 
      CHAPTER 28--HIGHER EDUCATION RESOURCES AND STUDENT ASSISTANCE
 
                    SUBCHAPTER IV--STUDENT ASSISTANCE
 
   Part A--Grants to Students in Attendance at Institutions of Higher 
                                Education
 
     subpart 2--federal early outreach and student services programs
 
                    Division 1--Federal TRIO Programs
 
Sec. 1070a-11. Program authority; authorization of 
        appropriations
        

(a) Grants and contracts authorized

    The Secretary shall, in accordance with the provisions of this 
division, carry out a program of making grants and contracts designed to 
identify qualified individuals from disadvantaged backgrounds, to 
prepare them for a program of postsecondary education, to provide 
support services for such students who are pursuing programs of 
postsecondary education, to motivate and prepare students for doctoral 
programs, and to train individuals serving or preparing for service in 
programs and projects so designed.

(b) Recipients, duration, and size

                           (1) Recipients

        For the purposes described in subsection (a) of this section, 
    the Secretary is authorized, without regard to section 5 of title 
    41, to make grants to, and contracts with, institutions of higher 
    education, public and private agencies and organizations, 
    combinations of such institutions, agencies and organizations, and 
    in exceptional circumstances, secondary schools, for planning, 
    developing, or carrying out one or more of the services assisted 
    under this division.

                            (2) Duration

        Grants or contracts made under this division shall be awarded 
    for a period of 4 years, except that--
            (A) the Secretary shall award such grants or contracts for 5 
        years to applicants whose peer review scores were in the highest 
        10 percent of scores of all applicants receiving grants or 
        contracts in each program competition for the same award year;
            (B) grants made under section 1070a-17 of this title shall 
        be awarded for a period of 2 years; and
            (C) grants under section 1070a-18 of this title shall be 
        awarded for a period determined by the Secretary.

                         (3) Minimum grants

        Unless the institution or agency requests a smaller amount, 
    individual grants under this division shall be no less than--
            (A) $170,000 for programs authorized by sections 1070a-14 
        and 1070a-17 of this title;
            (B) $180,000 for programs authorized by sections 1070a-12 
        and 1070a-16 of this title; and
            (C) $190,000 for programs authorized by sections 1070a-13 
        and 1070a-15 of this title.

(c) Procedures for awarding grants and contracts

                    (1) Application requirements

        An eligible entity that desires to receive a grant or contract 
    under this division shall submit an application to the Secretary in 
    such manner and form, and containing such information and 
    assurances, as the Secretary may reasonably require.

                        (2) Prior experience

        In making grants under this division, the Secretary shall 
    consider each applicant's prior experience of service delivery under 
    the particular program for which funds are sought. The level of 
    consideration given the factor of prior experience shall not vary 
    from the level of consideration given such factor during fiscal 
    years 1994 through 1997, except that grants made under section 
    1070a-18 of this title shall not be given prior experience 
    consideration.

                 (3) Order of awards; program fraud

        (A) Except with respect to grants made under sections 1070a-17 
    and 1070a-18 of this title and as provided in subparagraph (B), the 
    Secretary shall award grants and contracts under this division in 
    the order of the scores received by the application for such grant 
    or contract in the peer review process required under paragraph (4) 
    and adjusted for prior experience in accordance with paragraph (2) 
    of this subsection.
        (B) The Secretary is not required to provide assistance to a 
    program otherwise eligible for assistance under this division, if 
    the Secretary has determined that such program has involved the 
    fraudulent use of funds under this division.

                       (4) Peer review process

        (A) The Secretary shall ensure that, to the extent practicable, 
    members of groups underrepresented in higher education, including 
    African Americans, Hispanics, Native Americans, Alaska Natives, 
    Asian Americans, and Native American Pacific Islanders (including 
    Native Hawaiians), are represented as readers of applications 
    submitted under this division. The Secretary shall also ensure that 
    persons from urban and rural backgrounds are represented as readers.
        (B) The Secretary shall ensure that each application submitted 
    under this division is read by at least three readers who are not 
    employees of the Federal Government (other than as readers of 
    applications).

         (5) Number of applications for grants and contracts

        The Secretary shall not limit the number of applications 
    submitted by an entity under any program authorized under this 
    division if the additional applications describe programs serving 
    different populations or campuses.

       (6) Coordination with other programs for disadvantaged 
                                  students

        The Secretary shall encourage coordination of programs assisted 
    under this division with other programs for disadvantaged students 
    operated by the sponsoring institution or agency, regardless of the 
    funding source of such programs. The Secretary shall not limit an 
    entity's eligibility to receive funds under this division because 
    such entity sponsors a program similar to the program to be assisted 
    under this division, regardless of the funding source of such 
    program. The Secretary shall permit the Director of a program 
    receiving funds under this division to administer one or more 
    additional programs for disadvantaged students operated by the 
    sponsoring institution or agency, regardless of the funding sources 
    of such programs.

                       (7) Application status

        The Secretary shall inform each entity operating programs under 
    this division regarding the status of their application for 
    continued funding at least 8 months prior to the expiration of the 
    grant or contract. The Secretary, in the case of an entity that is 
    continuing to operate a successful program under this division, 
    shall ensure that the start-up date for a new grant or contract for 
    such program immediately follows the termination of the preceding 
    grant or contract so that no interruption of funding occurs for such 
    successful reapplicants. The Secretary shall inform each entity 
    requesting assistance under this division for a new program 
    regarding the status of their application at least 8 months prior to 
    the proposed startup date of such program.

(d) Outreach

                           (1) In general

        The Secretary shall conduct outreach activities to ensure that 
    entities eligible for assistance under this division submit 
    applications proposing programs that serve geographic areas and 
    eligible populations which have been underserved by the programs 
    assisted under this division.

                             (2) Notice

        In carrying out the provisions of paragraph (1), the Secretary 
    shall notify the entities described in subsection (b) of this 
    section of the availability of assistance under this subsection not 
    less than 120 days prior to the deadline for submission of 
    applications under this division and shall consult national, State, 
    and regional organizations about candidates for notification.

                      (3) Technical assistance

        The Secretary shall provide technical training to applicants for 
    projects and programs authorized under this division. The Secretary 
    shall give priority to serving programs and projects that serve 
    geographic areas and eligible populations which have been 
    underserved by the programs assisted under this division. Technical 
    training activities shall include the provision of information on 
    authorizing legislation, goals and objectives of the program, 
    required activities, eligibility requirements, the application 
    process and application deadlines, and assistance in the development 
    of program proposals and the completion of program applications. 
    Such training shall be furnished at conferences, seminars, and 
    workshops to be conducted at not less than 10 sites throughout the 
    United States to ensure that all areas of the United States with 
    large concentrations of eligible participants are served.

                          (4) Special rule

        The Secretary may contract with eligible entities to conduct the 
    outreach activities described in this subsection.

(e) Documentation of status as a low-income individual

    (1) Except in the case of an independent student, as defined in 
section 1087vv(d) of this title, documentation of an individual's status 
pursuant to subsection (g)(2) of this section shall be made by providing 
the Secretary with--
        (A) a signed statement from the individual's parent or legal 
    guardian;
        (B) verification from another governmental source;
        (C) a signed financial aid application; or
        (D) a signed United States or Puerto Rico income tax return.

    (2) In the case of an independent student, as defined in section 
1087vv(d) of this title, documentation of an individual's status 
pursuant to subsection (g)(2) of this section shall be made by providing 
the Secretary with--
        (A) a signed statement from the individual;
        (B) verification from another governmental source;
        (C) a signed financial aid application; or
        (D) a signed United States or Puerto Rico income tax return.

(f) Authorization of appropriations

    For the purpose of making grants and contracts under this division, 
there are authorized to be appropriated $700,000,000 for fiscal year 
1999, and such sums as may be necessary for each of the 4 succeeding 
fiscal years. Of the amount appropriated under this division, the 
Secretary may use no more than \1/2\ of 1 percent of such amount to 
obtain additional qualified readers and additional staff to review 
applications, to increase the level of oversight monitoring, to support 
impact studies, program assessments and reviews, and to provide 
technical assistance to potential applicants and current grantees. In 
expending these funds, the Secretary shall give priority to the 
additional administrative requirements provided in the Higher Education 
Amendments of 1992, to outreach activities, and to obtaining additional 
readers. The Secretary shall report to Congress by October 1, 1994, on 
the use of these funds.

(g) Definitions

    For the purpose of this division:

                (1) First generation college student

        The term ``first generation college student'' means--
            (A) an individual both of whose parents did not complete a 
        baccalaureate degree; or
            (B) in the case of any individual who regularly resided with 
        and received support from only one parent, an individual whose 
        only such parent did not complete a baccalaureate degree.

                      (2) Low-income individual

        The term ``low-income individual'' means an individual from a 
    family whose taxable income for the preceding year did not exceed 
    150 percent of an amount equal to the poverty level determined by 
    using criteria of poverty established by the Bureau of the Census.

                       (3) Veteran eligibility

        No veteran shall be deemed ineligible to participate in any 
    program under this division by reason of such individual's age who--
            (A) served on active duty for a period of more than 180 
        days, any part of which occurred after January 31, 1955, and was 
        discharged or released therefrom under conditions other than 
        dishonorable; or
            (B) served on active duty after January 31, 1955, and was 
        discharged or released therefrom because of a service connected 
        disability.

                             (4) Waiver

        The Secretary may waive the service requirements in subparagraph 
    (A) or (B) of paragraph (3) if the Secretary determines the 
    application of the service requirements to a veteran will defeat the 
    purpose of a program under this division.

(Pub. L. 89-329, title IV, Sec. 402A, as added Pub. L. 102-325, title 
IV, Sec. 402(a)(4), July 23, 1992, 106 Stat. 482; amended Pub. L. 103-
208, Sec. 2(b)(6)-(9), Dec. 20, 1993, 107 Stat. 2458; Pub. L. 105-244, 
title I, Sec. 102(b)(1), title IV, Sec. 402(a), Oct. 7, 1998, 112 Stat. 
1622, 1652.)

                       References in Text

    The Higher Education Amendments of 1992, referred to in subsec. (f), 
is Pub. L. 102-325, July 23, 1992, 106 Stat. 448. For complete 
classification of this Act to the Code, see Short Title of 1992 
Amendment note set out under section 1001 of this title and Tables.


References to Subpart 2, 3, or 4 of This Part Deemed To Refer to Subpart 
                         3, 4, or 2 of This Part

    Section 402(b) of Pub. L. 102-325 provided that: ``Reference in any 
provision of law (other than the Act [20 U.S.C. 1001 et seq.]) to 
subpart 2, 3, or 4 of part A of title IV of the Act shall, after the 
date of enactment of this Act [July 23, 1992], be deemed to refer to 
subpart 3 [20 U.S.C. 1070b et seq.], 4 [20 U.S.C. 1070c et seq.], or 2 
[20 U.S.C. 1070a-11 et seq.] of such part, respectively.''


                               Amendments

    1998--Subsec. (b)(2)(C). Pub. L. 105-244, Sec. 402(a)(1), added 
subpar. (C).
    Subsec. (b)(3). Pub. L. 105-244, Sec. 402(a)(2), amended heading and 
text of par. (3) generally. Prior to amendment, text read as follows: 
``In any year in which the appropriations authorized under this division 
exceed the prior year appropriation as adjusted for inflation, the 
Secretary shall use 80 percent of the amount appropriated above the 
current services level to bring each award up to the minimum grant level 
or the amount requested by the institution or agency, whichever is less. 
The minimum grant level (A) for programs authorized under section 1070a-
14 or 1070a-17 of this title, shall not be less than $170,000 for fiscal 
year 1993; (B) for programs authorized under section 1070a-12 or 1070a-
16 of this title shall not be less than $180,000 for fiscal year 1994; 
and (C) for programs authorized under section 1070a-13 or 1070a-15 of 
this title shall not be less than $190,000 for fiscal year 1995.''
    Subsec. (c). Pub. L. 105-244, Sec. 402(a)(3), amended subsec. (c) 
generally, revising and restating former pars. (1) to (6), relating to 
procedures for awarding grants and contracts, as pars. (1) to (7).
    Subsec. (c)(2). Pub. L. 105-244, Sec. 102(b)(1), substituted 
``section 1011g'' for ``section 1145d-1''.
    Subsec. (f). Pub. L. 105-244, Sec. 402(a)(4), substituted 
``$700,000,000 for fiscal year 1999'' for ``$650,000,000 for fiscal year 
1993''.
    Subsec. (g)(4). Pub. L. 105-244, Sec. 402(a)(5), added par. (4).
    1993--Subsec. (b)(2). Pub. L. 103-208, Sec. 2(b)(6), added par. (2) 
and struck out former par. (2) which read as follows: ``Grants or 
contracts made under this division shall be awarded for a period of 4 
years, except that the Secretary shall award such grants or contracts 
for 5 years to applicants whose peer review scores were in the highest 
10 percent of scores of all applicants receiving grants or contracts in 
each program competition for the same award year.''
    Subsec. (c)(1). Pub. L. 103-208, Sec. 2(b)(7), inserted before 
period at end of second sentence ``, except that in the case of the 
programs authorized in sections 1070a-15 and 1070a-17 of this title, the 
level of consideration given to prior experience shall be the same as 
the level of consideration given this factor in the other programs 
authorized in this division''.
    Subsec. (c)(2)(A). Pub. L. 103-208, Sec. 2(b)(8), inserted ``with 
respect to grants made under section 1070a-17 of this title, and'' after 
``Except''.
    Subsec. (e). Pub. L. 103-208, Sec. 2(b)(9), amended subsec. (e) 
generally. Prior to amendment, subsec. (e) read as follows: 
``Documentation of an individual's status pursuant to subsection (g)(2) 
of this section shall be made--
        ``(1) in the case of an individual who is eighteen years of age 
    or younger or a dependent student by providing the Secretary with a 
    signed statement from the parent or legal guardian, verification 
    from another governmental source, a signed financial aid 
    application, or a signed United States or Puerto Rican income tax 
    return; and
        ``(2) in the case of an individual who is age 18 or older or who 
    is an independent student, by providing the Secretary with a signed 
    statement from the individual, verification from another 
    governmental source, a signed financial aid form, or a signed United 
    States or Puerto Rican income tax return.''


                    Effective Date of 1998 Amendment

    Amendment by Pub. L. 105-244 effective Oct. 1, 1998, except as 
otherwise provided in Pub. L. 105-244, see section 3 of Pub. L. 105-244, 
set out as a note under section 1001 of this title.


                    Effective Date of 1993 Amendment

    Amendment by section 2(b)(6), (8), (9) of Pub. L. 103-208 effective 
as if included in the Higher Education Amendments of 1992, Pub. L. 102-
325, except as otherwise provided, and amendment by section 2(b)(7) of 
Pub. L. 103-208 effective on and after Dec. 20, 1993, see section 5(a), 
(b)(2) of Pub. L. 103-208 set out as a note under section 1051 of this 
title.


                 Advanced Placement Fee Payment Program

    Pub. L. 105-244, title VIII, Sec. 810, Oct. 7, 1998, 112 Stat. 1808, 
provided that:
    ``(a) Program Established.--The Secretary of Education is authorized 
to make grants to States having applications approved under subsection 
(c) to enable the States to reimburse low-income individuals to cover 
part or all of the cost of advanced placement test fees, if the low-
income individuals--
        ``(1) are enrolled in an advanced placement class; and
        ``(2) plan to take an advanced placement test.
    ``(b) Information Dissemination.--The State educational agency shall 
disseminate information regarding the availability of test fee payments 
under this section to eligible individuals through secondary school 
teachers and guidance counselors.
    ``(c) Requirements for Approval of Applications.--In approving 
applications for grants the Secretary of Education shall--
        ``(1) require that each such application contain a description 
    of the advanced placement test fees the State will pay on behalf of 
    individual students;
        ``(2) require an assurance that any funds received under this 
    section, other than funds used in accordance with subsection (d), 
    shall be used only to pay advanced placement test fees;
        ``(3) contain such information as the Secretary may require to 
    demonstrate that the State will ensure that a student is eligible 
    for payments under this section, including the documentation 
    required by chapter 1 of subpart 2 of part A of title IV of the 
    Higher Education Act of 1965 (20 U.S.C. 1070a-11 et seq.); and
        ``(4) consider the number of children eligible to be counted 
    under section 1124(c) of the Elementary and Secondary Education Act 
    of 1965 [20 U.S.C. 6333(c)] in the State in relation to the number 
    of such children in all the States in determining grant award 
    amounts.
    ``(d) Funding Rules.--
        ``(1) Use of funds.--A State educational agency in a State in 
    which no eligible low-income individual is required to pay more than 
    a nominal fee to take advanced placement tests in core subjects may 
    use any grant funds provided to that State educational agency, that 
    remain after fees have been paid on behalf of all eligible low-
    income individuals, for activities directly related to increasing--
            ``(A) the enrollment of low-income individuals in advanced 
        placement courses;
            ``(B) the participation of low-income individuals in 
        advanced placement tests; and
            ``(C) the availability of advanced placement courses in 
        schools serving high poverty areas.
        ``(2) Supplement, not supplant, rule.--Funds provided under this 
    section shall supplement and not supplant other non-Federal funds 
    that are available to assist low-income individuals in paying 
    advanced placement test fees.
    ``(e) Regulations.--The Secretary of Education shall prescribe such 
regulations as are necessary to carry out this section.
    ``(f) Report.--Each State annually shall report to the Secretary of 
Education regarding--
        ``(1) the number of low-income individuals in the State who 
    receive assistance under this section; and
        ``(2) the activities described in subsection (d)(1), if 
    applicable.
    ``(g) Definition.--In this section:
        ``(1) Advanced placement test.--The term `advanced placement 
    test' includes only an advanced placement test approved by the 
    Secretary of Education for the purposes of this section.
        ``(2) Low-income individual.--The term `low-income individual' 
    has the meaning given the term in section 402A(g)(2) of the Higher 
    Education Act of 1965 (20 U.S.C. 1070a-11(g)(2)).
    ``(h) Authorization of Appropriations.--There are authorized to be 
appropriated $6,800,000 for fiscal year 1999 and such sums as may be 
necessary for each of the 4 succeeding fiscal years to carry out this 
section.''
    Similar provisions were contained in the following prior act:
    Pub. L. 102-325, title XV, Sec. 1545, July 23, 1992, 106 Stat. 837.

                  Section Referred to in Other Sections

    This section is referred to in sections 1070a-15, 1070d-2 of this 
title.
