective).

Your performance measures should include the following:

1. Government Performance and Results Act of 1993 (GPRA) measures, which are related to GEAR UP’s performance indicators that are published in this application. (Please refer to the GEAR UP GPRA Performance Indicators for these measures.) These indicators include students’ completion of courses such as Pre-algebra by the end of eighth grade, students’ completion of Algebra I by the end of ninth grade, and students’ and parents’ knowledge of necessary academic preparation for college. An example of a performance measure related to a GPRA indicator would be “Increase the percentage of GEAR UP students who have completed Algebra I by ninth grade by 10 percentage points each year of the project.”

2. Program measures, which are additional performance measures the GEAR UP program office has established that are aligned with the GEAR UP statute and program goals. These specific measures are (a) average daily attendance at the GEAR UP schools, (b) percentages of GEAR UP students promoted on time to successive grade levels, and (c) students’ educational aspirations/expectations (i.e., percentages of GEAR UP students who expect to graduate from high school). An example of a program performance measure could be “Each project year, at least 95 percent of GEAR UP students will be promoted to the next grade level on time.”

3. Project-specific measures, which are performance measures in addition to those mentioned above that you establish and include in your GEAR UP application. These measures can relate to, for instance, academic factors such as grade point averages or standardized test scores. An example of a project-specific performance measure could be “Increase the average percentile rank of GEAR UP students’ math scores by 5 points each year.”

In addition to reporting the specific performance measures for each of your objectives, your application must show the targets you have set for each of those measures. Targets must be set for each of the six or seven years of your GEAR UP project. Please note that these targets are set after you have collected baseline data on the performance measures. If you have already collected baseline data on any of the performance measures (e.g., baseline data such as the 2010-11 average daily attendance of seventh graders in the middle school you propose to serve in your GEAR UP project) and included these data in this application, please set targets for each year of your GEAR UP project on those specific performance measures and include them in your application as well. If you have not included baseline data for each performance measure in your application, then baseline data should be collected during the first year of the project (on those specific measures). Once the baseline data are obtained for a particular measure, targets for that measure can then be set for the second and subsequent years of the project.

GEAR UP grantees must consistently collect and analyze student achievement, educational attainment (e.g., course completions), and other outcome data on an ongoing basis, especially data linked to the ten GPRA measures. The data also provide evidence that your grant project is meeting the GEAR UP mission of preparing students to graduate from high school and enter, persist, and succeed in postsecondary education. In order to show that your grant is in compliance, merits continuation of Federal funds in subsequent award years, and will eventually close in good standing, you must report the data requested in each Annual Performance Report (APR). Each year, when you submit your APR, Department of Education GEAR UP staff will compare the target you have established for each performance measure to the actual performance data. In your Final Performance Report (FPR), you must report on the numbers of cohort students who have graduated from high school with an official diploma and who have enrolled in postsecondary education.

Evaluation plan:  A strong evaluation plan should shape the development of the project from the beginning to the end of the grant period.  The evaluation plan should include benchmarks to monitor progress toward meeting specific project objectives and a summative evaluation approach for assessing the likely contribution of the project to improving student outcomes, particularly those identified in Program performance reporting. 

Applicants are encouraged to think carefully about summative evaluation approaches and choose one that is cost-effective and feasible, but will maximize how much confidence the Project or the Program can have in the study results (see definitions of evaluation designs, below). The strongest evaluation designs are experimental/randomized control studies. Other evaluation designs may be easier to implement but do not provide such rigorous results. Each applicant will have different State and local conditions for implementing the program and capacity for collecting and analyzing data, which have to be taken into consideration when designing the evaluation. For example, larger districts with more than one middle school may be able to compare the change in outcomes for its GEAR UP schools to the change in outcomes for similar non-GEAR UP schools; small districts with only one middle school will not be able to use that evaluation approach. Applicants may refer to A Guide to GEAR UP Program Evaluation: Optimal Research Design, Methodology, and Data Elements, by CoBro Consulting (see https://edsurveys.rti.org/gearup/ls/ColeFinal.pdf) for more information on evaluation approaches.

The evaluation plan should clearly indicate:  (1) what types of data will be collected; (2) when various types of data will be collected; (3) for which students data will be collected – participants only, participants and non-participants, which cohort (i.e., in what year did the students start); (4) what data collection methods will be used; (5) how the data will be analyzed; and (6) when reports and outcome data will be available.  Applicants are encouraged to explain how they plan to gather data, such as by working with appropriate agencies to use State longitudinal data systems; schools; or other third-party verified data sources.

Definitions of Summative Evaluation Design Approaches

Experimental study means a study that employs random assignment of, for example, students, teachers, classrooms, schools, or districts to participate in a project being evaluated (treatment group) or not to participate in the project (control group). The effect of the project is the average difference in outcomes between the treatment and control groups.

Quasi-experimental study means an evaluation design that attempts to approximate an experimental design and can support causal conclusions (i.e., minimizes threats to internal validity, such as selection bias, or allows them to be modeled). Well-designed quasi-experimental studies include carefully matched comparison group designs (as defined in this notice), interrupted time series designs (as defined in this notice), or regression discontinuity designs (as defined in this notice).

Carefully matched comparison group design means a type of quasi-experimental study that attempts to approximate an experimental study. More specifically, it is a design in which project participants are matched with non-participants based on key characteristics that are thought to be related to the outcome. These characteristics may include, but are not limited to: (1) prior test scores and other measures of academic achievement (preferably, the same measures that the study will use to evaluate outcomes for the two groups); (2) demographic characteristics, such as age, disability status, gender, English proficiency, ethnicity, poverty level, parents’ educational attainment, and single- or two-parent family background; (3) the time period in which the two groups are studied (e.g., the two groups are children entering kindergarten in the same year as opposed to sequential years); and (4) methods used to collect outcome data (e.g., the same test of reading skills administered in the same way to both groups).

Interrupted time series design¹ means a type of quasi-experimental study in which the outcome of interest is measured multiple times before and after the treatment for program participants only.  If the program had an impact, the outcomes after treatment will have a different slope or level from those before treatment.  That is, the series should show an “interruption” of the prior situation at the time when the program was implemented.  Adding a comparison group time series, such as schools not participating in the program or schools participating in the program in a different geographic area, substantially increases the reliability of the findings.

Regression discontinuity design study means, in part, a quasi-experimental study design that closely approximates an experimental study. In a classic regression discontinuity design, participants are assigned to a treatment or comparison group based on the basis of some assignment variable, such as their score on a pretest. Individuals above or below some pre-determined point will be assigned to treatment or control groups based on that variable (e.g. students scoring below 70 on an Algebra I pre-test receive specialized tutoring sessions and those at 70 and above do not). The impact of the intervention is measured by determining the difference in outcomes between individuals immediately above or below the cut point on the initial assignment variable (e.g. comparing the final test scores of students who got a 69 on the pretest and received tutoring with those who scored 70 on the pretest and did not). High-quality regression discontinuity designs require large numbers of individual cases at or near the cut point in order to increase statistical power.

Independent evaluation means that the evaluation is designed and carried out independent of, but in coordination with, any employees of the entities who develop a practice, strategy, or program and are implementing it. This independence helps ensure the objectivity of an evaluation and prevents even the appearance of a conflict of interest.

Selection Criteria for State Grants

The Secretary considers seven criteria drawn from the Education Department General Administrative Regulations (EDGAR): (1) the need for the project; (2) the quality of project design (3) the quality of project services; (4) the quality of project personnel; (5) the quality of the management plan; (6) the quality of the project evaluation; and (7) the adequacy of project resources. In addition, there are four competitive preference priorities.

1. NEED FOR THE PROJECT (15 POINTS):

In determining the need for the proposed project, the Secretary considers the following factors:

• The magnitude or severity of the problem to be addressed by the proposed project; and

• The extent to which specific gaps or weaknesses in services, infrastructure, or opportunities have been identified and will be addressed by the proposed project, including the nature and magnitude of those gaps or weaknesses.

2. QUALITY OF PROJECT DESIGN (15 POINTS):

In determining the quality of project design, the Secretary considers the following factors:

• The extent to which the goals, objectives, and outcomes to be achieved by the proposed project are clearly specified and measurable;

• The extent to which the project design reflects up-to-date research and the replication of effective practices; and

• The extent to which the project supports systemic changes from which future cohorts of students will benefit.

3. QUALITY OF PROJECT SERVICES (15 POINTS):

In determining the quality of project services provided by the proposed project, the Secretary considers the quality and sufficiency of strategies for ensuring equal access and treatment for eligible project participants who are members of groups that have traditionally been underrepresented based on race, color, national origin, gender, age, or disability.

In addition, the Secretary considers the following factors:

• The extent to which the project services are likely to increase the percentage of students taking rigorous courses that reflect challenging academic standards and reduce the need for remedial education at the postsecondary level; increase the percentage of secondary school completion; increase students knowledge of and access to financial assistance for postsecondary education; increase the percentage of students enrolling and succeeding in postsecondary education; and appropriate to the needs of the intended recipients or beneficiaries of those services; and

• The extent to which the services to be provided by the proposed project involve the collaboration of appropriate partners for maximizing the effectiveness of project services.

4. QUALITY OF PROJECT PERSONNEL (10 POINTS):

In determining the quality of project personnel, the Secretary considers the extent to which the applicant encourages applications for employment from persons who are members of groups that have traditionally been underrepresented based on race, color, national origin, gender, age or disability. In addition, the Secretary considers the following factors:

• The qualifications, including relevant training and experience, of the project director or principal investigator, and

• The qualifications, including relevant training and experience of key personnel.

5. QUALITY OF THE MANAGEMENT PLAN (10 POINTS):

In determining the quality of the management plan for the proposed project, the Secretary considers the following factors:

• The adequacy of the management plan to achieve the objectives of the proposed project on time and within budget, including clearly defined responsibilities, timelines, and milestones for accomplishing project tasks;

• The adequacy of procedures for ensuring feedback and continuous improvement in the operation of the proposed project;

• The extent to which the time commitments of the project director and other key project personnel are appropriate and adequate to meet the objectives of the proposed project; and

• How the applicant will ensure that a diversity of perspectives are brought to bear in the operation of the proposed project, including those of parents, teachers, the business community, a variety of disciplinary and professional fields, recipients or beneficiaries of services, or others, as appropriate.

6. QUALITY OF THE PROJECT EVALUATION (20 POINTS):

In determining the quality of the project evaluation, the Secretary considers the following factors:

• The extent to which the methods of evaluation are thorough, feasible, and appropriate to the goals, objectives, and outcomes of the proposed project.

• The extent to which the methods of evaluation include the use of objective performance measures that are clearly related to the intended outcomes of the project and will produce quantitative and qualitative data to the extent possible; and

• The extent to which the methods of evaluation will provide performance feedback and permit periodic assessment of progress toward achieving intended outcomes.

• The extent to which the evaluation will provide guidance about effective strategies suitable for replication or testing in other settings.

7. ADEQUACY OF RESOURCES (15 POINTS):

In determining the adequacy of resources for the proposed project, the Secretary considers the following factors:

• The adequacy of support, including facilities, equipment, supplies and other resources, from the applicant organization or the lead applicant organization;

• The relevance and demonstrated commitment of each partner in the proposed project to the implementation and success of the project;

• The extent to which the costs are reasonable in relation to the number of persons to be served and the anticipated results and benefits; and

• The potential for continued support of the project after Federal funding ends, including, as appropriate, the demonstrated commitment of appropriate entities to such support.

8. COMPETITIVE PREFERENCE PRIORITY 1 (2 POINTS):

The Secretary may award up to 2 points to for this priority depending upon how well the applicant meets the following factors:

• Has carried out a successful State GEAR UP grant prior to August 14, 2008 , determined on the basis of data (including outcome data) submitted by the applicant as part of its annual and final performance reports, and the applicant’s history of compliance with applicable statutory and regulatory requirements; and

• Has a prior, demonstrated commitment to early intervention leading to college access through collaboration and replication of successful strategies.

9. COMPETITIVE PREFERENCE PRIORITY 2 (3 POINTS):

The Secretary may award up to 3 points for this priority depending upon how well the applicant meets the following factors:

• The extent of improving student achievement in persistently lowest-achieving schools.

• The extent of increasing graduation rates and college enrollment rates for students in persistently lowest-achieving schools.

10. COMPETITIVE PREFERENCE PRIORITY 3 (3 POINTS):

The Secretary may award up to 3 points for this priority depending upon how well the applicant meets the following factors:

• The extent of improving instructional practices, policies and student outcomes in elementary and secondary schools.

• The extent of improving postsecondary student outcomes relating to enrollment, persistence, and completion and leading to career success.

• The extent of providing reliable and comprehensive information on the implementation of Department of Education programs, and participant outcomes in these programs, especially by developing strategies with appropriate State agencies to use data from State longitudinal data systems or by obtaining data from reliable third-party sources.

11. COMPETITIVE PREFERENCE PRIORITY 4 (4 POINTS):

The Secretary may award up to 4 points for this priority depending upon how well the applicant meets the following factors:

• The development or implementation of curriculum or instructional materials aligned with those standards.

• The development or implementation of professional development or preparation programs aligned with those standards.

• Strategies that translate the standards into classroom practice.

Notes

QUALITY OF PROJECT DESIGN

In demonstrating use of up-to-date research and the replication of effective practices, applicants are encouraged to consider using proven academic on-track indicators.

Examples of systemic change include increased coordination among secondary and postsecondary schools; school-, district-, or state-wide adoption of rigorous academic standards and course requirements; increased school, district or statewide capacity for data collection, tracking, and analysis.

QUALITY OF PROJECT PERSONNEL

Key personnel identified should include personnel responsible for data collection, tracking, analysis and reporting, and personnel responsible for evaluation.

QUALITY OF THE PROJECT EVALUATION

Applicants are encouraged to discuss the extent to which data collection, tracking, analysis, and reporting methods will facilitate rigorous evaluation.

Applicants are encouraged to discuss how data collection, tracking, analysis, and reporting would differentiate students in each of the following categories, or others as appropriate:

• GEAR UP students who receive services in middle school only

• GEAR UP students who receive services in high school only

• GEAR UP students who receive services in middle school and high school only

• GEAR UP students who receive services in high school and college only

• GEAR UP students who receive services in middle school, high school, and college

Contact Information

GEAR UP Director

James Davis

Program Staff

David Howe

Sariane Leigh

Pariece Wilkins

Gaining Early Awareness and

Readiness for Undergraduate Programs

U.S. Department of Education

1990 K Street N.W., Room 7025

Washington, DC 20006-8524

(202) 219-7104

Fax: (202) 219-7074

Web Page: http://www2.ed.gov/programs/gearup/index.html

INSTRUCTIONS FOR

COMPLETING THE

GEAR UP

APPLICATION PACKAGE

INSTRUCTIONS FOR COMPLETING THE

APPLICATION PACKAGE

The GEAR UP application consists of three parts. These parts are organized in the same manner that the submitted application should be organized. The parts are as follows:

Part I: 424 Forms

• Application for Federal Assistance – (SF 424)

• Department of Education Supplemental Information for SF 424

*Note:

Please do not attach any narratives, supporting files, or application components to the SF 424. Although the form accepts attachments, the Department of Education will review only the materials/files attached to the forms listed below.

Part II: Project Narrative

• ED Abstract Form

• Project Narrative Attachment Form– includes the narrative sections addressing the program selection criteria.

• Other Attachment Forms (GEAR UP Specific Forms)

The ED Abstract Form is where you attach your one-page project abstract.

The abstract should include: applicant name, information about the project’s goals and objectives, number of students to be served, the target school(s), a list of partners, and the activities and services that will be implemented during the six or seven-year performance period.

Formatting Requirements:

Information provided in the one-page abstract may be single-spaced. However, the font requirements in the Project Narrative Attachment Form also apply to the ED Abstract Form.

Note the following:

• A “page” is 8.5 inches by 11 inches, on one side only, with 1-inch margins at the top, bottom, and both sides. Page numbers and an identifier may be within 1-inch margin.

• Applicants may use one of the following fonts: Times New Roman, Courier, Courier New, or Arial only. Applications submitted in any other font (including Times Roman and Arial Narrow) will not be accepted. Do not use anything smaller than a 12-point font.

The Project Narrative Attachment Form includes the narrative sections addressing the program selection criteria that will be used to evaluate applications submitted for this competition. As a guide for reviewers, applicants are encouraged to label each section in the narrative by its associated criterion. You must limit the project narrative to no more than 45 double-spaced pages. Applications that exceed the page limit will not be considered for funding and will be returned to the applicant. However, if you choose to address the invitational priority and/or competitive preference priorities, you must limit your discussion on the invitational priority to only 4 additional pages and discussion on the competitive preference priorities to only 20 additional pages above the 45 page narrative limitation. A page is 8.5 inches by 11 inches, on one side only, with 1-inch margins at the top, bottom, and both sides. Page numbers and an identifier may be within 1-inch margin. Double space all text in the application narrative, except titles, headings, footnotes, quotations, references, and captions, as well as all text in charts, tables, figures, and graphs. Use a font that is 12-point or larger. The page limits do not apply to the Budget Summary Form and Budget Narrative; other application forms attached in the “Other Attachments Form” section; or the Assurances and Certifications. We will reject your application if you do not apply these standards and exceed the page limit.

Applicants may use one of the following fonts: Times New Roman, Courier, Courier New, or Arial only. Applications submitted in any other font (including Times Roman and Arial Narrow) will not be accepted.

Do not use anything smaller than a 12-point font.

The Other Attachments Form is where you upload the following:

• Upload the following GEAR UP program-specific forms (found at the end of the application package):

• Students To Be Served Form, Project Budget Summary Form, Detailed Budget Narrative (no specific form), Applicant Organization Identification Form and Cost Share Worksheet, Partner Identification Form and Cost Share Worksheet (please provide for each partner), and Documentation of Student Eligibility for Free or Reduced-Price Lunch (no specific form).

• Governor’s Letter

• Scholarship Waiver Request (if applicable)

Please do not modify or change the contents of these forms in any way. Please also note there is no specific form or format for the Detailed Budget Narrative and Documentation of Student Eligibility for Free or Reduced-Price Lunch.

Applicants must complete these forms from this document (the application package). Once the forms have been completed and saved, the applicant must upload the documents (separate files) to the “Other Attachments Form” in the Grants.gov system. The documents must be in a PDF (Portable Document) format. Other types of files will not be accepted. Please note: Grants.gov cannot process an application that includes two or more files that have the same name within a grant submission. Therefore, each file uploaded to your application package should have a unique file name.

Part III: Assurances and Certifications

• GEPA Section 427 Requirement

• Certification Regarding Lobbying (formerly ED form 80-0013)

• Assurances – Non-Construction Programs (SF 424B)

• Disclosure of Lobbying Activities (SF-LLL)

• Survey on Ensuring Equal Opportunity for Applicants

IMPORTANT NOTICE TO PROSPECTIVE PARTICIPANTS

IN U.S. Department of Education CONTRACT AND GRANT PROGRAMS

GRANTS

Applicants for grants from the U.S. Department of Education (ED) have to compete for limited funds.

Deadlines assure all applicants that they will be treated fairly and equally, without last minute haste.

For these reasons, ED must set strict deadlines for grant applications. Prospective applicants can avoid disappointment if they understand that

Failure to meet a deadline will mean that an applicant will be rejected

without any consideration whatever.

The rules, including the deadline, for applying for each grant are published, individually, in the Federal Register. A one-year subscription to the Register may be obtained by sending $340.00 to: Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402-9371. (Send check or money order only, no cash or stamps.)

The instructions in the Federal Register must be followed exactly. Do not accept any other advice you may receive. No ED employee is authorized to extend any deadline published in the Register.

Questions regarding submission of applications may be addressed to:

U.S. Department of Education

Application Control Center

Washington, D.C. 20202-4725

CONTRACTS

Competitive procurement actions undertaken by the ED are governed by the Federal Procurement Regulations and implementing ED Procurement Regulations.

Generally, prospective competitive procurement actions are synopsized in the Commerce Business Daily (CBD). Prospective offerors are therein advised of the nature of the procurement and where to apply for copies of the Request for Proposals (RFP).

Offerors are advised to be guided solely by the contents of the CBD synopsis and the instructions contained in the RFP. Questions regarding the submission of offers should be addressed to the Contracting Specialist identified on the face page of the RFP.

Offers are judged in competition with others, and failure to conform with any substantive requirements of the RFP will result in rejection of the offer without any consideration whatever.

Do not accept any advice you receive that is contrary to instructions contained in either the CBD synopsis or the RFP. No ED employee is authorized to consider a proposal which is non-responsive to the RFP.

A subscription to the CBD is available for $208.00 per year via second class mailing or $261.00 per year via first class mailing. Information included in the Federal Acquisition Regulations is contained in Title 48, Code of Federal Regulations, Chapter 1 ($49.00). The foregoing publication may be obtained by sending your check or money order only, no cash or stamps, to:

Superintendent of Documents

U.S. Government Printing Office

Washington, D.C. 20402-9371

In an effort to be certain this important information is widely disseminated, this notice is being included in all ED mail to the public. You may, therefore, receive more than one notice. If you do, we apologize for any annoyance it may cause you.

ED FORM 5348, 8 '92 REPLACES ED FORM 5348, 6 '86, WHICH IS OBSOLETE

INTERGOVERNMENTAL REVIEW OF FEDERAL PROGRAMS

EXECUTIVE ORDER 12372

This program falls under the rubric of Executive Order 12372 (Intergovernmental Review of Federal Programs) and the regulations in 34 CFR Part 79. One of the objectives of the Executive Order is to strengthen federalism--or the distribution of responsibility between localities, States, and the Federal government--by fostering intergovernmental partnerships. This idea includes supporting processes that State or local governments have devised for coordinating and reviewing proposed Federal financial grant applications.

The process for doing this requires grant applicants to contact State Single Points of Contact for information on how this works. Multi-state applicants should follow procedures specific to each state.

Further information about the State Single Point of Contact process and a list of names by State can be found at:

http://www.whitehouse.gov/omb/grants/spoc.pdf

Absent specific State review programs, applicants may submit comments directly to the Department. All recommendations and comments must be mailed or hand-delivered by the date indicated in the actual application notice to the following address: The Secretary, EO 12372--CFDA# [commenter must insert number--including suffix letter, if any], U.S. Department of Education, room 7E200, 400 Maryland Avenue, SW., Washington, DC 20202.

Proof of mailing will be determined on the same basis as applications (see 34 CFR §75.102). Recommendations or comments may be hand-delivered until 4:30 p.m. (eastern time) on the closing date indicated in this notice.

Important note: The above address is not the same address as the one to which the applicant submits its completed applications. Do not send applications to the above address.

Notice to All Applicants:

The Government Performance and Results Act (GPRA)

What is GPRA?

The Government Performance and Results Act of 1993 is a straightforward statute that requires all Federal agencies to manage their activities with attention to the consequences of those activities. Each agency is to clearly state what it intends to accomplish, identify the resources required, and periodically report their progress to the Congress. In doing so, it is expected that GPRA will contribute to improvements in accountability for the expenditures of public funds, improve Congressional decision-making through more objective information on the effectiveness of Federal programs, and promote a new government focus on results, service delivery, and customer satisfaction.

How has the Department of Education Responded to the GPRA Requirements?

As required by GPRA, the Department of Education has prepared a strategic plan for 2007‑2012. This plan reflects the Department's priorities and integrates them with its mission and program authorities and describes how the department will work to improve education for all children and adults in the United States. The Department's goals, as listed in the plan, are:

Goal 1: Improve student achievement, with a focus on bringing all students to grade level in reading and mathematics by 2014.

Goal 2: Increase the academic achievement of all high school students.

Goal 3: Ensure the accessibility, affordability, and accountability of higher education, and better prepare students and adults for employment and future learning.

What are the Performance Indicators for the GEAR UP Program?

The Department’s specific goal for the GEAR UP Program is: “to significantly increase the number of low-income students who are prepared to enter and succeed in post-secondary education.”

Objective 1: Increase the academic performance and preparation for post-secondary education

of GEAR UP students.

Objective 2: Increase the rate of high school graduation and enrollment in post-secondary

education for GEAR UP students.

Objective 3: Increase GEAR UP students’ and their families’ knowledge of post-secondary

education options, preparation, and financing.

Application Package Checklist

Before you submit the application package, please review the following list to ensure that you have attached all required materials/files.

Standard Departmental Application Forms, Assurances, and Certifications

• Application for Federal Assistance (SF-424)

• Department of Education Supplemental Information for SF-424

• GEPA Section 427 Requirement

• Certification Regarding Lobbying (formerly ED form 80-0013)

• Assurance - Non-Construction Programs (SF 424B)

• Disclosure of Lobbying Activities (SF-LLL)

• Survey on Ensuring Equal Opportunity for Applicants

GEAR UP Program Specific Forms

• Students To Be Served Form

• Project Budget Summary Form

• Applicant Organization Identification Form and Cost Share Worksheet

• Partner Identification Form and Cost Share Worksheet

• Documentation of Student Eligibility for Free or Reduced – Price Lunch

Additional Documents

• Governor’s Letter

• ED Abstract Form (one page maximum)

• Project Narrative Attachment Form (45 page maximum)

• Project Invitational Priority (4 page maximum)

• Project Competitive Preference Priorities (4 priorities/20 page maximum)

• Budget Narrative - Detailed

INSTRUCTIONS FOR STANDARD AND

PROGRAM SPECIFIC FORMS

PROGRAM-SPECIFIC FORMS INSTRUCTIONS:

Students to be served: This form presents an outline of the proposed cohort of students to be served during the six- or seven-year performance period.

BUDGET SUMMARY FORM: This form presents a complete budget summary for each year of grant funding. Please provide a justification for this budget by including, for each year, a narrative for each budget line item, which explains: (1) the basis for estimating the costs of professional personnel salaries, benefits, project staff travel, materials and supplies, consultants and subcontracts, indirect costs, and any projected expenditures; (2) how the major cost items relate to the proposed activities; and (3) the costs of evaluation. Please include travel funds to attend annual conferences and workshops. Each trip will be for four days for up to six persons paid for out of project funds. At these meetings, each grant recipient will have an opportunity to strengthen its efforts by collaborating with other grantees funded in this program and receive technical assistance from U.S. Department of Education personnel. Applicants are reminded that GEAR UP funds must be used to supplement, not supplant, funds for existing programs.

APPLICANT ORGANIZATION IDENTIFICATION FORM AND COST SHARE WORKSHEET: The support, contribution, and commitment of the partner serving as the grant Applicant should be described clearly within the narrative. Additionally, the Applicant Organization Identification Form and Cost Share Worksheet, documents the role and contribution of the Partnership’s Applicant Organization.

PARTNER IDENTIFICATION FORM AND COST SHARE WORKSHEET: The support, contributions, and commitment of each partner should be described clearly within the narrative. Additionally, a Partner Identification Form and Cost Share Worksheet for each member of the partnership, other than the lead partner, document the role and contribution of each partner. The total of the contributions on each of the Cost Share Worksheets should equal the total matching dollars on the Project Budget Summary Form.

STANDARD APPLICATION FORMS INSTRUCTIONS:

APPLICATION FOR FEDERAL EDUCATION ASSISTANCE (SF 424 FORM) INSTRUCTIONS: Applicants should read the accompanying directions before filling out this form.

DEPARTMENT OF EDUCATION SUPPLEMENTAL INFORMATION FOR SF 424 INSTRUCTIONS: Applicants should read the accompanying directions before filling out this form.

GEPA SECTION 427 REQUIREMENT: Section 427 of the General Education Provisions Act (GEPA) requires each applicant to include in its application a description of proposed steps to ensure equitable access to, and participation in, its Federally-assisted program. The statute, which allows applicants discretion in developing the required description, highlights six types of barriers that can impede equitable access or participation: gender, race, national origin, color, disability, or age. You may use local circumstances to determine the extent to which these or other barriers prevent equitable participation by students, teachers, parents, or other community members. Your description need not be lengthy, but it should include a clear and succinct description of how you plan to address those barriers that are applicable to your circumstances, and it should support the discussion of similar issues in the narrative section of the application.

CERTIFICATION REGARDING LOBBYING (ED 80-0013): Applicants should refer to the regulations cited in each section of the form to determine the certification to which they are required to attest.

STANDARD FORM 424B, ASSURANCES-NON-CONSTRUCTION PROGRAM: Applicants should read each section of the form to determine which of the assurances apply to their project.

Disclosure of Lobbying Activities (SF-LLL): Applicants should read the accompanying directions before filling out this form.

SURVEY ON ENSURING EQUAL OPPORTUNITY FOR APPLICANTS: Applicants should read the accompanying directions before filling out this form.

GEAR UP PROGRAM-SPECIFIC FORMS

Approved by OMB 1840-XXXX

Students To Be Served Form

For all grants using a cohort approach, indicate the number of students your project intends to serve in each grade level each year of the project period:

	YEAR 1	YEAR 2	YEAR 3	YEAR 4	YEAR 5	YEAR 6	YEAR 7
Kindergarten
1st
2nd
3rd
4th
5th
6th
7th
8th
9th
10th
11th
12th
First Year IHE*
Total Students Served

For State grants not using a cohort approach:

	YEAR 1	YEAR 2	YEAR 3	YEAR 4	YEAR 5	YEAR 6	YEAR 7
Total Students Served

For Grants using a cohort approach:

Are at least 50% of all the students in the participating school(s) from which the cohort(s) is drawn eligible for free or reduced-price lunch under the National School Lunch Act? ____Yes ____ No

*Institution of Higher Education

Approved by OMB 1840-XXXX

Project Budget Summary Form

FEDERAL FUNDS REQUESTED FROM THE GEAR UP GRANT PROGRAM

Direct Cost	YEAR 1	YEAR 2	YEAR 3 Y	YEAR 4	YEAR 5	YEAR 6	YEAR 7	TOTAL
1. Salaries and Wages
2. Employee Benefits
3. Travel
4. Materials and Supplies
5. Consultants & Contracts
6. Other
Total Direct Costs: (Sum of lines 1-6)
Total Indirect Costs*: (cannot be greater than 8% of Total Direct Costs)
Equipment
D. Scholarships/ Tuition Assistance
E. TOTAL REQUESTED (A + B+ C+D)

All items must be addressed in the detailed budget justification

*Indirect Cost Information (To Be Completed by Your Business Office):

If you are requesting reimbursement for indirect costs on line B, please answer the following questions:

1. Do you have an Indirect Cost Rate Agreement approved by the Federal government?

____Yes ____ No

2. If yes, please provide the following information:

Period Covered by the Indirect Cost Rate Agreement:

From: ___/___/______ To: ___/___/______ (mm/dd/yyyy)

Approving Federal agency: ____ ED ____ Other (please specify): ____________

3. For Restricted Rate Programs (check one) -- Are you using a restricted indirect cost rate

that: ___Is included in your approved Indirect Cost Rate Agreement? or ___ Complies

with 34 CFR 76.564(c)(2)?

MATCHING FUNDS PROVIDED BY NON-FEDERAL SOURCES

All items must be addressed in the detailed budget justification

Direct Costs:	YEAR 1	YEAR 2	YEAR 3	YEAR 4	YEAR 5	YEAR 6	YEAR 7		TOTAL
1. Salaries and Wages
2. Employee Benefits
3. Travel
4. Materials and Supplies
5. Consultants and Contracts
6. Other
A. Total Direct Costs: (Sum of lines 1-6)
B. Total Indirect Costs: (cannot be greater than 8% of Total Direct Costs)
C. Equipment
Scholarships/ Tuition Assistance
TOTAL MATCHING FUNDS FROM NON- FEDERAL SOURCES (A+B+C+D)

Approved by OMB 1840-XXXX

Applicant Organization Identification

Form and Cost Share Worksheet

Please provide the following information for the Applicant Organization and its share of matching commitments (cash or in-kind) for each year of the proposed project.

1. Type of Institution/Organization:

Are you a State Education Agency (SEA)? ____Yes ____ No

Are you an Institution of Higher Education (IHE)? ____Yes ____ No Type of IHE: ____Four-Year ____Two-Year ____Public ____ Private ____ College ____ University ____HBCU ____HSI ____TCCU ____NHSI ____ ANSI

2. Matching Funds Provided by Applicant Organization

YEAR 1

YEAR 2

YEAR 3

YEAR 4

YEAR 5

YEAR 6

YEAR 7

TOTAL

Salaries and Wages

Employee Benefits

Travel

Materials and Supplies

Consultants and Contracts

Other

Total Direct Costs (Sum of lines 1-6)

Total Indirect Costs: (cannot be greater than 8% of Total Direct Costs)

Equipment

Scholarships/ Tuition Assistance

TOTAL COMMITMENT (Lines A + B+ C+D)

Approved by OMB 1840-XXXX

Partner Identification Form and Cost Share Worksheet

Please complete one form for each partner (other than the Applicant Organization).

1. Institution/Organization________________________________________________________________

Point of Contact: Name____________________________________________________________________

Title_______________________________Department___________________________________________

Address_________________________________________________________________________________

City _______________________________ State_________________________ Zip _________________

Telephone _______________________ e-mail ______________________Fax ______________________

2. Type of Organization:

Are you a Local Educational Agency (LEA)? ____ Yes ____No

Other types: ___Business ___Community-based organization ___Professional association ___Philanthropic Organization ___State Agency Other: ____________________ PR Award No.________________

Are you an Institution of Higher Education (IHE)? ____ Yes ____No Type of IHE: ___Four-Year ___Two-Year ___Public ___Private ___College ___University ___HBCU ___HSI ___TCCU ___NHSI ___ANSI

3. Non-Federal Fund contribution provided by Partner

YEAR 1

YEAR 2

YEAR 3

YEAR 4

YEAR 5

YEAR 6

YEAR 7

TOTAL

1. Salaries and Wages

2. Employee Benefits

3. Travel

4. Materials and Supplies

5. Consultants and Contracts

6. Other

Total Direct Costs (Sum of lines 1-6)

Total Indirect Costs: (Cannot be greater than 8% of Total Direct Costs)

Equipment

Scholarships/Tuition Assistance

TOTAL COMMITMENT (Lines A + B+ C+D)

Please summarize the partner’s specific support and commitment to the project in this space.

SIGNATURE OF AUTHORIZING OFFICIAL: _________________________________________

NAME OF AUTHORIZING OFFICIAL:_______________________________________________

TITLE OF AUTHORIZING OFFICIAL:_______________________________________________

Paperwork Burden Statement

According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. Public reporting burden for this collection of information is estimated to average 60 hours per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. The obligation to respond to this collection is required to obtain or retain benefit (Higher Education Opportunity Act (Public Law 110-315) (HEOA). Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the U.S. Department of Education, 400 Maryland Ave., SW, Washington, DC 20210-4537 or email [email protected] and reference the OMB Control Number 1840-04489. Note: Please do not return the completed GEAR UP Application for State Grants to this address.

1 A single subject or single case design is an adaptation of an interrupted time series design that relies on the comparison of treatment effects on a single subject or group of single subjects. There is little confidence that findings based on this design would be the same for other members of the population. In some single subject designs, treatment reversal or multiple baseline designs are used to increase internal validity. In a treatment reversal design, after a pretreatment or baseline outcome measurement is compared with a post treatment measure, the treatment would then be stopped for a period of time; a second baseline measure of the outcome would be taken, followed by a second application of the treatment or a different treatment. A multiple baseline design addresses concerns about the effects of normal development, timing of the treatment, and amount of the treatment with treatment-reversal designs by using a varying time schedule for introduction of the treatment and/or treatments of different lengths or intensity.

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