Microsoft Word - Redline UB 1840-0550 11.2.26

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U.S. Department of Education
OFFICE OF POSTSECONDARY
EDUCATION
Washington, DC 20202
www.ed.gov/about/offices/list/ope/trio/index.html

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https://www.ed.gov/grants-and-programs/grants-higher-education/federal-trioprograms/upward-bound-program-84047a

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FY 20XX APPLICATION FOR GRANTS UNDER THE UPWARD BOUND
PROGRAM
ALN: 84.047A

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FORM APPROVED

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

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DATED MATERIAL – OPEN IMMEDIATELY CLOSING
DATE: TBD

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TABLE OF CONTENTS
Dear Applicant Letter .................................................................................................................................... 3
Competition Highlights ................................................................................................................................. 4
Overview ....................................................................................................................................................... 6

Grants.gov Submission Procedures and Tips for
Applicants

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Contact Information
Team Lead: Tanisha Hamblin-Johnson, EdD Address:
Application Transmittal Instructions ........................................................................................................... 12

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Notice Inviting Applications for New Awards ............................................................................................ 14
Authorizing Legislation ............................................................................................................................... 43

Upward Bound Program Regulations 44

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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

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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

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COMPETITION HIGHLIGHTS
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).

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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.
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OVERVIEW
UPWARD BOUND PROGRAM
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:
a. Regular Upward Bound projects.
b. Upward Bound Math and Science (UBMS) Centers.
c. 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:
(a) Institutions of higher education
(b) Public or private agencies or organizations, including community-based organizations with
experience in serving disadvantaged youth
(c) Secondary schools
(d) Combinations of institutions, agencies, and organizations, and secondary schools
What activities and services does a project provide?
Required ServicesAny 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:
a. Federal Pell grant awards
b. Loan forgiveness
c. Scholarships
(5) Assistance completing financial aid applications:
a. Federal Student Aid
(6) Guidance on and assistance in:
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a. Secondary school reentry
b. Alternative education programs for secondary school dropouts that lead to the
receipt of a regular secondary school diploma
c. 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 ina. Mathematics through Pre-Calculus
b. Laboratory Science
c. Foreign Language
d. Composition
e. Literature
Permissible ServicesAny 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

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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.
a. 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.
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b. 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.
c. 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.

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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
a) 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 SelfService Knowledge Base web portal at: https://grants- portal.psc.gov/Welcome.aspx?pt=Grants.
b) 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)
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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:
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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.
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APPLICATION TRANSMITTAL INSTRUCTIONS
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, SWS.W.
Washington, DC 20202-4260

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You must show proof of mailing consisting of one of the following:
(1) A legibly dated U.S. Postal Service postmark.

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(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.

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NOTICE INVITING APPLICATIONS FOR NEW AWARDS
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/FR14

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.

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Full Text of Announcement

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Funding Opportunity Description

Purpose of Program:

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SUPPLEMENTARY INFORMATION:

I.

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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.
three types of grants under the UB Program:

There are

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:
15

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:

16

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 traumainformed 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.
17

Competitive Preference Priority 3:

Strengthening Cross-

Agency Coordination and Community Engagement to Advance Systemic
Change.
Projects that are designed to take a systemic evidencebased 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 wellbeing 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
18

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.
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Underserved student means a student in one or more of the
following subgroups:
(a)

A student who is living in poverty or is served by

schools with high concentrations of students living in poverty.
(b)

A student experiencing homelessness or housing

insecurity.
(c)

A student who is in foster care.

(d)

A student who is the first in their family to attend

postsecondary education.
(e)

A student who is enrolled in or is seeking to enroll

in postsecondary education who is eligible for a Pell Grant.
(f)

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;
20

(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:
Note:

20 U.S.C. 1070a-11 and 1070a-13.

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,
21

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.
II.

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:

22

$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:
III.

Up to 60 months.

Eligibility Information
(a) 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.
(b) Cost Sharing or Matching:
require cost sharing or matching.
23

This competition does not

(c) 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.
(d) 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.
(e) Subgrantees:

A grantee under this competition may not

award subgrants to entities to directly carry out project
activities described in its application.
(f) 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
24

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)).
IV.

Application Submission Information
(a)

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/201902206.pdf, which contain requirements and information on how to
submit an application.
(b) 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.
(c) Funding Restrictions:
34 CFR 645.41.

We specify unallowable costs in

We reference additional regulations outlining

funding restrictions in the Applicable Regulations section of
this notice.
(d) Recommended Page Limit: The application narrative is
where you, the applicant, address the selection criteria that
reviewers use to evaluate your application.
25

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 onepage 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.
26

V.

Application Review Information
(a) 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.
(a) 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—
(i) The income level of families in the target area is low;
(Up to 4 points)
(ii) The education attainment level of adults in the target
area is low; (Up to 4 points)
(iii) Target high school dropout rates are high; (Up to 4
points)
(iv) College-going rates in target high schools are low;
(Up to 4 points)
(v) Student/counselor ratios in the target high schools are
high; (Up to 4 points) and

27

(vi) 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)
(b) 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:
(i) Academic performance (GPA); (Up to 1 point)
(ii) Academic performance (standardized test scores); (Up
to 1 point)
(iii) Secondary school retention and graduation (with
regular secondary school diploma); (Up to 2 points)
(iv) Completion of rigorous secondary school program of
study; (Up to 1 point)
(v) Postsecondary enrollment; (Up to 3 points) and
(vi) Postsecondary completion. (Up to 1 point)
(c) 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
28

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)

29

(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)
(d) 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)
(i) An applicant that is an IHE must include in its
application commitments from the target schools and community
organizations;
(ii) 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

30

(iii) An applicant that is a community organization must
include in its application commitments from the target schools
and IHEs.
(e) 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)
(f) 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

31

(2) Costs are reasonable in relation to the objectives and
scope of the project. (Up to 2 points)
(g) 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)
(b) 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
32

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 201718, 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
33

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
34

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.
(c) 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.
(d) 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
35

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.
(e) 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

36

pursuant to this notice inviting applications in accordance
with-(a) 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);
(b) 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);
(c) 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
(d) 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).
VI.

Award Administration Information
(a) 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.

37

If your application is not evaluated or not selected for
funding, we notify you.
(b) 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.
(c) 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 preexisting 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
38

and selected for funding. For additional information on the
open licensing requirements please refer to 2 CFR 3474.20.
(d) 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.
(e) 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:
39

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.

40

(f) 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).
VII.

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

41

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.

42

AUTHORIZING LEGISLATION

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

43

UPWARD BOUND PROGRAM REGULATIONS
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.

44

FEDERAL TRIO PROGRAMS
CURRENT-YEAR LOW-INCOME LEVELS
(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.

45

INTERGOVERNMENTAL REVIEW OF FEDERAL PROGRAMS
EXECUTIVE ORDER 12372
This program falls under the rubric of Executive Order 12372 (Intergovernmental Review of
Federal Programs) and the regulations in 34 CFR Part 79. One of the objectives of the Executive
order is to strengthen federalism--or the distribution of responsibility between localities, States,
and the Federal government--by fostering intergovernmental partnerships. This idea includes
supporting processes that State or local governments have devised for coordinating and reviewing
proposed Federal financial grant applications.
The process for doing this requires grant applicants to contact State Single Points of Contact for
information on how this works. Multi-state applicants should follow procedures specific to each
state.
Further information about the State Single Point of Contact process and a list of names by State
can be found at:
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.

46

SUPPLEMENTAL INFORMATION
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/wpcontent/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.
47

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.

48

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.

49

15. Contact Information
For Upward Bound Program-related questions and assistance, please contact:
Division Director: Sharon Easterling
Address:

Telephone:
E-mail Address:

Federal TRIO Programs
U.S. Department of Education
400 Maryland Avenue SW, Room 5B142
Washington, D.C. 20202
(202) 453-7425
[email protected]@ed.gov
and/or

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Program Specialist: Alexandra Bolden
Address:

Telephone:
E-mail Address:

Federal TRIO Programs
U.S. Department of Education
400 Maryland Avenue SW, Room 5C124
Washington, D.C. 20202
(202) 987-1918
[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

50

UPWARD BOUND PROGRAM PROFILE

2

51

UPWARD BOUND PROGRAM PROFILE
Instructions: All applicants must complete this page. The completed formpage must be
attached to the Other Attachments Form in the application package in Grants.gov (as a .PDFpdf
document).) in the application. DO NOT MODIFY OR AMEND THE CONTENTS OF
THIS PAGE.
1. Applicants currently funded under the Upward Bound Program (FY 20XX-20XX2022-2027)
must provide their current grant award number. This can be found in Block 5 of the Grant
Award Notification.

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New applicants should leave this item blank.

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PR/Award Number (Current Grantees Only): P047A (XX) (XX) (XX) __ __ __ __22) (23) (24)

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Application designated to receive prior experience: Yes☐

No ☐

Application 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
addresses Competitive Preference Priorities (check all that apply):
☐

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

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UB Program Profile continued

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3

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4. Multiple applications submitted:

No:☐:

Yes:☐:

How many?

5. 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
Participants

NCES ID

Zip Code

Number of

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(1)

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(2)

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(3)

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(4)
(5)
(6)
(7)
(8)
Note: NCES school ID can be found at the following website:
https://nces.ed.gov/ccd/schoolsearch.
(1)
(2)
(3)
(4)
(5)
(6)
(7)

(8)
(9)
(10)
(11)
(12)
(13)
(14)

Note: The project must be located in a setting accessible to the individuals the project proposes to serve. Add an
additional sheetpage to list target schools, if needed.

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

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6.
(Note: Projects are expected to serve the same number of participants, each year. Twothirds of the participants served must be low-income, potential first-generation college
students.)).

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4

7. Program Objectives:

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Please fill in the proposed percent for each objective.

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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.

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UB Program Profile continued
(1)A.
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)B.
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)C.
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)
D. ):
%
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)E.
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)F.
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.

6

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.
individual’s state.

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7

UB Program Profile continued

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

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(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
(1) 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;

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(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.
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.

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2 + Numbering Style: 1, 2, 3, … + Start at: 1 +
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... [36]

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8

Formatted

... [39]

UPWARD BOUND PROGRAM ASSURANCES
UPWARD BOUND PROGRAM ASSURANCES
Attach this Assurance formForm 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 languagecontents of thisthe form in any way.

Formatted: Condensed by 0.2 pt

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

Formatted: Normal, Indent: Left: 0.25", Right: 0",
Space Before: 0 pt

1.
2.

3.
4.
4.

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

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1.25", Left + Not at 1.51"
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1.25", Left + Not at 1.51"
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1.25", Left + Not at 1.51"
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5.
Authorized Certifying Official’s Signature

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Printed Name of Authorized Certifying Official

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Title of Authorized Certifying Official

Name of Applicant Institution/Organization

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3.75", Left + Not at 4.01"
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Not at 4.01"

Date Signed

Formatted: Indent: Left: 0.63"

Attach this Assurance Form to the “Other Attachments Form” in the
9

Formatted: Space Before: 12.05 pt
Formatted: Font: 14 pt

Grants.gov application package.

Formatted: Font: 14 pt

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.

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pt
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10

PRIOR EXPERIENCE
Prior Experience (PE) Objectives and Calculations for UB Projects Operating in
Project Years TBD
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.
2.
3.
4.
5.

Funded number
Academic performance—GPA
Academic performance on standardized tests
Secondary school retention and graduation
Secondary school graduation after completing
a rigorous secondary school program of study

11

maximum of 3 points
maximum of 1.5 points
maximum of 1.5 points
maximum of 3 points
maximum of 1.5 points

6. Postsecondary enrollment
7. Postsecondary completion

maximum of 3 points
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.

12



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.)

13

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.

14

INSTRUCTIONS FOR COMPLETING THE APPLICATION PACKAGE
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

15

narrative in this section as part of the selection criteria, which is counted as part of the 65page 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)

16

INSTRUCTIONS FOR PROJECT NARRATIVE –
SELECTION CRITERIA
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:
A.
B.
C.
D.
E.
F.
G.

Need (34 CFR 645.31(a))
Objectives (34 CFR 645.31(b))
Plan of Operation (34 CFR 645.31(c))
Applicant and Community Support (34 CFR 645.31(d))
Quality of Personnel (34 CFR 645.31(e))
Budget and Cost Effectiveness (34 CFR 645.31(f))
Evaluation Plan (34 CFR 645.31(g))

(24 points)
( 9 points)
(30 points)
(16 points)
( 8 points)
( 5 points)
( 8 points)

Total Maximum Score for Selection Criteria

100 points

Competitive Preference Priorities
Total Maximum Score for Selection Criteria and Competitive Preference
Priorities

(TBD)

17

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:
(A)
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 subcriterion (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.

18

(B)
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). I f a n a pplicant proposes additional
objectives, no additional points will be received or penalties for proposing additional objectives.
(C)
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.
(D)
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.
(E)
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.
(F)
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

19

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.
(G)
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.

20

Optional Scoring Rubric:

Indicators

Understanding

Not Addressed
(0 points)

Adequate
(half points)

Strong
(more than half
points)

Exemplary
(full points)

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.

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.

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.

Responsiveness

Alignment

Needs
Improvement
(less than half
points)

21

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.

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.

Effectiveness

Feasibility

22

COMPETITIVE PREFERENCE PRIORITIES FOR FY 20XX

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

23

PERFORMANCE INDICATORS
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.

24

INSTRUCTIONS FOR THE BUDGET SUMMARY
AND ITEMIZED LINE ITEM BUDGET
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 – NonConstruction 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.

25

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.

A.
B.

A.
B.

Project Director’s Travel – Per Year
One National Conference;
One Regional Meeting;
One State Meeting; and
Travel for participation in one professional staff development training opportunity
under the TRIO Training Program.
Full-time Professional Staff Travel – Per Year
One National, Regional, or State Meeting; and
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.

26

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.

27

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 nonresidential 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.

28

INSTRUCTIONS FOR STANDARD FORMS
● 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.

29

APPLICATION CHECKLIST
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.

30
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PAPERWORK BURDEN STATEMENT
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. Do not modify or amend the contents of the form in any
way.

31

PAPERWORK BURDEN STATEMENT
According to the Paperwork Reduction Act of 1995, no persons are required to respond to a
collection of information unless such collection displays a valid OMB control number. 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 this application, please contact Student Service, Higher Education
Programs, Office of Postsecondary Education, U.S. Department of Education, 400 Maryland
Avenue, SW, Washington, DC 20202-4260Telephone: (202) 453-7700 or by e-mail:
[email protected]. directly. [Note: Please do not return the completed application to this address.]

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