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

Program Description

Types of Projects

Frequently Asked Questions
Questions for Both State and Partnership Competitions: 1-19
GEAR UP State Competition FAQs: 20-30
GEAR UP Partnership Competition FAQs: 31-39
GEAR UP Scholarship Component Questions: 40-51

 

Select a link below to jump to the relevant page section.

1. What competition do these FAQs apply to?
2. What is the mission of the GEAR UP program?
3. What statute and regulations apply to GEAR UP?
4. How many years may an applicant implement a GEAR UP project?
5. Does GEAR UP have standardized objectives?
6. What types of GEAR UP projects are allowable?
7. What is the GEAR UP match requirement?
8. How are applicants required to present Federal and non-Federal expenditures?
9. What is an example of a project's single cohort budget allocation for a seven-year grant?
10. Are applicants required to have an approved indirect cost rate?
11. What are the required services that must be implemented under the GEAR UP program?
12. What are the two implementation models under GEAR UP?
13. What is the cohort student model?
14. How does a project serve a "substantial majority" of GEAR UP students under the cohort model?
15. What are some examples of allowable cohort designs?
16. Does an applicant implementing a cohort model have to provide evidence that all the target schools have at least 50 percent students eligible for free or reduced-price lunch?
17. What is the priority student model?
18. In responding to the Moderate Evidence Competitive Preference Priority (CPP #3 for Partnerships and CPP #4 for States), what kind of evidence needs to be provided?
19. What are some ways to avoid common application mistakes?
20. What is an eligible entity for the State Grants competition?
21. Can State applicants receive Competitive Preference Priority points?
22. What is the maximum funding a State applicant can request per year?
23. May a State GEAR UP applicant request a waiver of the GEAR UP match requirement?
24. What are the permissible services that may be implemented under the GEAR UP States program?
25. What implementation model may a State grant implement?
26. How are State applicants required to allocate Federal funds?
27. Are State GEAR UP projects required to provide scholarships?
28. May a GEAR UP State applicant request an exception of the required scholarship allocation of federal GEAR UP funds?
29. What must a State applicant demonstrate and describe in its scholarship exception request in their submitted application?
30. Can a State identify more than one source for funds to cover the scholarship allocation not covered by federal GEAR UP funds?
31. What is an eligible entity for the Partnership Grants competition?
32. Can an applicant apply for and administer more than one Partnership GEAR UP grant?
33. Can Partnership applicants receive Competitive Preference Priority points?
34. What is the maximum funding a Partnership applicant can request per year?
35. What are the permissible services that may be implemented under the GEAR UP Partnership program?
36. May a Partnership applicant request a waiver of the GEAR UP match requirement?
37. What implementation model may a Partnership grant implement?
38. May GEAR UP Partnership projects provide scholarships?
39. If a Partnership project chooses to offer a scholarship component, do they need to follow the requirement that 50 percent of grant funds be allocated to scholarships?
40. What is the size of the scholarship a project is required to provide to each eligible participant?
41. When must projects inform GEAR UP participants of their eligibility for a GEAR UP scholarship?
42. What are the eligibility requirements for students to receive scholarships?
43. How must projects hold their scholarship funds in reserve?
44. How is "participated" defined for purposes of eligibility for the scholarship?
45. Can a grantee maintain scholarship funds in an interest-bearing account and not remit interest earned in excess of $500 back to the federal government?
46. Can a grantee use the earned interest in a GEAR UP scholarship fund for the reasonable and necessary costs of maintaining the fund?
47. What type of interest-generating investments are allowable for a GEAR UP scholarship fund?
48. Can a grantee use a portion of scholarship funds originally reserved for students for the reasonable and necessary costs of maintaining the GEAR UP scholarship fund?
49. When must a grantee return any remaining scholarship funds?
50. May the scholarship funds for eligible students who have "aged out" due to the six-year requirement be reallocated to other eligible GEAR UP students, even if those students are participating under a different GEAR UP grant?
51. Is a scholarship fund subject to auditing and monitoring by the Department?

1. What competition do these FAQs apply to?
 

These GEAR UP FAQs apply to the 2024 State and Partnership competitions.

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2. What is the mission of the GEAR UP program?
 

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

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3. What statute and regulations apply to GEAR UP?
 

The GEAR UP program is authorized under Sections 404A — 404H of the Higher Education Act of 1965 (HEA), as amended, (20 U.S.C. §§1070a-21—1070a-28) and the program regulations are located U.S. Code of Federal Regulations, Title 34, Subtitle B, Chapter VI, Part 694. The law can be found here: https://www.govinfo.gov/content/pkg/USCODE-2021-title20/html/USCODE-2021-title20-chap28-subchapIV-partA-subpart2-divsn2.htm and the regulations can be found here: https://www.ecfr.gov/current/title-34/subtitle-B/chapter-VI/part-694.

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4. How many years may an applicant implement a GEAR UP project?
 

GEAR UP has two authorized grant performance periods: six years (72 months) or seven years (84 months). An applicant can only implement a seven-year grant if the project is designed to provide services through the students' first year of attending an institution of higher education (IHE).

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5. Does GEAR UP have standardized objectives?
 

No. GEAR UP does not have standardized objectives. For more information, please consult the "Purpose of Program" section of the GEAR UP NIAs.

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6. What types of GEAR UP projects are allowable?
 

GEAR UP has two types of projects: State and Partnership. State projects generally implement statewide initiatives, such as professional development, parental involvement, and curriculum enrichment, and they support local efforts to achieve the project objectives. Partnership projects are usually more locally concentrated. These two different types of projects each have their own separate competition and program requirements.

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7. What is the GEAR UP match requirement?
 

Applicants are required to match the Federal contribution dollar-for-dollar. Specifically, the non-Federal contribution must equal at least 50 percent of the total project costs. For instance, if an applicant requests a total of $3 million in Federal funds, the matching contribution is an additional $3 million. The applicant is the fiscal agent and is responsible for documenting all matching contributions for the entire grant period. Matching may be provided in cash or in-kind and may be accrued over the full duration of the grant award period. Applicants must make substantial progress towards meeting the matching requirement in each year of the grant (see 20 U.S.C. §1070a — 23(b)). Partnership grants are eligible to request a waiver of part of the matching requirement; State grants are not eligible to waive the matching requirement.

Note: Applicants will be held to the matching commitment proposed in the application for funding, even if the proposed match is higher than the percent required by statute. No points will be awarded for match exceeding the 50 percent level required by statute.

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8. How are applicants required to present Federal and non-Federal expenditures?
 

All applicants must fill out the Project Budget Summary Form in the GEAR UP Application Package. Applicants must also provide a detailed budget narrative for the first year of the grant performance period. The narrative must address Federal expenditures and matching contributions.

In completing the Federal section of the Project Budget Summary Form, the total requested amounts in years two through seven should not exceed the total requested amount in the first year. For example, if an applicant requests $3 million in the first year, they cannot request more than $3 million in each subsequent year. Applicants must keep this in mind if they are planning to implement a feeder pattern cohort because funding will not increase each year an applicant subsequently picks up or adds new grades.

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9. What is an example of a project's single cohort budget allocation for a seven-year grant?
 

An applicant starts with 1,000 7^th graders and allocates $800,000 for the first year (remember, the maximum amount a partnership applicant can request per year is $800 per student). If an applicant follows the single cohort with fidelity, the funding in subsequent years ultimately decreases after students leave the originating school and the number of students decrease. Applicants should estimate the possible student decline based on past data. For example, if a project is implementing a single cohort model that started with 7^th graders, the requested funds when students are 9^th graders in high school should be less.

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10. Are applicants required to have an approved indirect cost rate?
 

Yes. Applicants must have an approved restricted indirect cost rate if indirect costs will be charged to the GEAR UP grant. Under 34 CFR § 694.11, all grant recipients are limited to a maximum restricted indirect cost rate of eight percent of a modified total direct cost or the amount permitted by its negotiated indirect cost rate agreement, whichever is less. Even if an applicant does not have an approved indirect cost rate at the time of application, applicants are allowed to include indirect costs in the proposed budget if they have started the process of acquiring or renewing an indirect cost rate agreement. However, the grantee must submit an indirect cost proposal to its cognizant agency within 90 days after the grant is awarded or it may not continue to charge indirect costs. For more information, see 34 CFR § 75.560.

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11. What are the required services that must be implemented under the GEAR UP program?
 

All applicants must address the required services in the application. Projects should provide comprehensive mentoring, outreach, and supportive services, including a) providing information regarding financial aid for postsecondary education for participating students; b) encouraging student enrollment in rigorous or challenging curricula and coursework, in order to reduce the need for remedial coursework at the postsecondary level; c) increasing the number of participating students who obtain a secondary school diploma and complete applications for, and enroll in, a program of postsecondary education; and d) providing GEAR UP scholarships, if the application is for a State grant. (see 20 U.S.C. § 1070a — 24(a)).

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12. What are the two implementation models under GEAR UP?
 

GEAR UP has two implementation models: cohort model and priority student model. State applicants can implement either model. Partnership applicants can only implement the cohort model.

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13. What is the cohort student model?
 

The cohort model has two approaches: the whole-grade approach and the public housing approach. The whole-grade approach involves all the students in a particular grade level that attend an eligible school, and the public housing approach involves all students in a particular grade level that reside in public housing (as defined in 42 U.S.C. § 1437a(b)(1)).

The cohort parameters are:

Project Services:

• Must provide services to at least one grade level of students (e.g., all 7^th graders); If the project plans to serve 7^th graders, it must offer services to every student in the 7^th grade;
• Begin services no later than 7th grade. Projects can opt to provide services to students in pre-K through 7^th grade in the first year of the project. However, projects cannot provide services to 8^th and 9^th graders in the first year;
• Ensure services are provided through the 12^th grade to students in the participating grade level;
• Ensure services are provided through the student's first year of attendance at an IHE (available with a seven-year grant award);
• After the students complete the last grade level at the originating target school, the project must continue to provide services to the school that a substantial majority of cohort students attend; and
• Provide services to students who have received services under a previous GEAR UP grant award but have not yet completed the 12^th grade.

Originating School:

• The originating school is the target school where the services begin. It must (1) have a 7^th grade class and (2) have at least fifty percent of the students enrolled in the school be eligible for free or reduced-price lunch.

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14. How does a project serve a "substantial majority" of GEAR UP students under the cohort model?
 

Projects must continue to serve the school with the substantial majority of cohort students when the cohort moves on to a new school from the originating school(s). The originating school is the target school where the services begin. When students move on to another school, the substantial majority could be as little as twenty percent of the original cohort. In other instances, the substantial majority could be higher depending on the district's feeder pattern. An example of a substantial majority pattern for a cohort is a project that has 1,000 students in the originating school and those students move on to two high schools - one high school enrolled 700 students from the original cohort and the other high school enrolled 300 - then the GEAR UP project is only required to serve the high school that has 700 of the original students. The grantee is not required to pick up students who were not part of the original cohort after students leave the originating school.

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15. What are some examples of allowable cohort designs?
 

The following table describes some examples of allowable cohort designs:

All GEAR UP projects must provide services through high school graduation or a student's first-year of attendance at an IHE if the project has a performance period of seven years. A project must adhere to this requirement even if services are provided to students that are in grades lower than 7^th grade (for example, a project that starts with 5^th and 6^th graders) in the first year of the project.

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16. Does an applicant implementing a cohort model have to provide evidence that all the target schools have at least 50 percent students eligible for free or reduced-price lunch?
 

Yes. An applicant must provide documentation in the application that shows at least 50 percent of the students attending the originating school(s) qualify for free or reduced-price lunch. The originating school or schools are the location where the project services begin.

The documentation can be a statement from a State Education Agency or a school district's website, a signed letter from the superintendent of schools, or another credible source. Applicants should not simply provide a chart outlining free or reduced-price lunch information.

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17. What is the priority student model?
 

Only State GEAR UP projects may implement the priority student model.

Under the priority student model, States must serve students in secondary school who are eligible to be counted as students from families below the poverty level; for assistance under the Temporary Assistance for Needy Families (TANF) program or under Federal Payments for Foster Care and Adoption Assistance (FPFCAA); for assistance under the McKinney Vento Homeless Assistance Act; and if the applicant considers them to be disconnected.

Applicants have flexibility in selecting disconnected students because the Department does not define or have criteria for disconnected students. Disconnected students may include students who are:

• Eligible for Free or Reduced-Price Lunch
• Limited English proficient
• From groups that are traditionally underrepresented in postsecondary education
• Individuals with disabilities
• Homeless children or youth
• Students in foster care

An applicant should clearly describe which students they will serve under the priority student model.

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18. In responding to the Moderate Evidence Competitive Preference Priority (CPP #3 for Partnerships and CPP #4 for States), what kind of evidence needs to be provided?
 

To address the priority, an applicant may submit up to two study citations that it believes supports the implementation of a GEAR UP authorized activity proposed in the application and that meet the moderate evidence standard.

Applicants can cite What Works Clearinghouse (WWC) intervention reports, WWC practice guides, or individual studies - both those already listed in the Department's WWC Database of Individual Studies and those that have not yet been reviewed by the WWC.

The proposed studies must be cited in the section of the application that addresses the "moderate evidence" competitive preference priority as well as on the Evidence Form. Applicants should also describe (1) the project component(s) from the cited research they intend to implement in their GEAR UP project, (2) the relevant outcome(s) that are included in both the study (or WWC practice guide or intervention report) and in the proposed project, (3) the research findings suggesting a favorable relationship between the project component and the relevant outcome, and (4) how the population and/or settings in the cited research overlap with that of the proposed project. The Department will review the research cited by the applicant to determine if it meets the requirements for moderate evidence, as well as whether it is sufficiently aligned with the project proposed.

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19. What are some ways to avoid common application mistakes?
 

In every GEAR UP competition, applicants make avoidable mistakes that result in their application being rejected. To help reduce the chances that an application will be rejected for an avoidable mistake, please consider the following best practices:

Submit your application in advance of the deadline. Applications that are not fully uploaded and time-stamped by 11:59:59 pm Eastern Time on the application deadline date of May 7, 2024, are considered late and are rejected. Follow the instructions in the Application Package and Common Instructions for Applicants to Department of Education Discretionary Grant Programs, published in the Federal Register on December 7, 2022 (87 FR 75045) and available at https://www.federalregister.gov/d/2022-26554.

Check your ability to submit an application and verify your System for Award Management (SAM) registration before the application deadline date. An applicant needs an Unique Entity Identifier (UEI) number in order to submit an application. If you do not have one, or need to renew one, the process can take weeks. Successful registration in SAM is a prerequisite to being able to register in Grants.gov and submit an application electronically. Please consult the Application Package for more information.

Adequately address the program requirements in the Notice Inviting Applications (NIA).. Applications that fail to adequately address the program requirements are considered incomplete and will be rejected.

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20. What is an eligible entity for the State Grants competition?
 

Each of the fifty States of the United States, the Commonwealth of Puerto Rico, the District of Columbia, Guam, American Samoa, the United States Virgin Islands, the Commonwealth of the Northern Mariana Islands, and the Freely Associated States (see 20 U.S.C. §1003(21)) are eligible entities that may apply for the State grant competition. The Governor, or chief executive of non-states, must designate, in writing, which State agency can apply for and administer the State GEAR UP grant. The letter must be included in the application, on official State letterhead, and be signed by the Governor or chief executive for non-States.

Per Congressional direction in House Report 117-403 2023 (Pub. L. 117-328), States may only administer one active State GEAR UP grant at a time. Therefore, only States without an active State GEAR UP grant, or States that have an active State GEAR UP grant that is scheduled to end prior to October 1, 2024, are eligible to receive a new State GEAR UP award in this competition.

States that have a grant that is scheduled to end prior to October 1, 2024, even if their grant is later extended through a no-cost extension, are eligible to apply.

If a State is an ineligible entity for this competition, its application will be rejected and will not be reviewed or scored by the peer reviewers.

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21. Can State applicants receive Competitive Preference Priority points?
 

Yes. State applicants may earn additional points by responding to up to four competitive preference priorities in the GEAR UP State competition.

In Competitive Preference Priority 1, an applicant applying for a State project can receive up to two points for prior experience. If the applicant was successful in implementing a previous GEAR UP grant prior to August 14, 2008, the applicant can receive one point. In addition, if the applicant has prior, demonstrated commitment to early intervention leading to college access through collaboration and replication of successful strategies, the applicant can receive another point.

In Competitive Preference Priority 2, Increasing Postsecondary Education Access, Affordability, Completion and Post-Enrollment Success, the applicant can receive up to five additional points. In this priority, the applicant must describe how their project is designed to increase postsecondary access, affordability, completion, and success for underserved students by establishing a system of high-quality data collection and analysis, such as data on persistence, retention, completion, and post-college outcomes, for transparency, accountability, and institutional improvement.

In Competitive Preference Priority 3, Meeting Student Social, Emotional, and Academic Needs, the applicant can receive up to five additional points. In this priority, the applicant must describe how their project is designed to improve students' social, emotional, academic and career development, with a focus on underserved students, through creating education or work-based settings that are supportive, positive, identity-safe and inclusive with regard to race, ethnicity, culture, language, and disability status, through developing trusting relationships between students (including underserved students), educators, families, and community partners.

In Competitive Preference Priority 4, Moderate Evidence, the applicant can receive three additional points by demonstrating that their project is supported by evidence that meets the conditions in the definition of "moderate evidence" (as defined in the NIA). See question 18 for further instructions.

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22. What is the maximum funding a State applicant can request per year?
 

The maximum funding an applicant can request per year for a State GEAR UP grant is $5 million, as set in the 2024 NIA (see 34 CFR §694.1 (b)). No funding will be awarded for increases in years two through six or seven.

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23. May a State GEAR UP applicant request a waiver of the GEAR UP match requirement?
 

No. A GEAR UP State applicant is required to meet the match requirement.

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24. What are the permissible services that may be implemented under the GEAR UP States program?
 

Permissible GEAR UP services are outlined in the program regulations, § 694.22:

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

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

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

(c) Providing supportive services to eligible students.

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

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

(1) Meeting challenging State academic standards;

(2) Successfully applying for postsecondary education;

(3) Successfully applying for student financial aid; and

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

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

[Note: part (g) removed from list as it pertains only to Partnership grants].

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

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

(1) Additional academic classes; or

(2) Assistance with college admission applications.

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

(1) Identification of at-risk children.

(2) After-school and summer tutoring.

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

(4) Academic counseling.

(5) Financial and economic literacy education or counseling.

(6) Volunteer and parent involvement.

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

(8) Skills assessments.

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

(10) Staff development.

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

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

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

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

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

[Note: part (o) removed from list as it pertains only to Partnership grants].

In addition, as outlined in § 694.23, a State may use grant funds to carry out one or more of the following services and activities:

(a) Providing technical assistance to—

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

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

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

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

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

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

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

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

(i) Increasing parental involvement; and

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

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

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

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

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25. What implementation model may a State grant implement?
 

A State applicant can implement either a cohort model or a priority student model.

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26. How are State applicants required to allocate Federal funds?
 

State applicants must allocate no less than 25 percent and no more than 50 percent of Federal funds for activities, with the remainder dedicated to providing scholarships to eligible GEAR UP students. An applicant may receive a full or partial exception of the 50 percent scholarship allocation requirement.

An example of the aforementioned allocation is if a State applicant requests a six- or seven-year total budget of $8,000 in Federal funds, an applicant can allocate $4,000 for scholarships and $4,000 for activities—a 50/50 split. An applicant may also use the entire $8,000 for activities, if an applicant is granted an exception of the required scholarship allocation. Lastly, an applicant can allocate $2,000 for activities (25 percent; the minimum allocation of Federal funds for activities) and $6,000 for scholarships if the applicant does not request a scholarship exception.

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27. Are State GEAR UP projects required to provide scholarships?
 

Yes. State applicants are required to provide scholarships to eligible GEAR UP students. State applicants are required to use at least 50 percent of the GEAR UP grant funds to provide scholarships unless granted an exception.

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28. May a GEAR UP State applicant request an exception of the required scholarship allocation of federal GEAR UP funds?
 

Yes. GEAR UP State applicants may request an exception in their application in which the Secretary may allow a State to use more than 50 percent of grant funds received for GEAR UP activities, if the State demonstrates with documentation in their application that the State has another means or multiple means of providing the students with GEAR UP scholarships and describes such means in their application. (See 20 U.S.C. § 1070a — 25(b)(2)).

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29. What must a State applicant demonstrate and describe in its scholarship exception request in their submitted application?
 

In requesting an exception of the required scholarship allocation, a GEAR UP State applicant must demonstrate that they have another means or multiple means of providing scholarships that meet the minimum Pell Grant requirements under 20 U.S.C. 1070a-25(d) to students eligible for a GEAR UP scholarship as defined under 20 U.S.C. 1070a-25(g). States requesting an exception from the requirement that they spend at least 50 percent of their grant dollars on scholarships should provide documentation of those other means, such as:

• a comprehensive list of other sources of aid that reduce or eliminate the need for the grantee to provide GEAR UP scholarships to eligible students out of their federal funding;
• the projected number of students that the grantee expects to receive aid through those sources (e.g. based on past cohorts, if applicable); and
• an estimate of the number of students eligible for a GEAR UP scholarship that are not expected to receive aid through those other sources, if any.

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30. Can a State identify more than one source for funds to cover the scholarship allocation not covered by federal GEAR UP funds?
 

Yes, the State should identify in its exception request all of the sources of aid that will be covering the scholarships not covered by federal GEAR UP funds.

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31. What is an eligible entity for the Partnership Grants competition?
 

A Partnership must consist of (1) one or more local educational agencies (LEA) and (2) one or more degree-granting institutions of higher education (IHE) (see 20 USC §1070a — 21(c)(2)).

Partnerships may also include not less than two other community organizations or entities, such as businesses, professional organizations, State agencies, or other public or private agencies or organizations.

The statutory language of 20 USC §1070a — 21(c)(2) makes the inclusion of community organizations or entities optional; however, if an applicant decides to include community organizations or entities in its eligible Partnership, it must include at least two. The chart below describes this eligibility:

If a Partnership is an ineligible entity for this competition, their application will be rejected and will not be reviewed or scored by the peer reviewers. Applicants are sometimes deemed ineligible because they do not have the correct amount or type of partners.

Note: A Partnership under this competition must follow the procedures under 34 CFR 75.127 — 75.129 in developing a group application. This includes developing an agreement that details the activities that each member of the group plans to perform and binds each member of the group to every statement and assurance made by the applicant in the application. This agreement must be submitted with the application.

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32. Can an applicant apply for and administer more than one Partnership GEAR UP grant?
 

Yes. A Partnership can apply for and administer more than one GEAR UP grant, as long as each application does not propose to serve the same students or provide duplicative services.

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33. Can Partnership applicants receive Competitive Preference Priority points?
 

Yes. Partnership applicants may earn additional points by responding to up to three competitive preference priorities in the GEAR UP Partnership competition.

In Competitive Preference Priority 1, Increasing Postsecondary Education Access, Affordability, Completion and Post-Enrollment Success, the applicant can receive up to five additional points. In this priority, the applicant must describe how their project is designed to increase postsecondary access, affordability, completion, and success for underserved students by establishing a system of high-quality data collection and analysis, such as data on persistence, retention, completion, and post-college outcomes, for transparency, accountability, and institutional improvement.

In Competitive Preference Priority 2, Meeting Student Social, Emotional, and Academic Needs, the applicant can receive up to five additional points. In this priority, the applicant must describe how their project is designed to improve students' social, emotional, academic and career development, with a focus on underserved students, through creating education or work-based settings that are supportive, positive, identity-safe and inclusive with regard to race, ethnicity, culture, language, and disability status, through developing trusting relationships between students (including underserved students), educators, families, and community partners.

In Competitive Preference Priority 3, Moderate Evidence, the applicant can receive three additional points by demonstrating that their project is supported by evidence that meets the conditions in the definition of "moderate evidence" (as defined in the NIA). See question 18 for further instructions.

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34. What is the maximum funding a Partnership applicant can request per year?
 

The maximum funding an applicant can request per year for a Partnership grant is $800 multiplied by the number of students the Partnership proposes to serve that year (see 34 CFR §694.1(a)). If an applicant expects to serve fewer students in future years, it should adjust the amount requested accordingly. No funding will be awarded for increases in years two through six or seven.

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35. What are the permissible services that may be implemented under the GEAR UP Partnership program?
 

Permissible GEAR UP services are outlined in the program regulations, § 694.22:

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

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

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

(c) Providing supportive services to eligible students.

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

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

(1) Meeting challenging State academic standards;

(2) Successfully applying for postsecondary education;

(3) Successfully applying for student financial aid; and

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

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

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

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

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

(1) Additional academic classes; or

(2) Assistance with college admission applications.

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

(1) Identification of at-risk children.

(2) After-school and summer tutoring.

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

(4) Academic counseling.

(5) Financial and economic literacy education or counseling.

(6) Volunteer and parent involvement.

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

(8) Skills assessments.

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

(10) Staff development.

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

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

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

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

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

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

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36. May a Partnership applicant request a waiver of the GEAR UP match requirement?
 

Yes. Partnership applicants may choose to request among the following waivers in their application:

1. Waive up to 75 percent of the match requirement for up to 2 years (natural disaster or similar)
2. Waive up to 50 percent of the match requirement for up to 2 years (demonstrates a pre-existing and an on-going significant economic hardship)
3. Tentative approval of up to 50 percent waiver, after approval of the 50 percent waiver in option (b), for all remaining years of the project period (requires recertification every two years)
4. Matching funds used for GEAR UP scholarships count as double match for the duration of the project period
5. Waive up to 70 percent of the total match requirement for the duration of the project period if the project (1) has less than four IHEs, (2) the fiscal agent be an LEA or certain type of IHE, (3) participating schools have a 7^th grade cohort in which 75 percent of students qualify for free or reduced-price lunch, and (4) the participating school district(s) have at least 50 percent of students qualify for free or reduced-price lunch

The chart below summarizes each application waiver option:

In general, applicants should provide detailed and comprehensive evidence and documentation to support their match waiver requests. Match waiver requests lacking sufficient justification may not be granted at all or may be granted for amounts smaller or for a shorter time period than requested.

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37. What implementation model may a Partnership grant implement?
 

A Partnership project may only implement a cohort model.

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38. May GEAR UP Partnership projects provide scholarships?
 

Yes.

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39. If a Partnership project chooses to offer a scholarship component, do they need to follow the requirement that 50 percent of grant funds be allocated to scholarships?
 

No.

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40. What is the size of the scholarship a project is required to provide to each eligible participant?
 

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

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41. When must projects inform GEAR UP participants of their eligibility for a GEAR UP scholarship?
 

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

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42. What are the eligibility requirements for students to receive scholarships?
 

GEAR UP students are eligible to receive scholarships if they:

1. have participated in a GEAR UP project;
2. are under 22 years of age;
3. possess a high school diploma or equivalent; and
4. are enrolled or accepted for enrollment at a program of undergraduate instruction an IHE that is located in the State's boundaries, except that, at the grantee's option, a State grantee may offer scholarships to students who attend institutions of higher education outside the State.

See 20 U.S.C. § 1070a-25(g)(3); 34 CFR § 694.14.

Applicants cannot add other eligibility criteria or requirements for eligible GEAR UP students to receive GEAR UP scholarships.

A student may also receive a scholarship if the student transfers from the originating school and graduates from a high school that does not serve a "substantial majority" of GEAR UP students. In addition, projects have the option of providing scholarships to students that attend IHEs that are outside of their State.

Scholarship funds must be held in reserve with at least an amount equal to the minimum scholarship amount multiplied by the estimated number of eligible students. Staff at the Department of Education will provide technical assistance on the types of data States can utilize as they develop their budgets. However, State projects using a priority model may award scholarships directly rather than holding funds in reserve, as applicable.

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43. How must projects hold their scholarship funds in reserve?
 

Scholarship funds must be held in reserve with at least an amount equal to the minimum scholarship amount multiplied by the estimated number of eligible students. Staff at the Department of Education will provide technical assistance on the types of data States can utilize as they develop their budgets. However, State projects using a priority student model may award scholarships directly rather than holding funds in reserve, as applicable.

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44. How is "participated" defined for purposes of eligibility for the scholarship?
 

A. GEAR UP students who meet the eligibility requirements in Section 404E(g), including the requirement to "have participated in a GEAR Up project," must receive a scholarship. To "have participated in a GEAR UP project," the student must follow the statutory requirement that they participate in required activities which include "comprehensive mentoring, outreach, and supportive services." The statute provides examples of those activities such as (1) providing information regarding financial aid for postsecondary education; (2) encouraging student enrollment in rigorous and challenging curricula and coursework, in order to reduce the need for remedial coursework at the postsecondary level; and (3) improving the number of participating students who obtain a secondary school diploma and complete applications for and enroll in a program of postsecondary education.

GEAR UP grantees should establish a reasonable definition of participated for purposes of scholarship eligibility and should communicate that requirement to students when they enter the GEAR UP program.

For purposes of estimating scholarship reserves and required funding, the Department will apply a rebuttable presumption that a grantee's definition of "participated" that requires a student to be part of the same GEAR UP program for at least 50 percent of the program's duration or for the student's entire senior year of high school is consistent with the statute and regulations. (For example, in a six-year cohort model, a definition requiring the student to be a part of the program for at least 36 months, or their entire senior year of high school, would meet this presumption.) The Department believes that, given the activities required in the statute to be considered a participant for purposes of scholarship eligibility, this level of participation would generally help to make sure that students participate for enough time to benefit from them.

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45. Can a grantee maintain scholarship funds in an interest-bearing account and not remit interest earned in excess of $500 back to the federal government?
 

Yes. Because any interest earned in a GEAR UP scholarship fund is considered "program income" under the Uniform Guidance, interest accumulated in excess of $500 per year does not need to be returned to the federal government as normally required by 2 CFR 200.305(b)(9) and can, instead, be used as described in Question 46, below.

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46. Can a grantee use the earned interest in a GEAR UP scholarship fund for the reasonable and necessary costs of maintaining the fund?
 

Yes. Interest earned can be used for the reasonable and necessary costs of maintaining the fund consistent with a grantee's approved application and budget. For example, this could include supplementing the existing amount of scholarship funds for GEAR UP students or paying for a part-time administrator for the fund.

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47. What type of interest-generating investments are allowable for a GEAR UP scholarship fund?
 

A grantee should pursue an investment strategy that is consistent with accomplishing the GEAR UP program's requirement to provide scholarships to GEAR UP students. A grantee that is unable to award the full amount of scholarships intended because, for instance, the grantee pursued a risky investment strategy that led to a loss of scholarship funds, may find itself subject to an audit finding that questions costs and a recovery action initiated by the Department.

As such, a risky investment strategy is not necessary and reasonable to successfully carrying out the scholarship component of the GEAR UP program.

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48. Can a grantee use a portion of scholarship funds originally reserved for students for the reasonable and necessary costs of maintaining the GEAR UP scholarship fund?
 

No, because the specific statutory use of these funds is limited to only providing scholarships for GEAR UP. That is, under 20 USC § 1070a — 24(a)(4), grantees must "provide the scholarships" required by the GEAR UP program through the fund created by 20 USC § 1070a — 25.

Grantees or applicants that want, for example, to include a part-time administrator for the fund upfront should identify that administrator as part of the overall project personnel and include the cost separately from the amount of funds to be contributed to the GEAR UP scholarship fund.

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49. When must a grantee return any remaining scholarship funds?
 

Any federal scholarship funds that are not used by eligible students within six years of the students' scheduled completion of secondary school and are not redistributed by the grantee to other eligible students that participated in the GEAR UP program, must be returned to the Department within 45 days after the six-year period for expending the scholarship funds expires under 34 CFR § 694.16(b).

The Department strongly recommends that GEAR UP grantees redistribute any excess or leftover scholarship funds to other eligible GEAR UP students rather than returning those funds to the Department as described in Question 50, below. In the rare circumstances where a return of funds is necessary, the Department urges GEAR UP grantees to contact their GEAR UP program specialist regarding the specific instructions to return grant funds to the Department.

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50. May the scholarship funds for eligible students who have "aged out" due to the six-year requirement be reallocated to other eligible GEAR UP students, even if those students are participating under a different GEAR UP grant?
 

Yes. The GEAR UP program statute and implementing regulations (20 USC § 1070a- 25(e)(4)(A)(i) and 34 CFR § 694.16(a)) allow for the redistribution of any remaining scholarship funds to other eligible GEAR UP students. Those GEAR UP students do not need to be in the same GEAR UP cohort or even grant; rather, those students simply need to meet the definition of GEAR UP student (20 USC § 1070a-25(g) and 34 CFR § 694.14(b)) and to not have "aged out" of the program due to the six-year requirement.

The Department strongly recommends that GEAR UP grantees redistribute any excess or leftover scholarship funds to other eligible GEAR UP students rather than returning those funds to the Department. Grantees that have attempted to redistribute, but still have scholarship funds remaining, must return those funds as described in Question 49, above.

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51. Is a scholarship fund subject to auditing and monitoring by the Department?
 

Yes. A scholarship fund is subject to audit or monitoring by authorized representatives of the Department throughout the life of the fund under 34 CFR § 694.16(d).

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