§ 151.45 Transfer of title.

The Commissioner may transfer title to any facility constructed pursuant to the Act and this subpart, if such title is vested in the United States, to any eligible party specified in § 151.29 subject to the condition that the facility will be operated for the purposes for which it was constructed and subject to such other conditions as the Commissioner may deem necessary to carry out the objectives of the Act and to protect the interest of the United States.

§ 151.46

Competitive equipment bids.

Equipment not included in the basic construction contract will be procured by competitive bidding either by public advertising or by obtaining three or more bids, unless other procurement methods are required by State or local laws. § 151.47 Determination of equipment.

For the purpose of establishing the distinction between equipment and expendable supplies, for any item listed in pp. 101-121 (Alphabetical List of Supplies and Equipment) of the U.S. Department of Health, Education, and Welfare, Office of Education, Bulletin 1959, No. 22, the determination between equipment or expendable supply item as contained therein shall apply.

Subpart E-Experimental Schools SOURCE: The provisions of this Subpart E appear at 37 F.R. 9671, May 16, 1972, unless otherwise noted.

educational practices, and products of educational research; or (b) through a comprehensive design that provides significant new approaches and alternatives to current educational structures, programs, practices, and performances. § 151.52 Eligible applicants; applications.

(a) Assistance under this subpart will be made available only upon submission of an application (which may be in the form of a letter of interest) meeting the requirements of § 151.4 at such time or times, and in such manner, as the Commissioner deems necessary. One or more eligible parties may apply for assistance under a single application pursuant to a cooperative arrangement. In addition to such other information as the Commissioner may require, an application under this subpart shall set forth the goals of the project, including (1) the educational problems to be addressed, and (2) the kind and purpose of the learning experiences to be provided.

veloped, and will be operated, in consultation with, and with the involvement of, parents of the children to be served by such project;

(ii) Contain satisfactory assurance that such parents have had an opportunity to present their views with respect to the application; and

(iii) Set forth policies and procedures for adequate dissemination of project plans and evaluations to such parents and the public;

(4) [Reserved]

(5) The applicant has provided satisfactory assurance that effective procedures, including provision for appropriate objective measurements of educational achievement, will be adopted for the continuing evaluation of the effectiveness of the project in meeting its stated goals;

(6) The applicant has provided satisfactory assurance that it will furnish to the Commissioner such information and reports as he may deem necessary for the administration of the program. (7) [Reserved]

(b) The project shall involve a comprehensive educational program whose elements are compatible with, and mutually reinforcing of, its goals. Such elements shall include, but not be restricted to:

(1) The nature and substance of the curriculum;

(2) The nature, role, and organization of staff and necessary staff training;

(3) The use of time and space, including possible variations in the length of the school day, school year, or the numbers of years required of participants in the project;

(1) Serve communities of learners who are from low income families (as determined by the Commissioner);

(2) Are designed to serve members of the community who are not achieving or have not achieved educational success. § 151.56 Federal financial participation.

(a) Federal financial assistance to public agencies, institutions, or organizations under this subpart for any given period may not exceed the difference between (1) the total cost of the project and (2) the number of students in the project multiplied by the average per pupil expenditure (as determined by the Commissioner) for the area to be served with respect to such period. Assistance to any other eligible party under this subpart may be limited by the Commissioner to an amount which is less than the total cost of the project. In making such a determination, the Commissioner may take into account such factors as the party's financial ability to contribute to the cost of the project.

(b) An applicant for assistance under this subpart must establish that it has, or will have, the resources to continue the project without Federal support at the expiration of the demonstration period.

(4) An administrative and organizational structure consistent with and supportive of the program; and

(5) An evaluation design and a strategy for its implementation.

155.11

155.12

155.13

155.14 155.15

Criteria for evaluating proposals.

Bound students.

Costs eligible for Federal support.
Amount of the Federal share.

Payment procedures; availability.
Interest earned on Federal funds.

Economical methods of purchase.
Records and reports.

Approval of research and evaluation. AUTHORITY: The provisions of this Part 155 issued under sections 408, 1201-1204, 79 Stat. 1235, 1269-70 as amended; 20 U.S.C. 1068, 1141-1144.

SOURCE: The provisions of this Part 155 appear at 35 F.R. 7257, May 8, 1970, unless otherwise noted.

84-006-72—18

§ 155.1 Scope and purpose.

The regulations in this part govern the administration of the Upward Bound program authorized under section 408 of the Higher Education Act of 1965. Under this program, support is given to projects of certain educational institutions which have promise of motivating and preparing academic risk students from lowincome backgrounds and with inadequate secondary school preparation to engage successfully in programs of post-secondary and higher education. They are academic risk students for college education because their lack of educational preparation and/or underachievement in high school is such that they would not have considered enrollment nor would they have been likely to have gained admission to, and successfully pursued an academic career at a 2- or 4-year college without the benefits of an Upward Bound program.

(a) The term “Act” means the Higher Education Act of 1965, as amended.

(b) The term "Applicant", "applicant institution", or "institution" refers to the institution applying for or receiving an Upward Bound grant under this part.

(c) The term "Combination of Institutions of Higher Education" means a group of institutions of higher education that have entered into a cooperative arrangement for the purpose (although not necessarily the exclusive purpose) of carrying out an Upward Bound project, or a public or private nonprofit agency, organization, or institution designated or created by a group of institutions of higher education for the purpose (although not necessarily for the exclusive purpose) of carrying out an Upward Bound Project on their behalf.

(d) The term "Commissioner" means the Commissioner of Education or his designee.

(e) The term "Institution of Higher Education" means an educational institution in any State which meets the requirements set forth in section 1201(a) of the Act.

(f) The term "Post-Secondary School" means a public or private nonprofit institution which meets the requirements set forth in section 435 (c) of the Act.

(g) The term "Secondary School" means a school which provides secondary education as determined under State law except that it does not include any education provided beyond grade 12.

(h) The term "State" means in addition to the several States of the Union, the Commonwealth of Puerto Rico, the District of Columbia, Guam, American Samoa, and the Virgin Islands.

§ 155.3 Submission of project proposals.

(a) Timely filing. Awards for the conduct of Upward Bound project shall be made on the basis of the review of proposals for the continuation of existing projects and proposals for new projects which have been submitted timely on such forms and in such manner as the Commissioner may from time to time prescribe.

(b) Closing dates. The Commissioner may set dates by which project proposals must be received in order to be assured that they will be considered for an award.

(c) Additional information. The Commissioner reserves the right to request the submission of such additional or supplemental information as he believes necessary or desirable in connection with the review and consideration of a proposal.

(d) Eligible applicants. Awards for the conduct of Upward Bound projects will be made to institutions of higher education and combinations of institutions of higher education; and in exceptional cases where a secondary school or postsecondary educational institution may be better able to provide the requisite services, an award may be made to such an institution.

(e) Terms and conditions of award. Grants pursuant to this part shall be made for carrying out the project proposal approved by the Commissioner and shall be subject to such other terms and conditions as are made a part of the grant document. Copies of standard terms and conditions shall, to the extent practical, be made available to prospective applicants.

§ 155.4 Proposals for continuation of existing Upward Bound projects.

(a) Proposals for the continuation of existing Upward Bound projects must include a statement as to the specific purposes to be accomplished in the period

covered by the grant, a detailed plan of operation for accomplishing these purposes, an explanation of the procedures for recruitment and selection of Upward Bound students, a budget, and a list of key personnel. Such proposals must also provide assurance that none of the services made available under the grant are otherwise available to Upward Bound participants through the applicant institution or other public or private community agencies and that, where appropriate, such other services have been or will be utilized in carrying out the Upward Bound project.

(b) The Commissioner will approve such proposals only if he finds that the objectives and requirements set forth in §§ 155.6 and 155.8 have been and will continue to be met, that the methods adopted for the accounting for and management of Federal funds are adequate, and that the project has been carried out in an efficient manner and is achieving its projected goals. In making this finding the Commissioner shall particularly review the efforts made by the applicant and its success in placing its Upward Bound students in institutions of higher education.

§ 155.5 Proposals for new projects.

new

(a) Preliminary proposals for projects will be considered to the extent of available funds after the review of proposals for the continuation of existing projects has been completed. Generally, new Upward Bound projects should provide for activities for prospective Upward Bound students who are completing the 10th and 11th grades, however, the Commissioner may consider proposals dealing with students completing the 8th and 9th grades who are from an area or a group frequently experiencing severe dropout rates at an early age.

(b) Such preliminary proposals need contain only a summary plan of operation, which assures that the objectives and requirements set forth in §§ 155.6 and 155.8 will be met and assures that Federal funds will be properly expended and accounted for.

(c) Preliminary proposals will be reviewed in the light of criteria set forth in § 155.7.

(d) Applicants whose preliminary proposals are selected for further consideration may submit a comprehensive proposal as outlined under § 155.4(a). Awards will be made only on the basis of a comprehensive proposal (including such changes as may be made pursuant to paragraph (e) of this section) which is approved by the Commissioner.

(e) In reviewing the preliminary proposal, and during the course of any subsequent consideration of the comprehensive proposal, the Commissioner reserves the right to suggest inclusions or deletions which he feels will strengthen the proposed project.

§ 155.6 Required project objectives.

Each project proposal must include provisions for implementing each of the following objectives:

(a) The enrollment in the Upward Bound project of students whose lack of preparation or under achievement in high school or both is such that they are not likely to apply for admission to or be accepted for enrollment in institutions of higher education;

(b) Cooperation among one or more institutions of higher education and one or more secondary schools;

(c) The provision of necessary health services to Upward Bound students including diagnostic services designed to identify the medical and dental deficiencies of new Upward Bound students;

(d) (1) The recruitment of Upward Bound students whose ethnic backgrounds reflect the diversity existing in the community served by the Upward Bound project, (2) the utilization of project leadership and staff that reflect the ethnic background of the Upward Bound students, (3) the utilization of teaching staff that is drawn from both secondary schools and institutions of higher education with a substantial portion of such staff drawn from the regular faculty of the institution conducting the project, (4) the utilization of tutorcounselors who are college students, and (5) the utilization of the resources of individuais from the community to be served by the project who can make a special contribution to the program:

(e) The involvement of the community to be served by an Upward Bound project through committees which to the

Proposals for new projects will be selected on the basis of a review in the light of the following factors which are not necessarily listed in order of weight or importance:

(a) The scope and variety of the methods for recruiting of Upward Bound students;

(b) The level of the annual per capita income of the area to be served;

(c) Whether other projects or activities are already being supported in the area to be served which can provide some or all of the assistance set forth in the proposal;

(d) Whether the applicant institution has established rapport with the community to be served;

(e) Demonstrated ability to work with members of the academic community in the area to be served;

(f) The nature and quality of the physical facilities to be used in the conduct of the project;

(g) The number of the applicant's regular faculty members who will become members of the Upward Bound staff;

(h) The degree of involvement in the project of the secondary schools from which the Upward Bound students are drawn;

(i) If the applicant is an institution of higher education, the number of Upward Bound students to whom it is prepared to extend financial aid and admit into its regular program;

(j) The degree to which the curriculum design and method of execution promise to develop critical thinking, effective expression, and positive attitudes toward learning;

(k) The extent to which the applicant can provide suitable extra-curricular activities as reflected by the kind of the activities to be offered, the adequacy of the facilities for such activities and the ability of the staff directing such activities; and

(1) The extent and quality of the counseling services provided Upward Bound students.

§ 155.8 Eligibility and treatment of Upward Bound students.

(a) Family income of participants. Upward Bound students shall be selected only from among those whose family income meets the "low income family” criteria prescribed by the Commissioner. The income of families living in public housing, or receiving support under State or Federal welfare programs will generally be presumed to meet such criteria.

(b) Comparability of treatment of Upward Bound students. Upward Bound students shall not be subject to any rules, standards or requirements which do not apply to other regularly enrolled students of the applicant, nor shall Upward Bound students be segregated or discriminated against in their participation in campus activities.

(c) Student stipends. Upward Bound students shall be entitled to such stipends not in excess of $30 per month as are provided for in the grant award. § 155.9 Costs eligible for Federal support.

(a) Federal funds may be used only to cover those costs which are reasonable and necessary to the carrying out of an Upward Bound project, such as salaries of administrative staff, student stipends, student medical expenses and instructional materials.

(b) The purchase of equipment will be approved only to the extent that it is indispensable to the achievement of the purpose of the project and does not represent a disproportionately large expenditure in light of the total cost of, and the period of time over which the equipment will be used in carrying out, the proposal being supported.

(c) In no case may funds granted under this part be used for the construction of buildings or the purchase of land or buildings (although costs of minor remodeling may be allowed).