Application for Grants under the Upward Bound Program - Public Institutions

U.S. Department of Education

OFFICE OF POSTSECONDARY EDUCATION

Washington, DC 20202

www.ed.gov/about/offices/list/ope/trio/index.html

FY 20XX APPLICATION FOR GRANTS UNDER THE UPWARD BOUND PROGRAM

ALN: 84.047A

FORM APPROVED

OMB No. 1840-0550, Expires: xx/xx/xxxx

DATED MATERIAL – OPEN IMMEDIATELY CLOSING DATE: TBD

Dear Applicant Letter 3

Competition Highlights 4

Overview 6

Grants.gov Submission Procedures and Tips for Applicants 8

Application Transmittal Instructions 12

Notice Inviting Applications for New Awards 14

Authorizing Legislation 43

Upward Bound Program Regulations 44

Annual Low-Income Levels 72

Intergovernmental Review of Federal Programs 73

Supplemental Information 74

Upward Bound Program Profile Form 78

Upward Bound Program Assurances 82

Prior Experience 83

INSTRUCTIONS

Instructions for Completing the Application Package 87

Instructions for Project Narrative-Selection Criteria 89

Competitive Preference Priorities for FY 20XX 95

Performance Indicators 96

Instructions for Budget Summary Form & Itemized Budget 97

Instructions for Standard Forms 101

Application Checklist 102

Paperwork Burden Statement 103

UNITED STATES DEPARTMENT OF EDUCATION

OFFICE OF POSTSECONDARY EDUCATION

Dear Applicant,

We are pleased to provide the application package for the fiscal year (FY) 20XX Upward Bound (UB) Program grant competition, which contains the information and instructions needed to submit a complete application to the U.S. Department of Education (Department) through Grants.gov.

The UB Program provides grants to institutions of higher education to operate projects that provide opportunities for academic development, student assistance with basic college requirements, and motivation for students to successfully complete their postsecondary education. The goal of the UB Program is to support projects designed to generate in program participants the skills and motivation necessary to complete a program of secondary education and to enter and succeed in a program of postsecondary education.

The FY 20XX competition contains TBD competitive preference priorities, which are described in the Notice Inviting Applications (Notice) in the Federal Register and this application package. We encourage applicants to consider addressing these competitive preference priorities.

Please review the entire application package carefully before preparing and submitting an application. Additional information on the UB Program is accessible on the Department’s website at http://www2.ed.gov/programs/trioupbound/index.html.

Please do not rely upon any information that is inconsistent with the guidance contained within the Notice.

Thank you for your interest in the UB Program. We look forward to receiving your application.

Sincerely,

Nasser Paydar

Assistant Secretary for Postsecondary Education

1. Upward Bound (UB) Program applications for FY 20XX must be submitted electronically using 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. Grants.gov is accessible through its portal page at: http://www.Grants.gov. The requirements for obtaining an exception to the electronic submission requirement are included in the Notice Inviting Applicants (Notice) FY 20XX. If you think you may need an exception, you are urged to review the requirements promptly.

REGISTER EARLY – Grants.gov registration involves many steps including registration on SAM (www.sam.gov) which can take up to several weeks to complete, depending upon the completeness and accuracy of the data entered into the SAM database by an applicant. 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.

Please note that once your SAM registration is active, it will take 24-48 hours for the information to be available in Grants.gov.

2. Grants.gov does not allow applicants to “un-submit” applications. Therefore, if you discover that changes or additions are needed once your application has been accepted and validated by the Department, you must “re-submit” the application. You should know that if the Department receives duplicate applications, we will accept and process the application with the latest “date/time received” validation.

3. Please note that you must submit your application by 11:59:59 p.m. (Eastern 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.

4. We recommend that you limit the project narrative, which includes the priorities and the budget narrative, to no more than 65 pages.

5. All attachments must be in Portable Document Format (PDF) or Microsoft Word. Other types of files will not be accepted. We highly recommend that all attachments are in PDF format. You must provide the Unique Entity Identifier (UEI) number that was used when your organization registered with the System for Award Management (SAM).

For Grants.gov-related questions and assistance, please contact:

Support Desk e-Mail: [email protected]

Support Desk Telephone: (800) 518-4726

Contact Telephone Hours: 24 hours, 7 days a week, except Federal holidays Website: http://www.Grants.gov

Also, refer to the “U.S. Department of Education Grants.gov Submission Procedures and Tips for Applicants” section found in this application booklet.

You are reminded that the Notice 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 Notice.

6. As you develop your application, we ask you to carefully consider the specific content that you will provide in the Objectives section within the Project Narrative of the application. This part of the application should address the appropriate standardized objectives related to academic performance as measured by grade point average, academic performance as measured by standardized tests, secondary school retention and graduation, secondary school graduation with a rigorous secondary school program of study, postsecondary enrollment, and postsecondary completion, as stated on the Upward Bound (UB) Program Profile Sheet. You must address each of the appropriate objectives, in the Objectives section, and explain how each objective is ambitious and attainable.

Applicants should use comparative data to show why the proposed percentages are ambitious based on information provided in the Need section of the Project Narrative, and attainable based on the permissible and required services provided in the Plan of Operation section and the resources available to the project in the Quality of Personnel, Applicant and Community Support, and Budget and Cost Effectiveness sections. Applicants may not modify, amend or delete any of the standardized objectives.

7. Consistent with the Higher Education Act of 1965, as amended (HEA), applicants may submit multiple UB Program applications to serve different target areas or target schools.

8. All applicants MUST complete the UB Program Profile Form. The UB Program Profile Form contains six standardized objectives. All applicants are required to propose the percentage or number—as indicated on the form—at which each of these objectives will be met. Applicants may not modify, amend or delete any of these objectives. Instructions for submitting the form are included in the Instructions for Completing the Application Package.

9. All applicants must provide a one-page abstract. Complete instructions for submitting the abstract are included in the Instructions for Completing the Application Package in this application. The abstract must be uploaded into the ED Abstract Form in Grants.gov and will be shared publicly on the Department’s website.

10. Information on the UB Program is accessible at the Department’s website at: http://www2.ed.gov/programs/trioupbound/index.html.

Authorization

Title IV, Part A, Subpart 2, Section 402C of the Higher Education Act of 1965, as amended (HEA) by the Higher Education Opportunity Act of 2008 (HEOA)

Program Regulations

34 CFR part 645 Upward Bound Program

What is the Upward Bound Program?

The Upward Bound (UB) Program: the Secretary shall carry out a program to be known as Upward Bound which shall be designed:

1. To generate in program participants the skills and motivation necessary to complete a program of secondary education and to enter and succeed in a program of postsecondary education

2. To provide Federal grants for the following three types of projects:

   1. Regular Upward Bound projects.

   2. Upward Bound Math and Science (UBMS) Centers.

   3. Veterans Upward Bound projects.

Who is eligible to receive a grant?

The following are eligible to apply for a grant to carry out an UB Program project:

1. Institutions of higher education

2. Public or private agencies or organizations, including community-based organizations with experience in serving disadvantaged youth

3. Secondary schools

4. Combinations of institutions, agencies, and organizations, and secondary schools

What activities and services does a project provide?

Required Services-

Any project assisted under this section must provide--

1. Academic tutoring

2. Advice and assistance in secondary and postsecondary course selection

3. Preparation for college entrance exams

4. Information on federal student financial aid programs:

   1. Federal Pell grant awards

   2. Loan forgiveness

   3. Scholarships

5. Assistance completing financial aid applications:

   1. Federal Student Aid

6. Guidance on and assistance in:

   1. Secondary school reentry

   2. Alternative education programs for secondary school dropouts that lead to the receipt of a regular secondary school diploma

   3. Entry into postsecondary education

7. Education or counseling services designed to improve the financial and economic literacy of students or the student’s parent, including financial planning for postsecondary education

(8). Any project that has received funds under this part for at least two years must include as part of its core curriculum, in the next and succeeding years, instruction in-

1. Mathematics through Pre-Calculus

2. Laboratory Science

3. Foreign Language

4. Composition

5. Literature

Permissible Services-

Any project assisted under this section may provide--

1. Exposure to cultural events and academic programs

2. Information, activities, and instruction designed to acquaint participants with the range of career options available

3. On-campus residential programs

4. Mentoring programs

5. Work study

6. Programs and activities designed for participants who are limited English proficient or are traditionally underrepresented in postsecondary education, individuals with disabilities, participants who are homeless children and youths, participants who are aging out of foster care, or other disconnected participants

Revised 3/2024

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 U.S. Department of Education (Department).

Browser Support

The latest versions of Microsoft Internet Explorer (IE), Mozilla Firefox, Google Chrome, and Apple Safari are supported for use with Grants.gov. However, these web browsers undergo frequent changes and updates, so we recommend you have the latest version when using Grants.gov. Legacy versions of these web browsers may be functional, but you may experience issues. Grants.gov no longer provides support for Microsoft Internet Explorer 9 or below.

For additional information or updates, please see the Grants.gov Browser information in the Applicant FAQs: https://www.grants.gov/applicants/applicant-faqs#browser.

ATTENTION – Workspace, Adobe Forms and PDF Files

Grants.gov applicants can apply online using Workspace. Workspace is a shared, online environment where members of a grant team may simultaneously access and edit different web forms within an application. For each funding opportunity announcement (FOA), you can create individual instances of a workspace.

Below is an overview of applying on Grants.gov. For access to complete instructions on how to apply for opportunities, refer to: https://www.grants.gov/applicants/workspace-overview.html.

1. Create a Workspace: Creating a workspace allows you to complete it online and route it through your organization for review before submitting.

2. Complete a Workspace: Add participants to the workspace to work on the application together, complete all the required forms online or by downloading PDF versions, and check for errors before submission. The Workspace progress bar will display the state of your application process as you apply. As you apply using Workspace, you may click the blue question mark icon near the upper-right corner of each page to access context-sensitive help.

1. Adobe Reader: If you decide not to apply by filling out web forms you can download individual PDF forms to upload in Workspace. The individual PDF forms can be downloaded and saved to your local device storage, network drive(s), or external drives, then accessed through Adobe Reader.

NOTE: Visit the Adobe Software Compatibility page on Grants.gov to download the appropriate version of the software at: https://www.grants.gov/applicants/adobe-software- compatibility.html.

2. Mandatory Fields in Forms: In the forms, you will note fields marked with an asterisk and a different background color. These fields are mandatory fields that must be completed to successfully submit your application.

3. Complete SF-424 Fields First: The forms are designed to fill in common required fields across other forms, such as the applicant name, address, and Unique Entity Identifier (UEI) Number. Once it is completed, the information will transfer to the other forms.

3. Submit a Workspace: An application may be submitted through workspace by clicking the Sign and Submit button on the Manage Workspace page, under the Forms tab. Grants.gov recommends submitting your application package at least 24-48 hours prior to the close date to provide you with time to correct any potential technical issues that may disrupt the application submission.

4. Track a Workspace Submission: After successfully submitting a workspace application, a Grants.gov Tracking Number (GRANTXXXXXXXX) is automatically assigned to the application. The number will be listed on the Confirmation page that is generated after submission. Using the tracking number, access the Track My Application page under the Applicants tab or the Details tab in the submitted workspace.

For additional training resources, including video tutorials, refer to https://www.grants.gov/applicants/applicant-training.html.

Helpful Reminders

1. REGISTER EARLY – Grants.gov registration involves many steps including registration on the System for Award Management (SAM.gov), which usually takes approximately 7 to 10 business days, but can take longer depending on the completeness and accuracy of the data entered into the SAM.gov database by an applicant. You may begin working on your application while completing the registration process, but you cannot submit until all of the Registration Steps are complete.

NOTE: It will take 24-48 hours once your SAM.gov registration is active before the information becomes available in Grants.gov, and you can submit an application through Grants.gov. For detailed information on the Registration Steps, please go to: https://www.grants.gov/applicants/applicant-registration. Please note that your organization will need to update its SAM.gov registration annually.

To register in SAM.gov, click on the “Get Started” link under the “Register Your Entity…” heading in SAM.gov. Grantees, and other entities wanting to do business with the U.S. Department of Education (e.g., entities applying for a grant), that are not already registered in SAM.gov must complete the “Register Entity” registration option and NOT the “Get a Unique Entity ID” option. The “Get a Unique Entity ID” option, which is not a full registration, is only available to entities for reporting purposes. Failing to complete the “Register Entity” option may result in loss of funding, loss of applicant eligibility, and/or delays in receiving a grant award.

Information about SAM.gov is available at www.SAM.gov. To further assist you with registering in SAM.gov or updating your existing SAM.gov registration, see the Quick Start Guide for Grant Registrations and the Entity Registration Video at https://sam.gov/content/entity-registration.

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 to Grants.gov before 11:59:59 p.m. Eastern Time on the deadline date.

You must provide the UEI on your application that was used when you registered as an Authorized Organization Representative (AOR) on Grants.gov. This UEI is assigned to your organization in SAM.gov at the time your organization registers in SAM.gov. If you do not enter the UEI assigned by SAM.gov on your application, Grants.gov will reject your application.

3. VERIFY SUBMISSION IS OK – You will want to verify that Grants.gov received your application submission on time 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 11:59:59 p.m. Eastern Time, on the deadline date, AND the application status should be: Validated, Received by Agency, or Agency Tracking Number Assigned. Once the Department receives your application from Grants.gov, an Agency Tracking Number (PR/award number) will be assigned to your application and will be available for viewing on Grants.gov’s Track My Application link.

If the date/time received is later than 11:59:59 p.m. Eastern 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 either change to “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: https://www.grants.gov/applicants/encountering-error-messages.html. For more detailed information on troubleshooting Adobe errors, you can review the Adobe Reader Software Tip Sheet at: https://www.grants.gov/applicants/adobe-software- compatibility.html. 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.

4. SUBMISSION PROBLEMS

   1. If you have problems submitting to Grants.gov before the closing date, please contact Grants.gov Customer Support at 1-800-518-4726 or email at: [email protected] or access the Grants.gov Self-Service Knowledge Base web portal at: https://grants- portal.psc.gov/Welcome.aspx?pt=Grants.

   2. The Department discourages paper applications, but if electronic submission is not possible (e.g., you do not have access to the internet), (1) you must provide a prior written notification that you intend to submit a paper application and (2) your paper application must be postmarked by the application deadline date. Your prior written notification may be submitted by email or by mail to the person listed in the FOR FURTHER INFORMATION CONTACT section of the competition Notice Inviting Applications (NIA). If you submit your notification by email, it must be received by the Department no later than 14 calendar days before the application deadline date. If you mail your notification to the Department, it must be postmarked no later than 14 calendar days before the application deadline date. (Refer to the NIA for detailed instructions)

Helpful Hints When Working with Grants.gov

Please go to https://www.grants.gov/support for help with Grants.gov. For additional tips related to submitting grant applications, please refer to the Grants.gov Applicant FAQs found at this Grants.gov link: https://www.grants.gov/applicants/applicant-faqs.html as well as additional information on Workspace at https://www.grants.gov/applicants/applicant- faqs#workspace.

Slow Internet Connections

When using a slow internet connection, such as 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. Failure to fully upload an application by the deadline date and time will result in your application being marked late in the G5 system. If you do not have access to a high-speed internet connection, 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 14 calendar days before the application deadline date. (See the NIA for detailed instructions)

Attaching Files – Additional Tips

Please note the following tips related to attaching files to your application:

• When you submit your application electronically, you must upload any narrative sections and all other attachments to your application as files in either Portable Document Format (PDF) or Microsoft Word. Although applicants have the option of uploading any narrative sections and all other attachments to their application in either PDF or Microsoft Word, we recommend applicants submit all documents as read-only flattened PDFs, meaning any fillable PDF files must be saved and submitted as non-fillable PDF files and not as interactive or fillable PDF files, to better ensure applications are processed in a more timely, accurate, and efficient manner.

• 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.

• When attaching files, applicants should follow the guidelines established by Grants.gov on the size and content of file names. Uploaded file names must be fewer than 50 characters, and, in general, applicants should not use any special characters. However, Grants.gov does allow for the following UTF-8 characters when naming your attachments: A-Z, a-z, 0-9, underscore, hyphen, space, period, parenthesis, curly braces, square brackets, ampersand, tilde, exclamation point, comma, semi colon, apostrophe, at sign, number sign, dollar sign, percent sign, plus sign, and equal sign. Applications submitted that do not comply with the Grants.gov guidelines will be rejected at Grants.gov and not forwarded to the Department.

• 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 with all attachments is less than 5 MB. Therefore, you may want to check the total size of your package before submission.

Application Submission Instructions: Applicants are required to follow the Common Instructions for Applicants to Department of Education Discretionary Grant Programs (Common Instructions), published in the Federal Register on December 7, 2022 (87 FR 75045). The Common Instructions contain requirements and information on how to submit an application. These instructions may be found at: www.federalregister.gov/d/2022-26554.

It is important to note that the Department of Education requires the electronic submission of applications and only allows paper submission by mail if electronic submission is not possible (e.g., you do not have access to the internet). Applicants requesting and qualifying for an exception to the electronic submission requirement must follow the guidance provided in the Common Instructions.

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

Electronic Submission of Applications:

You must submit your grant application through the Internet using the software provided on the Grants.gov website (www.grants.gov) by 11:59:59 p.m., Eastern Time, on or before the deadline date.

If you submit your application through the Internet via the Grants.gov website, you will receive an automatic acknowledgement when we receive your application.

For more information on using Grants.gov, please refer to the Grants.gov information found in this application package and visit www.grants.gov.

Submission of Paper Applications by Mail:

If you qualify for an exemption to the electronic submission requirement and you 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: ALN Number 84.047A 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.

An applicant should note that the U.S. Postal Service does not uniformly provide a dated postmark. Before relying on this method, an applicant should check with its local post office.

Special Note: Due to potential disruption to normal mail delivery, the Department encourages you to consider using an alternative delivery method (for example, a commercial carrier, such as Federal Express or United Parcel Service; U.S. Postal Service Express Mail; or a courier service) to transmit your application for this competition to the Department. If you use an alternative delivery method, please obtain the appropriate proof of mailing under “Applications Delivered by Mail,” and then follow the instructions for “Applications Delivered by Hand.”

Note for Mailing of Paper Applications:

If you mail 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 ALN, 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.

Late Applications

If your application is late, we will notify you that we will not consider the application.

Note: The U.S. Department of Education is not holding an Upward Bound grant competition in FY 2024. Therefore, the most recent Notice Inviting Applications for this program (FY 2022) has been included.

4000-01-U

DEPARTMENT OF EDUCATION

Applications for New Awards; Upward Bound Program

AGENCY: Office of Postsecondary Education, Department of Education.

ACTION: Notice.

SUMMARY: The Department of Education (Department) is issuing a notice inviting applications for new awards for fiscal year (FY)2022 for the Upward Bound (UB) Program, Assistance Listing Number 84.047A. This notice relates to the approved information collection under OMB control number 1840-0550.

DATES:

Applications Available:

Deadline for Transmittal of Applications: Deadline for Intergovernmental Review: March 31, 2022

ADDRESSES: For the addresses for obtaining and submitting an application, please refer to our Common Instructions for Applicants to Department of Education Discretionary Grant

Programs, published in the Federal Register on February 13, 2019 (84 FR 3768) and available at www.govinfo.gov/content/pkg/FR- 2019-02-13/pdf/2019-02206.pdf.

FOR FURTHER INFORMATION CONTACT: Sharon Easterling, U.S. Department of

Education, 400 Maryland Avenue, SW, Washington, DC 20202-4260. Telephone: (202) 453-7425. Email: [email protected].

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

SUPPLEMENTARY INFORMATION:

Full Text of Announcement

1. Funding Opportunity Description

Purpose of Program: The UB Program is one of the seven programs

known as the Federal TRIO Programs. The UB Program is a discretionary grant program that supports projects designed to provide students with the skills and motivation necessary to complete a program of secondary education and enter into and succeed in a program of postsecondary education. There are three types of grants under the UB Program: UB; Veterans UB; and UB Math and Science grants. In this notice we invite applications for UB grants only. We will invite applications for Veterans UB grants and UB Math and Science grants in forthcoming notices. Required services under the UB Program are specified in sections 402C(b) and (c) of the Higher Education Act of 1965, as amended (HEA) (20 U.S.C. 1070a-13), and permissible services under the UB Program are specified in section 402C(d) of the HEA. Priorities: This notice contains three competitive

preference priorities. Competitive Preference Priority 1 is from the Secretary’s Notice of Administrative Priorities and Definitions for Discretionary Grant Programs, published in the Federal Register on March 9, 2020 (85 FR 13640) (Administrative Priorities). Competitive Preference Priorities 2 and 3 are from the Secretary’s Supplemental Priorities and Definitions for Discretionary Grant Programs, published in the Federal Register on December 10, 2021 (86 FR 70612) (Supplemental Priorities).

Note: Applicants must include in the one-page abstract

submitted with the application a statement indicating which, if any, competitive preference priorities are addressed. If the applicant has addressed one or more of the competitive preference priorities, this information must also be listed on the UB Program Profile Form.

Competitive Preference Priorities: For FY 2027 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 nine points to an application, depending on how well the application meets the priorities.

The priorities are:

Competitive Preference Priority 1: Applications that

Demonstrate a Rationale (Up to 3 points).

Under this priority, an applicant proposes a project that demonstrates a rationale (as defined in this notice).

Note: A list of evidence-based practices that are relevant to

the UB Program is available at www2.ed.gov/programs/trioupbound/index.html. This list is not exhaustive. Additional information regarding the What Works Clearinghouse practice guides and intervention reports that could also be relevant is posted on the Department’s website at www.ies.ed.gov/ncee/wwc.

Competitive Preference Priority 2: Meeting Student Social,

Emotional, and Academic Needs.

Projects that are designed to improve students’ social, emotional, academic, and career development, with a focus on underserved students, through providing multi-tiered systems of supports that address learning barriers both in and out of the classroom, that enable healthy development and respond to students’ needs and which may include evidence-based trauma- informed practices and professional development for educators on avoiding deficit-based approaches.

Note: Because the UB Program supports students and not the professional development of educators, applicants should address supports for students only.

Competitive Preference Priority 3: Strengthening Cross-

Agency Coordination and Community Engagement to Advance Systemic Change.

Projects that are designed to take a systemic evidence- based approach to improving outcomes for underserved students by establishing cross-agency partnerships, or community-based partnerships with local nonprofit organizations, businesses, philanthropic organizations, or others, to meet family well- being needs.

Definitions: The definitions below are from 34 CFR 77.1 and the

Supplemental Priorities.

Demonstrates a rationale means a key project component

included in the project's logic model is informed by research or evaluation findings that suggest the project component is likely to improve relevant outcomes.

Disconnected youth means an individual, between the ages 14

and 24, who may be from a low-income background, experiences homelessness, is in foster care, is involved in the justice system, or is not working or not enrolled in (or at risk of dropping out of) an educational institution.

Evidence-based means the proposed project component is

supported by evidence that demonstrates a rationale.

Logic model (also referred to as a theory of action) means

a framework that identifies key project components of the

proposed project (i.e., the active “ingredients” that are hypothesized to be critical to achieving the relevant outcomes) and describes the theoretical and operational relationships among the key project components and relevant outcomes.

Note: In developing logic models, applicants may want to use

resources such as the Regional Educational Laboratory Program’s (REL Pacific) Education Logic Model Application, available at https://ies.ed.gov/ncee/edlabs/regions/pacific/elm.asp. Other sources include: https://ies.ed.gov/ncee/edlabs/regions/pacific/pdf/REL_2014025.p df, https://ies.ed.gov/ncee/edlabs/regions/pacific/pdf/REL_2014007.p df, and https://ies.ed.gov/ncee/edlabs/regions/northeast/pdf/REL_2015057

.pdf.

Project component means an activity, strategy, intervention,

process, product, practice, or policy included in a project. Evidence may pertain to an individual project component or to a combination of project components (e.g., training teachers on instructional practices for English learners and follow-on coaching for these teachers).

Relevant outcome means the student outcome(s) or other

outcome(s) the key project component is designed to improve, consistent with the specific goals of the program.

Underserved student means a student in one or more of the

following subgroups:

1. A student who is living in poverty or is served by schools with high concentrations of students living in poverty.

2. A student experiencing homelessness or housing insecurity.

3. A student who is in foster care.

4. A student who is the first in their family to attend postsecondary education.

5. A student who is enrolled in or is seeking to enroll in postsecondary education who is eligible for a Pell Grant.

6. A student performing significantly below grade level.

Application Requirements: The following application requirements for FY 2022 are from section 402C(e) of the HEA (20 U.S.C. 1070a-13).

An applicant must submit, as part of its application—

1. An assurance that not less than two-thirds of

the youths participating in the project proposed to be carried out under any application be low-income individuals who are first generation college students;

2. An assurance that the remaining youths participating in the project proposed to be carried out under any application be low-income individuals, first generation college students, or students who have a high risk for academic failure;

3. A determination by the institution, with respect to each participant in such project, that the participant has a need for academic support in order to pursue successfully a program of education beyond secondary school;

4. An assurance that such participants be persons who have completed 8 years of elementary education and are at least 13 years of age but not more than 19 years of age, unless the imposition of any such limitation would defeat the purposes of section 402C(e) of the HEA; and

5. An assurance that no student will be denied participation in a project assisted under section 402C of the HEA because the student will enter the project after the 9th grade.

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

Note: Projects will be awarded and must be operated in a manner consistent with the nondiscrimination requirements contained in Federal civil rights laws.

Applicable Regulations: (a) The Education Department General Administrative Regulations in 34 CFR parts 75, 77, 79, 82, 84,

86, 97, 98, and 99. (b) The Office of Management and Budget Guidelines to Agencies on Governmentwide Debarment and Suspension (Nonprocurement) in 2 CFR part 180, as adopted and amended as regulations of the Department in 2 CFR part 3485.

(c) The Uniform Administrative Requirements, Cost Principles,

and Audit Requirements for Federal Awards in 2 CFR part 200, as adopted and amended as regulations of the Department in 2 CFR part 3474. (d) The regulations for this program in 34 CFR part 645. (e) The Administrative Priorities. (f) Supplemental Priorities.

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

2. Award Information

Type of Award: Discretionary grants.

Estimated Available Funds: The Administration has requested

$1,297,761,000 for new awards for the Federal TRIO Programs for FY2027, of which we intend to use an estimated $355,697,826 for the UB Program. The actual level of funding, if any, depends on final congressional action. However, we are inviting applications to allow enough time to complete the grant process if Congress appropriates funds for the Federal TRIO Programs.

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

Estimated Range of Awards: $287,537 - $981,028.

Estimated Average Size of Awards: $368,217.

Maximum Award: The maximum award varies based on whether the

applicant is currently receiving a UB Program grant, as well as the number of participants served.

• For an applicant that is not currently receiving a UB Program grant, the maximum award amount is $287,537, based upon a per-participant cost of no more than $4,792 and a minimum of

60 participants.

• For an applicant that is currently receiving a UB

Program grant, the minimum number of participants is the number of participants in the project’s FY 2021 grant award notification and the maximum award amount is equal to the applicant’s base award amount for FY 2021.

Estimated Number of Awards: 966.

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

Project Period: Up to 60 months.

3. Eligibility Information

   1. Eligible Applicants: IHEs; public and private agencies

and organizations including community-based organizations with experience in serving disadvantaged youth; secondary schools; and combinations of such institutions, agencies, and organizations.

2. Cost Sharing or Matching: This competition does not

require cost sharing or matching.

3. Indirect Cost Rate Information: This program uses a

training indirect cost rate. This limits indirect cost reimbursement to an entity’s actual indirect costs, as determined in its negotiated indirect cost rate agreement, or eight percent of a modified total direct cost base, whichever amount is less. For more information regarding training indirect cost rates, see 34 CFR 75.562. For more information regarding indirect costs, or to obtain a negotiated indirect cost rate, please see www2.ed.gov/about/offices/list/ocfo/intro.html.

4. Administrative Cost Limitation: This program does not include any program-specific limitation on administrative expenses. All administrative expenses must be reasonable and necessary and conform to Cost Principles described in 2 CFR part

200 subpart E of the Uniform Guidance.

5. Subgrantees: A grantee under this competition may not

award subgrants to entities to directly carry out project activities described in its application.

6. Other: An applicant may submit more than one

application for an UB Program grant so long as each application describes a project that serves a different target area or target school (34 CFR 645.20(a)). The Secretary is not designating any additional populations for which an applicant may submit a separate application under this competition (34 CFR

645.20(b)). The term “target area” is defined as a geographic area served by a project (34 CFR 645.6(b)). The term “target school” is defined as a school designated by the applicant as a focus of project services (34 CFR 645.6(b)).

4. Application Submission Information

1. Application Submission Instructions: Applicants are required to follow the Common Instructions for Applicants to Department of Education Discretionary Grant Programs, published in the Federal Register on February 13, 2019 (84 FR 3768), and available at www.govinfo.gov/content/pkg/FR-2019-02-13/pdf/2019- 02206.pdf, which contain requirements and information on how to submit an application.

2. 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.

3. Funding Restrictions: We specify unallowable costs in

34 CFR 645.41. We reference additional regulations outlining funding restrictions in the Applicable Regulations section of this notice.

4. Recommended Page Limit: The application narrative is where you, the applicant, address the selection criteria that reviewers use to evaluate your application. We recommend that

you (1) limit the application narrative, which includes the budget narrative, to no more than 65 pages and (2) 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, excluding titles, headings, footnotes, quotations, references, and captions as well as all text in charts, tables, figures, and graphs, which may be single-spaced.

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

• Use one of the following fonts: Times New Roman, Courier, Courier New, or Arial.

The recommended page limit does not apply to the cover sheet; the budget section, including the narrative budget justification; the assurances and certifications; or the one- page abstract. However, the recommended page limit does apply to all of the application narrative.

We recommend that any application addressing the competitive preference priorities include no more than three additional pages for each priority, for a total of up to nine additional pages for the competitive preference priorities if the three

competitive preference priorities are addressed.

5. Application Review Information

1. Selection Criteria: The selection criteria for this competition are from 34 CFR 645.31.

We will award up to 100 points to an application under the selection criteria and up to 9 additional points to an application under the competitive preference priorities, for a total score of up to 109 points. The maximum number of points available for each criterion is indicated in parentheses.

1. Need for the project. (Up to 24 points)

The Secretary evaluates the need for a Regular Upward Bound project in the proposed target area on the basis of information contained in the application which clearly demonstrates that—

1. The income level of families in the target area is low; (Up to 4 points)

2. The education attainment level of adults in the target area is low; (Up to 4 points)

3. Target high school dropout rates are high; (Up to 4 points)

4. College-going rates in target high schools are low; (Up to 4 points)

5. Student/counselor ratios in the target high schools are high; (Up to 4 points) and

6. Unaddressed academic, social, and economic conditions in the target area pose serious problems for low-income, potentially first-generation college students. (Up to 4 points)

1. Objectives. (9 points) The Secretary evaluates the quality of the applicant's objectives and proposed targets (percentages) in the following areas on the basis of the extent to which they are both ambitious, as related to the need data provided under paragraph (a) of this section, and attainable, given the project's plan of operation, budget, and other resources:

   1. Academic performance (GPA); (Up to 1 point)

   2. Academic performance (standardized test scores); (Up to 1 point)

   3. Secondary school retention and graduation (with regular secondary school diploma); (Up to 2 points)

   4. Completion of rigorous secondary school program of study; (Up to 1 point)

   5. Postsecondary enrollment; (Up to 3 points) and

   6. Postsecondary completion. (Up to 1 point)

3. Plan of operation. (Up to 30 points) The Secretary determines the quality of the applicant's plan of operation by assessing the quality of—

1. The plan to inform the faculty and staff at the applicant institution or agency and the interested individuals

and organizations throughout the target area of the goals and objectives of the project; (Up to 3 points)

2. The plan for identifying, recruiting, and selecting participants to be served by the project; (Up to 3 points)

3. The plan for assessing individual participant needs and for monitoring the academic progress of participants while they are in Upward Bound; (Up to 3 points)

4. The plan for locating the project within the applicant's organizational structure; (Up to 3 points)

5. The curriculum, services and activities that are planned for participants in both the academic year and summer components; (Up to 3 points)

6. The planned timelines for accomplishing critical elements of the project; (Up to 3 points)

7. The plan to ensure effective and efficient administration of the project, including, but not limited to, financial management, student records management, and personnel management; (Up to 3 points)

8. The applicant's plan to use its resources and personnel to achieve project objectives and to coordinate the Upward Bound project with other projects for disadvantaged students; (Up to 3 points)

9. The plan to work cooperatively with parents and key administrative, teaching, and counseling personnel at the target schools to achieve project objectives; (Up to 3 points) and

10. A follow-up plan for tracking graduates of Upward Bound as they enter and continue in postsecondary education. (Up to 3 points)

4. Applicant and community support. (Up to 16 points) The

Secretary evaluates the applicant and community support for the proposed project on the basis of the extent to which—

1. The applicant is committed to supplementing the project with resources that enhance the project such as: space, furniture and equipment, supplies, and the time and effort of personnel other than those employed in the project. (Up to 8 points)

2. Resources secured through written commitments from community partners. (Up to 8 points)

   1. An applicant that is an IHE must include in its application commitments from the target schools and community organizations;

   2. An applicant that is a secondary school must include in its application commitments from IHEs, community organizations, and, as appropriate, other secondary schools and the school district; and

   3. An applicant that is a community organization must include in its application commitments from the target schools and IHEs.

1. Quality of personnel. (Up to 8 points) To determine the quality of personnel the applicant plans to use the Secretary looks for information that shows—

1. The qualifications required of the project director, including formal training or work experience in fields related to the objectives of the project and experience in designing, managing, or implementing similar projects; (Up to 3 points)

2. The qualifications required of each of the other personnel to be used in the project, including formal training or work experience in fields related to the objectives of the project; (Up to 3 points)

3. The quality of the applicant's plan for employing personnel who have succeeded in overcoming barriers similar to those confronting the project's target population. (Up to 2 points)

6. Budget and cost effectiveness. (Up to 5 points) The

Secretary reviews each application to determine the extent to which—

1. The budget for the project is adequate to support planned project services and activities; (Up to 3 points) and

2. Costs are reasonable in relation to the objectives and scope of the project. (Up to 2 points)

7. Evaluation plan. (Up to 8 points) The Secretary

evaluates the quality of the evaluation plan for the project on the basis of the extent to which the applicant's methods of evaluation—

1. Are appropriate to the project and include both quantitative and qualitative evaluation measures; (Up to 4 points) and

2. Examine in specific and measurable ways the success of the project in making progress toward achieving its process and outcomes objectives. (Up to 4 points)

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 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 (34 CFR 100.4, 104.5, 106.4, 108.8, and

110.23).

For this competition, a panel of non-Federal reviewers will review each application in accordance with the selection criteria in 34 CFR 645.31. The individual scores of the reviewers will be added and the sum divided by the number of reviewers to determine the peer review score received in the review process. Additionally, in accordance with 34 CFR 645.32, the Secretary will award prior experience points to applicants that conducted a UB Program project during budget periods 2017- 18, 2018-19, 2019-20, and 2020-21, based on their documented experience. Prior experience points, if any, will be added to the application’s averaged reader score to determine the total score for each application.

If there are insufficient funds for all applications with the same total scores, the Secretary will choose among the tied applications so as to serve geographic areas in which there is significant child poverty and that have been underserved by the UB Program in accordance with the following procedures. The Secretary will identify and recommend an award for--

• First, applicants in the funding band that applied to serve target schools within a Congressional District (a) that has a child poverty level greater than 30 percent and (b) where UB

projects had previously served either 10 or fewer target schools or fewer than 150 students within that Congressional District.

If this first tie-breaker provision exhausts available funds, then no further action is taken.

• Second, applicants in the funding band that applied to serve target schools within a Congressional District (a) that has a child poverty level greater than 25 percent and (b) where UB projects had previously served either 15 or fewer target

schools or fewer than 200 students within that Congressional District. If this second tie-breaker provision exhausts available funds, then no further action is taken.

• Third, applicants in the funding band that applied to serve target schools within a Congressional District where UB projects had previously served zero target schools.

Note: Within each of step one, two, and three of the tie-

breaker, if there is more than one application with the same score and insufficient funding to support these applications, the applicant proposing to serve the target schools within the more impoverished Congressional District will be the final application identified and recommended to receive an award.

In applying the tie-breaker criteria, the Department will use the most current data available. The criteria refer to Congressional Districts, and reference child poverty data within Congressional Districts. The most recent available Child

Poverty data from the United States Census for Congressional Districts is for the 117th Congress, and therefore, the geographical boundaries used for the tie-breaker are defined for the 115th Congress. The number of target schools served within the boundaries of a Congressional District, and the number of students served within these target schools, will be derived from the UB Annual Performance Report (APR). The Department will use data from the 2020-2021 APR to count the number of target schools that receive services within Congressional District boundaries.

3. Risk Assessment and Specific Conditions: Consistent with 2 CFR 200.206, before awarding grants under this competition the Department conducts a review of the risks posed by applicants. Under 2 CFR 200.208, the Secretary may impose specific conditions and, under 2 CFR 3474.10, in appropriate circumstances, high-risk 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 2 CFR part 200, subpart D; has not fulfilled the conditions of a prior grant; or is otherwise not responsible.

4. Integrity and Performance System: If you are selected under this competition to receive an award that over the course of the project period may exceed the simplified acquisition

threshold (currently $250,000), under 2 CFR 200.206(a)(2), we must make a judgment about your integrity, business ethics, and record of performance under Federal awards--that is, the risk posed by you as an applicant--before we make an award. In doing so, we must consider any information about you that is in the integrity and performance system (currently referred to as the Federal Awardee Performance and Integrity Information System (FAPIIS)), accessible through the System for Award Management.

You may review and comment on any information about yourself that a Federal agency previously entered and that is currently in FAPIIS.

Please note that, if the total value of your currently active grants, cooperative agreements, and procurement contracts from the Federal Government exceeds $10,000,000, the reporting requirements in 2 CFR part 200, Appendix XII, require you to report certain integrity information to FAPIIS semiannually.

Please review the requirements in 2 CFR part 200, Appendix XII, if this grant plus all the other Federal funds you receive exceed $10,000,000.

5. In General: In accordance with the Office of Management and Budget’s guidance located at 2 CFR part 200, all applicable Federal laws, and relevant Executive guidance, the Department will review and consider applications for funding

pursuant to this notice inviting applications in accordance with--

1. Selecting recipients most likely to be successful in delivering results based on the program objectives through an objective process of evaluating Federal award applications (2 CFR 200.205);

2. Prohibiting the purchase of certain telecommunication and video surveillance services or equipment in alignment with section 889 of the National Defense Authorization Act of 2019 (Pub. L. No. 115—232) (2 CFR 200.216);

3. Providing a preference, to the extent permitted by law, to maximize use of goods, products, and materials produced in the United States (2 CFR 200.322); and

4. Terminating agreements in whole or in part to the greatest extent authorized by law if an award no longer effectuates the program goals or agency priorities (2 CFR 200.340).

1. 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); or we may send you an email containing a link to access an electronic version of your 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. Open Licensing Requirements: Unless an exception

applies, if you are awarded a grant under this competition, you will be required to openly license to the public grant deliverables created in whole, or in part, with Department grant funds. When the deliverable consists of modifications to pre- existing works, the license extends only to those modifications that can be separately identified and only to the extent that open licensing is permitted under the terms of any licenses or other legal restrictions on the use of pre-existing works.

Additionally, a grantee or subgrantee that is awarded competitive grant funds must have a plan to disseminate these public grant deliverables. This dissemination plan can be developed and submitted after your application has been reviewed

and selected for funding. For additional information on the open licensing requirements please refer to 2 CFR 3474.20.

4. 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 multiyear 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.

5. Performance Measures: The success of the UB Program will be measured by the percentage of UB participants who enroll in and complete postsecondary education. The following performance measures have been developed to track progress toward achieving program success under the Government Performance and Results Act of 1993 and for purposes of Department reporting under 34 CFR 75.110:

1. The percentage of UB students who took two years of mathematics beyond Algebra I by the 12th grade;

2. The percentage of UB students who graduated from secondary school with a regular secondary school diploma;

3. The percentage of UB students who enrolled in postsecondary education;

4. The percentage of UB students who enrolled in a program of postsecondary education by the fall term following graduation from high school and who in the first year of postsecondary education placed into college-level math and English without need for remediation;

5. The percentage of former UB students who enrolled in a program of postsecondary education and graduated on time--within four years for the bachelor’s degree and within two years for the associate’s degree;

6. The percentage of UB participants who enrolled in a program of postsecondary education and attained either an associate’s degree within three years or a bachelor’s degree within six years of enrollment; and

7. The percentage of UB students expected to graduate high school in the reporting year who complete a Free Application for Federal Student Aid (FAFSA).

All UB Program grantees will be required to submit APRs.

6. Continuation Awards: In making a continuation award

under 34 CFR 75.253, the Secretary considers, among other things: whether a grantee has made substantial progress in achieving the goals and objectives of the project; whether the grantee has expended funds in a manner that is consistent with its approved application and budget; and, if the Secretary has established performance measurement requirements, whether the grantee has made substantial progress in achieving the performance targets in the grantee’s approved application.

In making a continuation award, 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).

7. Other Information

Accessible Format: On request to the program contact person listed under FOR FURTHER INFORMATION CONTACT, individuals with disabilities can obtain this document and a copy of the application package in an accessible format. The Department will provide the requestor with an accessible format that may include Rich Text Format (RTF) or text format (txt), a thumb drive, an

MP3 file, braille, large print, audiotape, or compact disc, or other accessible format.

Electronic Access to This Document: The official version of

this document is the document published in the Federal Register. You may access the official edition of the Federal Register and the Code of Federal Regulations at www.govinfo.gov. 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 Portable Document Format (PDF). To use PDF you must have Adobe Acrobat Reader, which is available free at the site.

You may also access documents of the Department published in the Federal Register by using the article

search feature at: www.federalregister.gov. Specifically, through the advanced search feature at this site, you can limit your search to documents published by the Department.

Dated:

Annmarie Weisman,

Deputy Assistant Secretary for Policy, Planning and Innovation, Office of Postsecondary Education.

The Upward Bound Program is authorized by the Higher Education Act of 1965 (HEA), as amended by the Higher Education Opportunity Act (HEOA) of 2008.

§1070a–13. Upward Bound

(a) Program authority. The Secretary shall carry out a program to be known as upward bound which shall be designed to generate skills and motivation necessary for success in education beyond secondary school.

The HEOA’s amendments to the HEA may be found at the following address:

https://www.govinfo.gov/content/pkg/COMPS-765/pdf/COMPS-765.pdf

On October 26, 2010, the final regulations amending the Upward Bound Program regulations were published in the Federal Register. These final regulations, which include the Department’s responses to the public’s comments on the proposed regulations, may be accessed under the UB webpage

―Laws, Regulations, and Guidance at the following address:

http://www2.ed.gov/policy/highered/leg/hea08/index.html.

(Effective January 11, 2024 until further notice)

Size of Family Unit	48 Contiguous States, D.C., and Outlying Jurisdictions	Alaska	Hawaii
1	$22,590	$28,215	$25,965
2	$30,660	$38,310	$35,250
3	$38,730	$48,405	$44,535
4	$46,800	$58,500	$53,820
5	$54,870	$68,595	$63,105
6	$62,940	$78,690	$72,390
7	$71,010	$88,785	$81,675
8	$79,080	$98,880	$90,960

For family units with more than eight members, add the following amount for each additional family member: $8,070 for the 48 contiguous states, the District of Columbia and outlying jurisdictions; $10,095 for Alaska; and $9,285 for Hawaii.

The term "low-income individual" means an individual whose family's taxable income for the preceding year did not exceed 150 percent of the poverty level amount.

The figures shown under family income represent amounts equal to 150 percent of the family income levels established by the Census Bureau for determining poverty status. The poverty guidelines were published by the U.S. Department of Health and Human Services in the Federal Register on January 17, 2024 and are effective as of January 11, 2024.

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:

https://www.whitehouse.gov/wp-content/uploads/2023/06/SPOC-list-as-of-2023.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-ALN # 84.047A, 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.

The following supplements the information provided in the “Dear Applicant” letter and the Notice.

1. Estimated Funding

• Estimated Available Funds for FY 20XX: TBD

• Estimated Range of Awards: TBD

• Estimated Average Size of Awards: TBD

• Estimated Number of New Awards: TBD

• Estimated Maximum Award: TBD

• Project Period for New Awards: 60 months

The Department is not bound by these estimates.

2. Intergovernmental Review of Federal Programs

Intergovernmental Review of Federal Programs was issued to foster an intergovernmental partnership and to strengthen federalism by relying on state and local processes for the coordination and review of proposed Federal financial assistance.

Applicants must contact the appropriate State Single Point of Contact to find out about, and to comply with, the State’s process under Executive Order 12372. A listing of the Single Point of Contact for each State may be viewed at: https://www.whitehouse.gov/wp-content/uploads/2023/06/SPOC-list-as-of-2023.pdf.

3. Length of New Award

Applicants for new awards apply for five years (60 months) of funding.

4. UB Program Assurances

All applications must comply with the UB Program statutory and regulatory requirements. The assurances are included in the application package. By submitting an UB Program application, an applicant certifies that it has read the assurances and will fully comply with the requirements.

5. UB Program Profile

All applicants must provide the information requested on this form. The UB Program Profile form contains standardized objectives. Applicants are required to propose the percentage at which each of the standardized objectives will be attained. On the UB Profile form, you must fill in the blanks indicating the percentage level of achievement for each of the objectives. You may not modify, amend or delete any of these objectives.

Applicants must copy and paste the UB Program Profile form into a separate document, or otherwise recreate the page exactly as it appears. Complete the form, save it to your computer and attach it to the Other Attachments Form as a .PDF document only. Do not modify or amend the language on the form in any way.

6. Evaluation of Applications for Awards

A panel of three non-federal reviewers will review each application in accordance with the selection criteria and the priorities. Each reviewer will prepare a written evaluation of the information presented in the project narrative section of the application and assign points for each selection criterion.

All applications for grants under the UB Program will be evaluated as new submissions according to the selection criteria listed in the program regulations (34 CFR 645.31).

7. Selection Criteria

The selection criteria from 34 CFR Part 645 are used to evaluate applications. The selection criteria and maximum possible points are included in the application package.

8. Applicant Funding

Applicants should pay close attention to the “Maximum Award” section of the Notice.

9. Prior Experience

In accordance with 34 CFR 645.32, the Secretary will award prior experience (PE) points to applicants that have conducted a TRIO UB Program project during these fiscal years: 20XX-XX, 20XX-XX, 20XX-XX and 20XX-XX. Based on the applicant’s documented experience set forth in the annual performance reports, up to 15 prior experience points will be added to the application’s averaged reader score to determine the total score for each application.

10. Selection of Grantees

The Secretary will select an application for funding in rank order, based on the application’s total score for the selection criteria and competitive preference priorities, plus any prior experience points earned, pursuant to 34 CFR sections 645.32 through 645.32. If there are insufficient funds for all applications with the same total scores, the Secretary will choose among the tied applications as outlined in the Notice under V. Application Review Information, (2) (b) Review and Selection.

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

11. Expectations of Successful Grantees

Currently funded projects with remaining out years on an expiring grant are required to start implementing their new objectives upon receipt of the grant.

12. Notice to Unsuccessful Applicants

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

13. Second Review Process

To implement the statutory requirements for a second review of unsuccessful applications, the Department has adopted a two-slate process. After the peer review of applications and the awarding of PE points, as applicable, the Department will rank all the applications. The Department then will establish a funding band to determine the percentage of the total funds allotted for the competition that will be set aside for the second review. The determination of the percentage of funds to be reserved for the second review and the applications to be included in the funding band will be based on the distribution of application scores. The funding band will include all of the applications with a rank-order score that is 1) below the lowest score of applications funded after the first review and 2) that would be funded if the Secretary had 150 percent of the funds that were set aside for the second review.

Only applicants whose applications scored within the funding band will be eligible for the second review. In addition, those applicants deemed eligible for the second review will have to provide evidence demonstrating that the Department, an agent of the Department, or a peer reviewer made an administrative or scoring error (as defined in the regulations) in the review of its application. The guidelines and criteria for the second review process are included in the UB Program regulations (645.35).

14. Annual Performance Report Requirements

If you receive a FY 20XX new grant award, you will be required to submit annual performance reports during the five-year funding cycle using the Department’s on-line function. This on-line system collects data about funded projects to enable program specialists to determine if a grantee is making substantial progress toward meeting approved project objectives.

15. Contact Information

For Upward Bound Program-related questions and assistance, please contact:

Division Director: Sharon Easterling

Address: Federal TRIO Programs

U.S. Department of Education

400 Maryland Avenue SW, Room 5B142 Washington, D.C. 20202

Telephone: (202) 453-7425

E-mail Address: [email protected]

and/or

Program Specialist: Alexandra Bolden Address: Federal TRIO Programs

U.S. Department of Education

400 Maryland Avenue SW, Room 5C124 Washington, D.C. 20202

Telephone: (202) 987-1918

E-mail Address: [email protected]

For Grants.gov-related questions and assistance, please contact:

Grants.gov Support Desk

Telephone: (800) 518-4726

Email: [email protected]

Hours: 24 hours, 7 days a week, except Federal holidays

Instructions: All applicants must complete this page. The completed form must be attached to the Other Attachments Form in Grants.gov (as a .PDF document). DO NOT MODIFY OR AMEND THE CONTENTS OF THIS PAGE.

1. Applicants currently funded under the Upward Bound Program (FY 20XX-20XX) must provide their current grant award number. This can be found in Block 5 of the Grant Award Notification.

New applicants should leave this item blank.

PR/Award Number (Current Grantees Only): P047A (XX) (XX) (XX) __ __ __ __

Application designated to receive prior experience: Yes☐ No ☐

Note: Please indicate (by checking the relevant competitive preference priorities) if you will address the competitive preference priorities. Be advised, as stated in the Notice, the maximum competitive preference priority points an application can receive under this competition is TBD additional points

Competitive Preference Priorities

• Competitive Preference Priority 1: TBD

• Competitive Preference Priority 2: TBD

• Competitive Preference Priority 3: TBD

2. Institution/Agency/Organization/School (Legal Name):

3. All applicants must indicate the address where this project will be physically located.

Project Address: Street Address, City, State, Zip Code

UB Program Profile continued

4. Multiple applications submitted: No:☐ Yes:☐ How many?

4. List the target schools, the schools’ National Center for Education Statistics identifier (NCES school ID), zip code, and estimated number of participants to be served at each target school:

Target School NCES ID Zip Code Number of Participants

(1)

(2)

(3)

2. ​

3. ​

4. ​

5. ​

6. ​

7. ​

8. ​

Note: NCES school ID can be found at the following website: https://nces.ed.gov/ccd/schoolsearch.

Note: The project must be located in a setting accessible to the individuals the project proposes to serve. Add additional sheet, if needed.

4. Provide the total number of proposed participants to be served each year:

(Note: Projects are expected to serve the same number of participants each year. Two- thirds of the participants served must be low-income, potential first-generation college students.)

4. Program Objectives:

Please fill in the proposed percent for each objective.

Note: These are the same objectives that MUST be stated in the Part III -- Project Narrative section of your application when addressing the Objectives and the Evaluation criteria.

UB Program Profile continued

1. Academic Performance--Grade Point Average (GPA)

of participants served during the project year will have a cumulative GPA of 2.5 or better on a four- point scale at the end of the school year.

2. Academic Performance on Standardized Test

of UB seniors served during the project year will have achieved at the proficient level on state assessments in reading/language arts and math.

3. Secondary School Retention and Graduation

of Project Participants served during the project year will continue in school for the next academic year, at the next grade level, or will have graduated from secondary school with a regular secondary school diploma.

4. Secondary School Graduation (rigorous secondary school program of study)

of all current and prior year UB participants who graduated from high school during the school year with a regular secondary school diploma will complete a rigorous secondary school program of study.

5. Postsecondary Enrollment

of all current and prior UB participants who graduated from high school during the school year with a regular secondary diploma will enroll in a program of postsecondary education by the fall term immediately following high school graduation, or will have received notification by the fall term immediately following high school from an institution of higher education of acceptance but deferred enrollment until the next academic semester (e.g., spring semester).

6. Postsecondary Completion

of participants who enrolled in a program of postsecondary education, by the fall term immediately following high school graduation or by the next academic term (e.g., spring term) as a result of acceptance by deferred enrollment, will attain either an associate or bachelor’s degree within six years following graduation from high school.

Please note the following definitions:

Postsecondary Enrolled: a participant who has completed the registration requirements (except for the payment of tuition and fees) at the institution that he or she is attending.

Acceptance but Deferred Enrollment: a participant has received an acceptance letter from the institution that he or she will attend, but cannot enroll in the fall term immediately following high school graduation for reasons determined by the institution. The institution defers enrollment until the next term.

Regular Secondary School Diploma: means a level attained by individuals who meet or exceed the coursework and performance standards for high school completion established by the individual’s state.

UB Program Profile continued

Rigorous Secondary School Program of Study: means a program of study that is –

1. Established by a State educational agency (SEA) or local educational agency (LEA) and recognized as a rigorous secondary school program of study by the Secretary through the

process described in 34 CFR 691.16(a) through (c) for the Academic Competitiveness Grant (ACG) Program;

2. An advanced or honors secondary school program established by States and in existence for the 2004–2005 school year or later school years;

3. Any secondary school program in which a student successfully completes at a minimum the following courses: (i) Four years of English. (ii) Three years of mathematics, including algebra I and a higher-level class such as algebra II, geometry, or data analysis and statistics. (iii) Three years of science, including one year each of at least two of the following courses: biology, chemistry, and physics. (iv) Three years of social studies. (v) One year of a language other than English;

4. A secondary school program identified by a State-level partnership that is recognized by the State Scholars Initiative of the Western Interstate Commission for Higher Education (WICHE), Boulder, Colorado;

5. Any secondary school program for a student who completes at least two courses from an International Baccalaureate Diploma Program sponsored by the International Baccalaureate Organization, Geneva, Switzerland, and receives a score of a 4 or higher on the examinations for at least two of those courses; or

6. Any secondary school program for a student who completes at least two Advanced Placement courses and receives a score of 3 or higher on the College Board's Advanced Placement Program Exams for at least two of those courses.

Postsecondary Degree Attainment: completion of a program of postsecondary education with an associate’s or bachelor’s degree.

Institution of Higher Education: means an education institution as defined in sections 101 and 102 of the Higher Education Act of 1965, as amended (HEA).

Program of Postsecondary Education: a formal instructional program whose curriculum is designed primarily for students who are beyond the compulsory age for high school.

Attach this Assurance form to the “Other Attachments Form” in the Grants.gov system. Applicants must copy and paste this page into a separate document or recreate the page exactly as it appears. Then complete the page, save it to your computer and attach it to the “Other Attachments Form” as a .pdf document only. Do not modify or amend the language of this form in any way.

As the duly authorized representative of the applicant, I certify that the applicant will comply with the following statutory requirements:

1. The applicant assures that not less than two-thirds (2/3) of the project’s participants will be low-income individuals who are potential first-generation college students;

2. The applicant assures that the remaining participants will be low-income, potential first-generation college students or individuals who have a high risk of academic failure;

3. No student will be denied participation in a project because the student would enter the project after the 9^th grade; and

4. The project will collaborate with other Federal TRIO projects, GEAR UP projects, or programs serving similar populations that are serving the

same target schools or target area in order to minimize the duplication of services and promote collaborations so that more students can be served.

Authorized Certifying Official’s Signature Printed Name of Authorized Certifying Official

Title of Authorized Certifying Official Name of Applicant Institution/Organization

Date Signed

Attach this Assurance Form to the “Other Attachments Form” in the Grants.gov application package

Attention Applicants: Applicants must copy and paste this page into a separate document, or recreate the page exactly as it appears. Then, complete the page, save it to your computer and attach it to the “Other Attachments Form” as a

.pdf document only. Do not modify or amend the contents of the form in any way.

For the FY 20XX competition for grants from the Upward Bound Program, the Department calculates prior experience points from data submitted in annual performance reports (APRs) for TBD. Achievement rates for each PE criterion will be based on the project’s approved objectives and on the information the grantee provided in the APR for each assessment year under consideration.

An entity submitting an application to continue to serve substantially the same target schools that it is serving under its expiring UB project is eligible to receive PE points based on the PE criteria in 34 CFR 645.32.

In cases in which an applicant proposes to split a grant funded in FY 20XX into multiple proposals in the FY 20XX competition, the applicant will be eligible to receive PE points for only one proposed new project. The project eligible for PE consideration will be the one that proposes to serve the greatest number of currently-served target schools. An applicant is responsible for indicating on the UB Program Profile document, in item #1, whether the application is eligible for PE points.

If an applicant proposes to split a currently-funded grant evenly by target schools into multiple proposals for the FY 20XX competition, the applicant must decide which one new proposal should be considered for PE points by following the instructions above for marking item #1 on the Program Profile document.

PE criteria for UB (from 34 CFR 645.32) and point allocations are shown below. A UB project may earn up to a total of 15 points for each year assessed; the final PE score is the average of the two highest-scoring years of the four years assessed. Points will be awarded for meeting or exceeding each objective; no partial points will be awarded. A project that fails to serve at least 90 percent of the number of students it was funded to serve for an assessment year will not receive any PE points for that year.

1. Funded number maximum of 3 points

2. Academic performance—GPA maximum of 1.5 points

3. Academic performance on standardized tests maximum of 1.5 points

4. Secondary school retention and graduation maximum of 3 points

5. Secondary school graduation after completing

a rigorous secondary school program of study maximum of 1.5 points

6. Postsecondary enrollment maximum of 3 points

7. Postsecondary completion maximum of 1.5 points

Note: UB grantees may earn up to a maximum of 15 points for each year assessed. The final PE score is TBD.

1. Funded number (maximum of 3 points)—Whether the applicant served the number of participants agreed to under the approved application.

Calculation:

• The denominator is the project’s approved number of participants to be served.

• The numerator is the actual number of participants served during the assessment year. The quotient must be at least 100 percent, indicating that the number served was equal to, or greater than, the number funded to serve.

2. Academic performance—GPA (maximum of 1.5 points)—Whether the percentage of students, as calculated below, equaled or exceeded the applicant’s approved objective.

Calculation:

• The denominator is the greater of the number of participants the project was funded to serve, or the number actually served during the assessment year.

• The numerator is the number of participants in the denominator whose cumulative GPA was 2.5 or higher at the end of the school year.

3. Academic performance on standardized tests (maximum of 1.5 points)—Whether the percentage of students, as calculated below, equaled or exceeded the applicant’s approved objective.

Calculation:

• The denominator is the number of seniors served during the assessment year.

• The numerator is the number of participants in the denominator who achieved at the proficient level on state assessments in both reading/language arts and mathematics.

4. Secondary school retention and graduation (maximum of 3 points)—Whether the percentage of students, as calculated below, equaled or exceeded the applicant’s approved objective.

Calculation:

• The denominator is the greater of the number of participants the project was funded to serve, or the number actually served during the assessment year.

• The numerator is the number of participants in the denominator who continued in the next academic year at the next grade level, or who graduated from secondary school with a regular secondary school diploma.

5. Secondary school graduation following completion of rigorous secondary school program of study (maximum of 1.5 points)––Whether the percentage of students, as calculated below, equaled or exceeded the applicant’s approved objective.

Calculation:

• The denominator is the number of current and prior-year participants who graduated from secondary school during the school year with a regular diploma.

• The numerator is the number of participants in the denominator who had completed a rigorous secondary program of study.

6. Postsecondary enrollment (maximum of 3 points)––Whether the percentage of students, as calculated below, equaled or exceeded the applicant’s approved objective.

Calculation:

• The denominator is the number of current and prior-year participants who graduated from high school during the school year with a regular secondary diploma.

• The numerator is the number of participants in the denominator who enrolled in a program of postsecondary education by the fall term following graduation, or for whom the postsecondary institution deferred the student’s enrollment until the next academic term.

7. Postsecondary completion (maximum of 1.5 points)—Whether the percentage of students, as calculated below, equaled or exceeded the applicant’s approved objective.

Calculation:

• The denominator is the number of participants who graduated high school in the academic year six years prior to the current assessment year with a regular diploma and who enrolled in postsecondary education by the fall following graduation, or for whom the postsecondary institution deferred the student’s enrollment until the next academic term.

• The numerator is the number of participants in the denominator who attained either an associate or bachelor’s degree within six years following graduation from high school. (For example, for the 20XX–XX assessment year, the year of high school graduation and postsecondary enrollment is 20XX.)

Please note that the prior experience assessment for applicants successful under the FY 20XX competition will be based on the outcome criteria outlined in Part A, Subpart 2, Section 402 (C) of the HEA. The outcome criteria for the UB Program are captured in the standardized objectives included on the UB Program Profile.

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

Part I: SF 424 Form

Application for Federal Assistance - SF 424

Department of Education Supplemental Information for SF 424

*Notes:

• Applicants must complete the Standard Form (SF 424) form first because some of the information you provide here is automatically inserted into other sections of the Grants.gov application package.

• 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 only review materials/files attached to the forms listed below.

Part II: ED Form 524

Department of Education Budget Summary Form (ED Form 524) -

Sections A & B

(NOTE: Section C – Budget Narrative must be included as part of the Project Narrative Attachment Form, located in Part III.)

Part III: Attachments

ED Abstract Form

Project Narrative Attachment Form – includes a Table of Contents and project narrative.

Other Attachments Form – includes the Program Assurances page, the UB Program Profile form, and the competitive preference priorities narrative.

The Department of Education Abstract Form is where you attach the one-page UB project abstract.

The Project Narrative Attachment Form is where you attach the responses addressing the program selection criteria that will be used to evaluate applications submitted for this competition. We recommend a page limit of 65 pages, excluding a Table of Contents and other items outlined in the Notice. Please see the Notice for detailed information on page limits and formatting requirements. You should include a Table of Contents for your application as the first page of this section. The Table of Contents will not count against the 65 pages you are allowed for your responses to the selection criteria. You must also include your budget

narrative in this section as part of the selection criteria, which is counted as part of the 65- page limit. The budget should demonstrate and justify that all costs are reasonable and necessary to accomplish the proposed project activities. Include a description of any activities in the budget that respond to the announced Competitive Preference Priorities.

The Other Attachments Form is where you attach the UB Program Profile form, the UB Program Assurances page, and the competitive preference priorities narrative. No other appendices or attachments should be included as they will be counted as part of the 65-page recommendation.

*All attachments must be in a .PDF or Microsoft Word Document. Other types of files will not be accepted.

Part IV: Assurances and Certifications

ED-GEPA Section 427 Requirement

Grants.gov Lobbying Form (formerly ED Form 80-0013) Disclosure of Lobbying Activities (SF-LLL)

The following information supplements the information provided in the “Dear Applicant” letter, “Competition Highlights,” and the Notice.

The Project Narrative is to be attached to the Project Narrative Attachment Form in the Grants.gov application.

Before preparing the Part III -- Project Narrative, applicants should review the “Dear Applicant” letter, Competition Highlights, Notice, program statute, and program regulations for specific guidance and requirements. Note that applications will be evaluated according to the specific selection criteria specified in the regulations which are included in this package.

The Secretary evaluates an application on the basis of the broad selection criteria in 34 CFR 645.31 of the UB Program regulations as identified in this application (see the Authorizing Legislation and Regulations). The Project Narrative should provide, in detail, the information that addresses the selection criteria. The maximum possible score for each category of the selection criteria is indicated in parenthesis.

We recommend that you, double-space all text in the project narrative, and single-space titles, headings, footnotes, quotations, references, and captions, as well as all text in charts, tables, figures, and graphs. Use an easily readable font such as Times New Roman, Courier, Courier New, or Arial. Use a font that is either 12-point or larger and number the pages consecutively. The narrative should be written concisely. Only the required information should be submitted. Please refer to the Notice for additional application submission requirements.

To facilitate the review of the application, provide responses to each of the following selection criteria in the following order:

1. Need (34 CFR 645.31(a)) (24 points)

2. Objectives (34 CFR 645.31(b)) ( 9 points)

3. Plan of Operation (34 CFR 645.31(c)) (30 points)

4. Applicant and Community Support (34 CFR 645.31(d)) (16 points)

5. Quality of Personnel (34 CFR 645.31(e)) ( 8 points)

6. Budget and Cost Effectiveness (34 CFR 645.31(f)) ( 5 points)

7. Evaluation Plan (34 CFR 645.31(g)) ( 8 points)

Total Maximum Score for Selection Criteria 100 points

Competitive Preference Priorities (TBD) Total Maximum Score for Selection Criteria and Competitive Preference

Priorities XXX points

Note: Please indicate on the UB Project Abstract and the UB Program Profile Sheet if you will address the competitive preference priorities. Be advised, as stated in the Notice, the maximum competitive preference priority points an application can receive under this competition is TBD.

Formatting

We recommend that you 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 all text in the project narrative, and single-space titles, headings, footnotes, quotations, references, and captions, as well as all text in charts, tables, figures, and graphs. Use a 12-point font. Use an easily readable font such as Times New Roman, Courier, Courier New, or Arial. Page numbers and an identifier may be within the 1" margin. Each page on which there is text or graphics will be counted as one full page.

The Project Narrative will include the discussion of the selection criteria. We recommend that you limit the project narrative to the equivalent of no more than 65 pages for the FY 20XX UB competition.

The recommended page limit does not apply to:

Application Face Sheet (Application for Federal Assistance Form – SF 424) Table of Contents

Project Abstract

Budget Summary Form (ED Form 524) UB Program Profile

Assurances and Certifications ED GEPA 427

The Notice contains specific instructions on page limits.

Part III-In the Project Narrative, the applicant should address the selection criteria in the order delineated earlier (A-G) because this is the order in which the Technical Review Form is organized. The Technical Review Form is used by the peer reviewers to evaluate applications.

The following guidance may assist you in addressing each of the selection criteria:

1. Need: There are six sub-criteria in this section. In responding to this criterion, all six sub-criteria must be addressed. Data for each sub-criterion must be addressed for each of the target areas or target schools (if applicable) identified in the application. Note: For Need sub- criterion (1)(i)- The income level of families in the target area is low; an applicant may provide data on (a) a high number or high percentage of low-income families residing in the target area or (b) a high number or percentage of students in the target schools who are eligible for free or reduced priced lunch.

2. Objectives: All applicants must include the six standardized objectives as listed on the UB Program Profile form. On the Profile form, you must fill in the blanks indicating the percentage level of achievement for each of these objectives. These standardized objectives may not be rewritten, restated or reworded. In the Project Narrative, you must address each of the objectives and explain how the objectives are ambitious and attainable. For each of the objectives, applicants should use comparative data to show why the proposed percentage is ambitious based on information provided in the “Need” section of the Project Narrative and attainable based on permissible and required services provided in the Plan of Operation and the resources available to the project (see criterion A). If an applicant proposes additional objectives, no additional points will be received or penalties for proposing additional objectives.

3. Plan of Operation: This criterion contains ten sub-criteria, and applicants must address all ten sub-criteria. This part of the application should provide information on who, what, when and how the project will provide services to meet its goals and objectives. An application must include a narrative that describes how and when, in each budget period of the project, the applicant plans to meet each objective of the project. Applicants must also provide information on how it will ensure that sufficient resources are available to effectively and efficiently serve the proposed number of target schools.

As previously noted, the information provided in this section of the application will be assessed based on the quality of the applicant’s response for addressing the identified needs as related to the baseline data provided in the Need section. All of the proposed services and activities should be clearly aligned with the identified needs of the participants to be served in the targeted areas and proposed target schools.

4. Applicant and Community Support: There are two sub-criteria that must be addressed. Applicants should not submit floor plans or letters of support or commitment in the application— this information can be described or summarized as narrative, or in a list, or in a chart. If submitted, these items will count towards the recommended 65-page limit. Applicants must provide information on the tangible commitments and resources to be provided by the applicant and by community partners and should demonstrate in this section how the proposed commitments and support will enable the proposed project to carry out the proposed project plan in the most cost-effective manner possible.

5. Quality of Personnel: Applicants must address each of the three sub-criteria in this section. Applicants should include the minimum qualifications for all project personnel positions which may include type of degree required, acceptable field(s) of study, and minimum amount of work-related experience required for each position. Applicants are not required to submit resumes or job descriptions in the application but, at a minimum; this information should be described or summarized. The “plan to employ personnel who have succeeded in overcoming barriers similar to the target population to be served” must be specific. The inclusion of an equal employment opportunity statement and/or a non-discriminatory employment practices policy alone is not an adequate response to this criterion.

6. Budget and Cost Effectiveness: In response to this criterion, applicants must provide a detailed, itemized budget narrative for the first-year (20XX-20XX) budget period, only. The budget narrative is to be included in the Project Narrative (Part III) to be uploaded into the Grants.gov application. Additional guidance on the standard budget forms is cited in the instructions entitled “First Year Budget and Budget Summary Form (ED Form 524) Instructions” on the following pages. Note: The budget narrative is counted as part of the recommended 65- page limit for Part III. Applicants should include costs that are related to the [approved] activities proposed in the Plan of Operation section, to the extent in which funds are available. All costs should be necessary to accomplish the proposed project activities, reasonable and allowable as discussed in the UB regulations in 34 CFR part 645.40.

7. Evaluation Plan: A strong evaluation plan should be included and should be used, as appropriate, to shape the development of the project from the beginning of the grant period. The evaluation plan should include benchmarks to monitor progress toward meeting specific project objectives based on the program’s performance measures. The plan should describe the evaluation design, indicating: (1) what types of data will be collected; (2) when various types of data will be collected; (3) what methods will be used; (4) what instruments will be developed and when; (5) how the data will be analyzed; (6) when reports and outcomes will be available. The evaluation plan should indicate what information, provided on a weekly, monthly and annual basis will indicate if the project is developing in a manner that meets its goals and objectives. In addition, the plan should indicate who is responsible for making sure that information is available in a timely manner and is influencing the ongoing management of the project.

Applicants are encouraged to think carefully about evaluation approaches and seek cost-effective evaluation strategies. Applicants are also encouraged to explain how they will work with appropriate agencies to develop strategies for using State longitudinal data systems or other

third-party verified data to track the extent to which students enroll in postsecondary education.

Optional Scoring Rubric

As required by 20 U.S.C. 1070a-11c(4), three-member peer review panels will assist in making determinations regarding the awarding of grants in accordance with the procedures described in 34 CFR 75.217. The individual scores of the reviewers will be added and the sum divided by the number of reviewers to determine the peer review score received in the review process.

A scoring rubric is provided below as a suggested guideline to assist peer reviewers during the application review process. Reviewers are not required to use the scoring rubric; that is, it is an advisory tool that is intended to promote consistency and reliability and to minimize the subjectivity of scoring judgments made during the application review process. The UB competition scoring rubric is provided in this application package to assist applicants and the general public in understanding more fully how applications may be evaluated.

Optional Scoring Rubric:

Indicators	Not Addressed (0 points)	Needs Improvement (less than half points)	Adequate (half points)	Strong (more than half points)	Exemplary (full points)
Understanding	The criterion/priority was not addressed in the application.	Demonstrates minimal understanding of the criterion/priority requirements.	Demonstrates a basic understanding of the criterion requirements. However, a few weaknesses hold it back.	Demonstrates a strong understanding of the criterion/priority. However, one or two weaknesses hold it back from exemplary.	Demonstrates an exceptional understanding of the criterion/priority.
Responsiveness	The criterion/priority was not addressed in the application.	Provides minimal detail (e.g., examples, data, supporting documents, citations, etc.) and lacks specificity about “how” each component of the criterion/priority will be fully addressed.	Provides basic details (e.g., examples, data, supporting documents, citations, etc.) and specificity about “how” each component of the criterion/priority will be fully addressed. However, a few weaknesses hold it back.	Provides convincing details (e.g., examples, data, supporting documents, citations, etc.) and specificity about “how” each component of the criterion/priority will be fully addressed. However, one or two shortcomings hold it back from exemplary.	Provides extensive details (e.g., examples, data, supporting documents, citations, etc.) and is highly specific about “how” each component of the criterion/priority will be fully addressed.
Alignment	The criterion/priority was not addressed in the application.	Demonstrates minimal alignment between what is proposed in response to the criterion/priority, how it will be carried out, and the subsequent impact.	Demonstrates basic alignment between what is proposed in response to the criterion/priority, how it will be carried out, and the subsequent impact. However, a few weaknesses hold it back.	Demonstrates a strong alignment between what is proposed in response to the criterion/priority, how it will be carried out, and the subsequent impact. However, one or two weaknesses hold it back from exemplary.	Demonstrates exceptional alignment between what is proposed in response to the criterion/priority, how it will be carried out, and the subsequent impact.
Effectiveness	The criterion/priority was not addressed in the application.	Presents an unlikely argument that leads the reviewer to believe in the quality of the project and the likelihood of the project achieving its goals and objectives.	Presents a basic argument that leads the reviewers to believe in the quality of the project and the likelihood of the project achieving its goals and objectives. However, a few weaknesses hold it back.	Presents a strong argument that leads the reviewers to believe in the quality of the project and the likelihood of the project achieving its goals and objectives. However, one or two weaknesses hold it back from exemplary.	Presents an exceptional argument that leads the reviewer to believe in the quality of the project and the likelihood of the project achieving its goals and objectives.
Feasibility	The criterion/priority was not addressed in the application.	Reviewer has almost no understanding of the project or confidence that the project, as described in the application (e.g., resources, staffing, collaborations, etc.), can be implemented successfully and with minimal chance of failure.	Reviewer has a basic understanding of the project and has some confidence that the project, as described in the application (e.g., resources, staffing, collaborations, etc.), can be implemented successfully and with minimal chance for failure. However, a few weaknesses hold it back.	Reviewer has a strong understanding of the project and is confident that the project, as described in the application. can be implemented successfully and with minimal chance of failure. However, one or two weaknesses hold it back from exemplary.	Reviewer has a clear and comprehensive understanding of the project and has no doubts that the project, as described in the application can be implemented successfully and with minimal chance of failure.

The Department views the UB Program as a critical component of its efforts to improve college access and completion for students who have been traditionally underrepresented in postsecondary education by focusing on improving college readiness. To more strategically align UB grants with broader reform strategies intended to improve postsecondary access and completion, the Department has included competitive preference priorities that encourage applicants to propose activities and plans to address the priorities.

Competitive Preference Priority 1: TBD

Competitive Preference Priority 2: TBD

Competitive Preference Priority 3: TBD

The Department of Education has prepared a strategic plan for 2022-2026. 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 U.S. The 2022-2026 plan includes the following five goals:

Goal 1: Prioritize the equitable and adequate distribution of resources to communities of concentrated poverty in an effort to provide underserved students with high-quality educational opportunities.

Goal 2: Support a diverse and talented educator workforce and professional growth to strengthen student learning.

Goal 3: Meet students’ social, emotional, and academic needs.

Goal 4: Increase postsecondary value by focusing on equity-conscious strategies to address access to high-quality institutions, affordability, completion, post-enrollment success, and support for inclusive institutions.

Goal 5: Enhance the Department’s internal capacity to optimize the delivery of its mission.

What are the performance indicators for the UB Program?

The performance indicators for the Upward Bound Projects are part of the Department’s plan for meeting Goal 4. The UB Program is part of the Federal TRIO Programs. The overarching goal of the Federal TRIO Programs is “to increase the percentage of low-income and first-generation college students who successfully pursue postsecondary education opportunities.”

The specific performance measure for the UB projects is the percentage of UB participants who enroll in and complete postsecondary education.

How does the Department of Education determine whether performance goals have been met?

An applicant that receives a grant award will be required to submit annual performance reports as a condition of the award. The reports will document the extent to which project goals and objectives are met.

NOTE: Applicants must submit: (1) budget information that categorizes the requested funds (ED Form 524), AND (2) a detailed budget narrative for the first 12-month budget period.

The budget summary is to be included on the Budget Information – Non-Construction Programs (ED Form 524).

The budget narrative, for the first 12-month budget period only, is to be included in the

Project Narrative (recommended limit to 65 pages).

This section requests information on the applicant’s financial plan for carrying out the project.

The federal and any non-federal shares are to be included on the Budget Information – Non- Construction Programs (ED Form 524), and in the Budget selection criterion discussion in the Project Narrative.

The Department is requesting that you complete the Budget Information – Non-Construction Programs (ED Form 524) for ONLY the 20XX-XX year. Please provide a comprehensive and detailed budget narrative for the first 12-month budget period, only. Applicants should place an asterisk next to all budget items that relate to the costs associated with the announced Competitive Preference Priorities for FY 20XX.

It is not necessary to provide a budget summary for the total grant period requested. The funding level for the first year is stipulated based on the Maximum Award Section of the notice, and the Department will determine the funding levels for the subsequent years of the grant award.

The Budget Information-Section A – Budget Summary – Non-Construction Programs (ED Form 524) and the Budget Narrative must include all costs that are allowable, reasonable and necessary for carrying out the objectives of the UB Program. Among the costs that may be supported with grant funds are:

1. Personnel: On line 1 (ED Form 524), enter only the project personnel salaries and wages. [Fees and expenses for consultants should be included on line 8.] The budget should include the total commitment of time and the total salary to be charged to the project for each key staff member. You should provide a breakdown of project personnel that includes: the position titles; the percent of time and number of months committed to the project for each key staff member; the salary for each key staff member; and the total salary costs to be charged to the grant.

2. Fringe Benefits: On line 2 (ED Form 524), enter the amount of fringe benefits. The institution or agency’s normal fringe benefit contribution may be charged to the program. Leave this blank if fringe benefits applicable to direct salaries and wages are treated as part of the indirect costs. In the budget, include an explanation and appropriate justification if the institution or agency’s normal fringe benefit contribution exceeds 20 percent of salaries.

3. Travel: On line 3 (ED Form 524), provide the costs for project personnel. [Consultants’ travel should be included on line 8.] In the budget, you should detail the proposed travel costs: for each trip explain the purpose and objective of the travel and provide the number of persons traveling. Transportation costs should not exceed tourist class airfare. For automobile mileage, the established institution or agency rate should be used. Reimbursement is allowed for taxicab, bus, train, or limousine transportation. Per diem at the established institution or agency rate is permitted when an individual is away from home overnight on official project business (see 2 CFR 220 of the Cost Principles for Educational Institutions, J.53.c, formerly, OMB Circular A-21, J.48.c - Commercial Air Travel).

The Federal TRIO Programs have developed the following guidelines for recommending approval of travel. All travel must be related to the project’s overall purpose and proposed activities.

• Project Director’s Travel – Per Year

1. One National Conference; One Regional Meeting; One State Meeting; and

2. Travel for participation in one professional staff development training opportunity under the TRIO Training Program.

• Full-time Professional Staff Travel – Per Year

1. One National, Regional, or State Meeting; and

2. Travel for participation in one professional staff development training opportunity under the TRIO Training Program.

4. Equipment: On line 4 (ED Form 524), indicate the cost of equipment -- non-expendable personal property, which has a usefulness of greater than one year and an acquisition cost of $10,000 or more per unit. [Consistent with an applicant’s policy, a lower dollar amount may be used to define equipment.] In the budget, explain why the requested equipment is necessary to carry out project activities, and include a list of all equipment in the following format: item, quantity, cost per unit, and total cost.

5. Supplies: On line 5 (ED Form 524), include the costs of all tangible personal property that was not included as “equipment” on line 4. In the budget, provide an itemized list of the supplies.

6. Contractual: Not applicable. Leave blank.

7. Construction: Not applicable. Leave blank.

8. Other: On line 8 (ED Form 524), indicate all direct costs not covered on lines 1 through

5. The costs/fees for consultants and consultants’ travel should be included here.

Examples of “other” costs are: equipment rental, required fees, communication costs, rental of space, utilities, custodial services, and printing costs. In the budget, provide a breakdown of all direct costs not clearly covered by other budget categories.

Consultants: If the project proposes to use consultants, identify the consultants who will work on the project, the scope of work to be performed by each consultant, and justify why project personnel cannot perform this work. Also, provide a detailed breakdown of the costs (daily fees to be paid, estimated number of days of services, and all travel expenses, including per diem). Cost allowances for consultant fees, honoraria, per diem, and travel should not exceed amounts permitted by comparable institutional or agency policies.

9. Total Direct Costs: On line 9 (ED Form 524), provide the total direct costs requested – the sum of lines 1 through 8.

10. Indirect Costs: On line 10 (ED Form 524), provide the amount of indirect costs that you propose to charge against the grant.

All grants awarded under the Upward Bound Program. (84.047A) are designated as training grants. The Education Department General Administrative Regulations (EDGAR) limit reimbursement to grantees for indirect costs they incur under training grants to the grantee’s actual indirect costs as determined by the grantee’s negotiated indirect cost agreement or a maximum of 8 percent of a modified total direct cost base, whichever is less. (NOTE: This limitation does not apply to State agencies, or local governments, or federally recognized Indian tribal governments. [§75.562(c) (2)])

§200.68 Modified Total Direct Cost (MTDC).

MTDC means all direct salaries and wages, applicable fringe benefits, materials and supplies, services, travel, and up to the first $25,000 of each subaward (regardless of the period of performance of the subawards under the award). MTDC excludes equipment, capital expenditures, charges for patient care, rental costs, tuition remission, scholarships and fellowships, participant support costs and the portion of each subaward in excess of

$25,000. Other items may only be excluded when necessary to avoid a serious inequity in the distribution of indirect costs, and with the approval of the cognizant agency for indirect costs. Grantees charging indirect costs to a Department grant are required to have a negotiated rate with their cognizant agency (i.e., either the Federal agency from which it has received the most direct funding that is subject to indirect cost support, or a particular agency specifically assigned cognizance by the Office of Management and Budget). Although applicants are not required to submit with their application a copy of their indirect cost agreement to claim the 8 percent rate for funding received in this program, they are required to have documentation available for audit that shows that their negotiated indirect cost rate is at least 8 percent [§75.563(d)]. In the event that they receive an award under this program, applicants without a negotiated indirect cost rate with its cognizant agency should seek to identify that agency and contact it to obtain an approved rate as soon as possible after award notification.

Applicants should be aware that amounts representing the difference between the 8 percent rate and a greater indirect cost rate negotiated with a cognizant agency may not be charged to direct cost categories, used to satisfy matching or cost-sharing requirements, or charged to another Federal award. [§75.563(c) (3)]

11. Training Stipends: Provide the cost for student stipends, room and board, summer non- residential meals, tuition and related fees and capital expenditures of $5,000 or more per unit.

12. Total Costs: On line 12 (ED Form 524), provide the total amount that you are requesting – the sum of lines 9 and 10. Note: This amount should also be the

same as that shown in field 18g on the application face sheet (SF 424) and on the detailed budget narrative in Part III.

• Application for Federal Assistance (SF 424)

• Department of Education Supplemental Form for the SF 424

• Department of Education Budget Summary Form (ED 524)

• Disclosure of Lobbying Activities (SF-LLL)

• GEPA Statement

To obtain instructions for standard forms included in this application package, please visit https://www2.ed.gov/fund/grant/apply/appforms/appforms.html.

Use This Checklist While Preparing Your Application Package: All items listed on this checklist are required.

Part I - Application for Federal Assistance - (SF 424)

Part I - Department of Education Supplemental Information for SF 424

Part II - Department of Education Budget Summary Information – Non-Construction Programs (ED Form 524) – Sections A & B

Part III - Project Narrative – The recommended total page limit for the project narrative portion of the application for the FY 20XX UB competition is 65 pages. However, those addressing the competitive preference priorities may include up to three additional pages each for the priorities, in a separate section of the application submission, to discuss how the application meets the priorities. Attach the Project Narrative document to the Project Narrative Attachment Form in the Grants.gov application.

Part III - Other Attachments - UB Program Profile

UB Program Assurances

Competitive Preference Priorities Narrative

Attach each of these documents to the Other Attachments Form in the Grants.gov application.

Part III - ED Abstract - one-page limit -- Attach this document to the ED Abstract Form in the Grants.gov application. This one-page abstract, which may be single-spaced, will not count against the 65 pages you are allowed for your response to the selection criteria.

Part IV - Assurances, Certifications, and Survey GEPA Section 427 Requirement

Lobbying Form (Formerly ED Form 80-0013) Disclosure of Lobbying Activities (SF LLL)

NOTE: Please do not attach any narratives, supporting files, or application components to the Standard Form (SF 424). Although this form accepts attachments, the Department of Education will only review materials/files attached to the Grants.gov Attachment Forms listed above.

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. The valid OMB control number for this information collection is 1840-0550.  Public reporting burden for this collection of information is estimated to average 33 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 (Title IV, Part A, Subpart 2 Section 402A of the Higher Education Act of 1965, as amended (HEA) and 34 CFR part 645 UB Program for Federal TRIO Programs). If you have comments or concerns regarding the status of your individual submission of application, please contact Student Service, Higher Education Programs, Office of Postsecondary Education, U.S. Department of Education, 400 Maryland Avenue, SW, Washington, DC 20202-4260 or by e-mail: [email protected] directly. [Note: Please do not return the completed application to this address.]