CODE OF FEDERAL REGULATIONS 34Part 400 to End Revised as of July 1, 2000 Education Containing a Codification of documentsof general applicability and future effect As of July 1, 2000 With Ancillaries

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 Table of Contents Page Explanation v Title 34: Chapter IV—Office of Vocational and Adult Education, Department of Education 3 Chapter V—Office of Bilingual Education and Minority Languages Affairs, Department of Education 159 Chapter VI—Office of Postsecondary Education, Department of Education 169 Chapter VII—Office of Educational Research and Improvement, Department of Education 901 Chapter XI—National Institute for Literacy 917 Chapter XII—National Council on Disability 925 Findings Aids: Material Approved for Incorporation by Reference 937 Table of CFR Titles and Chapters 939 Alphabetical List of Agencies Appearing in the CFR 957 Redesignation Table 967 List of CFR Sections Affected 969

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 Raymond A. Mosley, Director, Office of the Federal Register. July 1, 2000. THIS TITLE

Title 34—Education is presently composed of three volumes (parts 1 to 299, parts 300 to 399, and part 400 to End). The contents of these volumes represent all regulations codified under this title of the CFR as of July 1, 2000.

A redesignation table appears in the Finding Aids section of the last volume.

For this volume, Shelley C. Featherson was Chief Editor. The Code of Federal Regulations publication program is under the direction of Frances D. McDonald, assisted by Alomha S. Morris.

CFRORDR.FRM <LRH>34 CFR Ch. IV (7-1-00 Edition)</LRH> <RRH>Off. of Voc. and Adult Education, Education</RRH> <CFRTITLE> <TITLEHD> <PRTPAGE P="1"/> <HD SOURCE="HED">Title 34—Education</HD> <P>(This book contains part 400 to End)</P> </TITLEHD> <CFRTOC> <PTHD>Part</PTHD> <CHAPTI> <SUBJECT> <E T="04">Chapter IV—</E> Office of Vocational and Adult Education, Department of Education</SUBJECT> <PG>400</PG> </CHAPTI> <CHAPTI> <SUBJECT> <E T="04">Chapter V—</E> Office of Bilingual Education and Minority Languages Affairs, Department of Education</SUBJECT> <PG>535</PG> </CHAPTI> <CHAPTI> <SUBJECT> <E T="04">Chapter VI—</E> Office of Postsecondary Education, Department of Education</SUBJECT> <PG>600</PG> </CHAPTI> <CHAPTI> <SUBJECT> <E T="04">Chapter VII—</E> Office of Educational Research and Improvement, Department of Education</SUBJECT> <PG>700</PG> </CHAPTI> <CHAPTI> <SUBJECT> <E T="04">Chapter XI—</E> National Institute for Literacy</SUBJECT> <PG>1100</PG> </CHAPTI> <CHAPTI> <SUBJECT> <E T="04">Chapter XII—</E> National Council on Disability</SUBJECT> <PG>1200</PG> </CHAPTI> </CFRTOC> </CFRTITLE> <CHAPTER> <TOC> <TOCHD> <PRTPAGE P="3"/> <HD SOURCE="HED">CHAPTER IV—OFFICE OF VOCATIONAL AND ADULT EDUCATION, DEPARTMENT OF EDUCATION</HD> </TOCHD> <PTHD>Part</PTHD> <PGHD>Page</PGHD> <CHAPTI> <PT>400</PT> <SUBJECT>Vocational and applied technology education programs—general provisions</SUBJECT> <PG>5</PG> <PT>401</PT> <SUBJECT>Indian vocational education program</SUBJECT> <PG>15</PG> <PT>402</PT> <SUBJECT>Native Hawaiian vocational education program</SUBJECT> <PG>20</PG> <PT>403</PT> <SUBJECT>State vocational and applied technology education program</SUBJECT> <PG>23</PG> <PT>406</PT> <SUBJECT>State-administered tech-prep education program</SUBJECT> <PG>68</PG> <PT>410</PT> <SUBJECT>Tribally controlled postsecondary vocational institutions program</SUBJECT> <PG>72</PG> <PT>411</PT> <SUBJECT>Vocational education research program</SUBJECT> <PG>77</PG> <PT>412</PT> <SUBJECT>National network for curriculum coordination in vocational and technical education</SUBJECT> <PG>81</PG> <PT>413</PT> <SUBJECT>National center or centers for research in vocational education</SUBJECT> <PG>84</PG> <PT>415</PT> <SUBJECT>Demonstration centers for the training of dislocated workers program</SUBJECT> <PG>89</PG> <PT>421</PT> <SUBJECT>Business and education standards program</SUBJECT> <PG>93</PG> <PT>425</PT> <SUBJECT>Demonstration projects for the integration of vocational and academic learning program</SUBJECT> <PG>95</PG> <PT>426</PT> <SUBJECT>Cooperative demonstration program</SUBJECT> <PG>99</PG> <PT>427</PT> <SUBJECT>Bilingual vocational training program</SUBJECT> <PG>106</PG> <PT>428</PT> <SUBJECT>Bilingual vocational instructor training program</SUBJECT> <PG>111</PG> <PT>429</PT> <SUBJECT>Bilingual vocational materials, methods, and techniques program</SUBJECT> <PG>114</PG> <PT>460</PT> <SUBJECT>Adult education—general provisions</SUBJECT> <PG>117</PG> <PT>461</PT> <SUBJECT>Adult education State-administered basic grant program</SUBJECT> <PG>119</PG> <PT>464</PT> <SUBJECT>State literacy resource centers program</SUBJECT> <PG>134</PG> <PT>472</PT> <SUBJECT>National workplace literacy program</SUBJECT> <PG>137</PG> <PT>477</PT> <SUBJECT>State program analysis assistance and policy studies program</SUBJECT> <PG>144</PG> <PT>489</PT> <SUBJECT>Functional literacy for State and local prisoners program</SUBJECT> <PG>147<PRTPAGE P="4"/> </PG> <PT>490</PT> <SUBJECT>Life skills for State and local prisoners program</SUBJECT> <PG>151</PG> <PT>491</PT> <SUBJECT>Adult education for the homeless program</SUBJECT> <PG>154</PG> </CHAPTI> </TOC> <LRH>34 CFR Ch. IV (7-1-00 Edition)</LRH> <RRH>Off. of Voc. and Adult Education, Education</RRH> <PART> <PRTPAGE P="5"/> <EAR>Pt. 400</EAR> <HD SOURCE="HED">PART 400—VOCATIONAL AND APPLIED TECHNOLOGY EDUCATION PROGRAMS—GENERAL PROVISIONS</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>400.1</SECTNO> <SUBJECT>What is the purpose of the Vocational and Applied Technology Education Programs?</SUBJECT> <SECTNO>400.2</SECTNO> <SUBJECT>What programs are governed by these regulations?</SUBJECT> <SECTNO>400.3</SECTNO> <SUBJECT>What other regulations apply to the Vocational and Applied Technology Education Programs?</SUBJECT> <SECTNO>400.4</SECTNO> <SUBJECT>What definitions apply to the Vocational and Applied Technology Education Programs?</SUBJECT> <SECTNO>400.5</SECTNO> <SUBJECT>Under what conditions may funds under the Act be used for the joint funding of programs?</SUBJECT> <SECTNO>400.6</SECTNO> <SUBJECT>What are the requirements for establishing a State Committee of Practitioners?</SUBJECT> <SECTNO>400.7</SECTNO> <SUBJECT>What are the provisions governing the issuance of State core standards and measures of performance and State rules or regulations?</SUBJECT> <SECTNO>400.8</SECTNO> <SUBJECT>What are the provisions governing student assistance?</SUBJECT> <SECTNO>400.9</SECTNO> <SUBJECT>What additional requirements govern the Vocational and Applied Technology Education Programs?</SUBJECT> <SECTNO>400.10</SECTNO> <SUBJECT>What are the reporting requirements?</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>20 U.S.C. 2301 <E T="03">et seq.,</E> unless otherwise noted.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>57 FR 36724, Aug. 14, 1992, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 400.1</SECTNO> <SUBJECT>What is the purpose of the Vocational and Applied Technology Education Programs?</SUBJECT> <P>(a) The purpose of the Vocational and Applied Technology Education Programs is to make the United States more competitive in the world economy by developing more fully the academic and occupational skills of all segments of the population.</P> <P>(b) The purpose will be achieved principally through concentrating resources on improving educational programs leading to academic and occupational skill competencies needed to work in a technologically advanced society.</P> <SECAUTH>(Authority: 20 U.S.C. 2301)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 400.2</SECTNO> <SUBJECT>What programs are governed by these regulations?</SUBJECT> <P>The regulations in this part apply to the Vocational and Applied Technology Education Programs as follows:</P> <P>(a) <E T="03">State-administered programs.</E> (1) State Vocational and Applied Technology Education Program (34 CFR part 403).</P> <P>(2) State-Administered Tech-Prep Education Program (34 CFR part 406).</P> <P>(3) Supplementary State Grants Program (34 CFR part 407).</P> <P>(b) <E T="03">National discretionary programs.</E> (1) Indian Vocational Education Program (34 CFR part 401).</P> <P>(2) Native Hawaiian Vocational Education Program (34 CFR part 402).</P> <P>(3) National Tech-Prep Education Program (34 CFR part 405).</P> <P>(4) Community Education Employment Centers Program (34 CFR part 408).</P> <P>(5) Vocational Education Lighthouse Schools Program (34 CFR part 409).</P> <P>(6) Tribally Controlled Postsecondary Vocational Institutions Program (34 CFR part 410).</P> <P>(7) Vocational Education Research Program (34 CFR part 411).</P> <P>(8) National Network for Curriculum Coordination in Vocational and Technical Education (34 CFR part 412).</P> <P>(9) National Center or Centers for Research in Vocational Education (34 CFR part 413).</P> <P>(10) Materials Development in Telecommunications Program (34 CFR part 414).</P> <P>(11) Demonstration Centers for the Training of Dislocated Workers Program (34 CFR part 415).</P> <P>(12) Vocational Education Training and Study Grants Program (34 CFR part 416).</P> <P>(13) Vocational Education Leadership Development Awards Program (34 CFR part 417).</P> <P>(14) Vocational Educator Training Fellowships Program (34 CFR part 418).</P> <P>(15) Internships for Gifted and Talented Vocational Education Students Program (34 CFR part 419).</P> <P>(16) Business and Education Standards Program (34 CFR part 421).</P> <P>(17) Educational Programs for Federal Correctional Institutions (34 CFR part 422).<PRTPAGE P="6"/> </P> <P>(18) Vocational Education Dropout Prevention Program (34 CFR part 423).</P> <P>(19) Model Centers of Regional Training for Skilled Trades Program (34 CFR part 424).</P> <P>(20) Demonstration Projects for the Integration of Vocational and Academic Learning Program (34 CFR part 425).</P> <P>(21) Cooperative Demonstration Programs (34 CFR part 426).</P> <P>(22) Bilingual Vocational Training Program (34 CFR part 427).</P> <P>(23) Bilingual Vocational Instructor Training Program (34 CFR part 428).</P> <P>(24) Bilingual Materials, Methods, and Techniques Program (34 CFR part 429).</P> <SECAUTH>(Authority: 20 U.S.C. 2301 <E T="03">et seq.</E>)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 400.3</SECTNO> <SUBJECT>What other regulations apply to the Vocational and Applied Technology Education Programs?</SUBJECT> <P>The following regulations apply to the Vocational and Applied Technology Education Programs:</P> <P>(a) The Education Department General Administrative Regulations (EDGAR) as follows:</P> <P>(1) 34 CFR part 74 (Administration of Grants to Institutions of Higher Education, Hospitals, and Nonprofit Organizations).</P> <P>(2) 34 CFR part 75 (Direct Grant Programs) (applicable to parts 401, 402, 405, 408, 409, 410, 411, 412, 413, 414, 415, 416, 417, 418, 419, 421, 422, 423, 424, 425, 426, 427, 428, and 429 except that 34 CFR 75.720(b) does not apply to performance reports under parts 401, 402, 405, 408, 409, 412, 413, 415, 416, 417, 419, 422, 423, 424, 425, 426, 427, and 428, and to financial reports under parts 412 and 413).</P> <P>(3) 34 CFR part 76 (State-Administered Programs) (applicable to parts 403, 406, and 407).</P> <P>(4) 34 CFR part 77 (Definitions that Apply to Department Regulations).</P> <P>(5) 34 CFR part 79 (Intergovernmental Review of Department of Education Programs and Activities) (not applicable to parts 401, 410, 411, 413, 418, and 419).</P> <P>(6) 34 CFR part 80 (Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments).</P> <P>(7) 34 CFR part 81 (General Education Provisions Act— Enforcement).</P> <P>(8) 34 CFR part 82 (New Restrictions on Lobbying) (not applicable to parts 401 and 410).</P> <P>(9) 34 CFR part 85 (Governmentwide Debarment and Suspension (Nonprocurement) and Governmentwide Requirements for Drug-Free Workplace (Grants)).</P> <P>(10) 34 CFR part 86 (Drug-Free Schools and Campuses).</P> <P>(b) The Federal Acquisition Regulation (FAR) in 48 CFR chapter 1 and the Education Department Acquisition Regulation (EDAR) in 48 CFR chapter 34 (applicable to contracts under parts 401, 402, 411, 412, 426, 427, 428, and 429).</P> <P>(c) The regulations in this part 400.</P> <P>(d) The regulations in 34 CFR parts 401, 402, 403, 405, 406, 407, 408, 409, 410, 411, 412, 413, 414, 415, 416, 417, 418, 419, 421, 422, 423, 424, 425, 426, 427, 428, and 429.</P> <SECAUTH>(Authority: 20 U.S.C. 2301 <E T="03">et seq.</E>)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 400.4</SECTNO> <SUBJECT>What definitions apply to the Vocational and Applied Technology Education Programs?</SUBJECT> <P>(a) <E T="03">Definitions in EDGAR.</E> The following terms used in regulations for the Vocational and Applied Technology Education Programs are defined in 34 CFR 77.1: </P> <EXTRACT> <SCOL2> <LI>Acquisition</LI> <LI>Applicant</LI> <LI>Application</LI> <LI>Award</LI> <LI>Budget</LI> <LI>Contract</LI> <LI>Department</LI> <LI>EDGAR</LI> <LI>Elementary school</LI> <LI>Facilities</LI> <LI>Federally recognized Indian tribal government</LI> <LI>Fiscal year</LI> <LI>Grant</LI> <LI>Grantee</LI> <LI>Grant period</LI> <LI>Nonprofit</LI> <LI>Private</LI> <LI>Project</LI> <LI>Public</LI> <LI>Recipient</LI> <LI>Secondary school</LI> <LI>Secretary</LI> <LI>State educational agency</LI> <LI>Subgrant</LI> <LI>Subgrantee</LI> <LI>Supplies</LI> </SCOL2> </EXTRACT> <P>(b) <E T="03">Other definitions.</E> The following definitions also apply to the regulations for Vocational and Applied Technology Education Programs.</P> <P> <E T="03">Act</E> means the Carl D. Perkins Vocational and Applied Technology Education Act (20 U.S.C. 2301 <E T="03">et seq.</E>), as amended by Public Law 101-392, 104 Stat. 753 (1990), and Public Law 102-103, 105 Stat. 497 (1991), unless otherwise indicated.<PRTPAGE P="7"/> </P> <P> <E T="03">Administration</E> means activities of a State necessary for the proper and efficient performance of its duties under the Act, including supervision, but not including curriculum development activities, personnel development, or research activities.</P> <P> <E T="03">All aspects of an industry</E> includes, with respect to a particular industry that a student is preparing to enter, planning, management, finances, technical and production skills, underlying principles of technology, labor and community issues, health and safety, and environmental issues related to that industry.</P> <P> <E T="03">Americans with Disabilities Act of 1990</E> or <E T="03">ADA</E> mean the Act in 42 U.S.C. 12101 <E T="03">et seq.</E> </P> <P> <E T="03">Apprenticeship training program</E> means a program registered with the Department of Labor or the State apprenticeship agency in accordance with the Act of August 16, 1937, known as the National Apprenticeship Act (29 U.S.C. 50), that is conducted or sponsored by an employer, a group of employers, or a joint apprenticeship committee representing both employers and a union, and that contains all terms and conditions for the qualification, recruitment, selection, employment, and training of apprentices.</P> <P> <E T="03">Area vocational education school</E> means—</P> <P>(1) A specialized high school used exclusively or principally for the provision of vocational education to individuals who are available for study in preparation for entering the labor market;</P> <P>(2) The department of a high school exclusively or principally used for providing vocational education in not less than five different occupational fields to individuals who are available for study in preparation for entering the labor market;</P> <P>(3) A technical institute or vocational school used exclusively or principally for the provision of vocational education to individuals who have completed or left high school and who are available for study in preparation for entering the labor market; or</P> <P>(4) The department or division of a junior college, community college, or university that operates under the policies of the State board and provides vocational education in not less than five different occupational fields leading to immediate employment but not necessarily leading to a baccalaureate degree, if, in the case of a school, department, or division described in paragraph (3) of this definition or in this paragraph, it admits as regular students both individuals who have completed high school and individuals who have left high school.</P> <P> <E T="03">Career guidance and counseling</E> means programs that—</P> <P>(1) Pertain to the body of subject matter and related techniques and methods organized for the development in individuals of career awareness, career planning, career decision-making, placement skills, and knowledge and understanding of local, State, and national occupational, educational, and labor market needs, trends, and opportunities; and</P> <P>(2) Assist those individuals in making and implementing informed educational and occupational choices.</P> <P> <E T="03">Chapter 1</E> means chapter 1 of title I of the Elementary and Secondary Education Act of 1965, as amended (20 U.S.C. 2701 <E T="03">et seq.</E>).</P> <P> <E T="03">Coherent sequence of courses</E> means a series of courses in which vocational and academic education are integrated, and which directly relates to, and leads to, both academic and occupational competencies. The term includes competency-based education, academic education, and adult training or retraining, including sequential units encompassed within a single adult retraining course, that otherwise meet the requirements of this definition.</P> <P> <E T="03">Community-based organization</E> means a private nonprofit organization of demonstrated effectiveness that is representative of communities or significant segments of communities and that provides job training services (for example, Opportunities Industrialization Centers, the National Urban League, SER-Jobs for Progress, United Way of America, Mainstream, the National Puerto Rican Forum, National Council of La Raza, WAVE, Inc., Jobs for Youth, organizations operating career intern programs, neighborhood groups and organizations, community action <PRTPAGE P="8"/>agencies, community development corporations, vocational rehabilitation organizations, rehabilitation facilities (as defined in section 7(10) of the Rehabilitation Act of 1973 (29 U.S.C. 706(10)), agencies serving youth, agencies serving individuals with disabilities, including disabled veterans, agencies serving displaced homemakers, union-related organizations, and employer-related nonprofit organizations), and an organization of demonstrated effectiveness serving non-reservation Indians (including the National Urban Indian Council), as well as tribal governments and Native Alaskan groups.</P> <SECAUTH>(Authority: 20 U.S.C. 2471(6); 41 U.S.C. 1503(5))</SECAUTH> <P> <E T="03">Construction</E> includes construction of new buildings and acquisition, expansion, remodeling, and alteration of existing buildings, and includes site grading and improvement and architect fees.</P> <P> <E T="03">Cooperative education</E> means a method of instruction of vocational education for individuals who, through written cooperative arrangements between the school and employers, receive instruction, including required academic courses and related vocational instruction by alternation of study in school with a job in any occupational field. The two experiences must be planned and supervised by the school and employers so that each contributes to the student's education and employability. Work periods and school attendance may be on alternate half days, full days, weeks, or other periods of time in fulfilling the cooperative program.</P> <P> <E T="03">Criminal offender</E> means any individual who is charged with, or convicted of, any criminal offense, including a youth offender or a juvenile offender.</P> <P> <E T="03">Correctional institution</E> means any—</P> <P>(1) Prison;</P> <P>(2) Jail;</P> <P>(3) Reformatory;</P> <P>(4) Work farm;</P> <P>(5) Detention center; or</P> <P>(6) Halfway house, community-based rehabilitation center, or any other similar institution designed for the confinement or rehabilitation of criminal offenders.</P> <P> <E T="03">Curriculum materials</E> means instructional and related or supportive material, including materials using advanced learning technology, in any occupational field that is designed to strengthen the academic foundation and prepare individuals for employment at the entry level or to upgrade occupational competencies of those previously or presently employed in any occupational field, and appropriate counseling and guidance material.</P> <P> <E T="03">Disadvantaged</E> refers to individuals (other than individuals with disabilities) who have economic or academic disadvantages and who require special services and assistance in order to enable these individuals to succeed in vocational education programs. This term includes individuals who are members of economically disadvantaged families, migrants, individuals of limited English proficiency, and individuals who are dropouts from, or who are identified as potential dropouts from, secondary school. For the purpose of this definition, an individual who scores at or below the 25th percentile on a standardized achievement or aptitude test, whose secondary school grades are below 2.0 on a 4.0 scale (on which the grade “A” equals 4.0), or who fails to attain minimum academic competencies may be considered “academically disadvantaged.” The definition does not include individuals with learning disabilities.</P> <P> <E T="03">Displaced homemaker</E> means an individual who—</P> <P>(1) Is an adult;</P> <P>(2) Has worked as an adult primarily without remuneration to care for the home and family, and for that reason has diminished marketable skills; and</P> <P>(3)(i) Has been dependent on public assistance or on the income of a relative but is no longer supported by that income;</P> <P>(ii) Is a parent whose youngest dependent child will become ineligible to receive assistance under part A of title IV of the Social Security Act (42 U.S.C. 601), Aid to Families with Dependent Children, within two years of the parent's application for assistance under the Carl D. Perkins Vocational and Applied Technology Education Act;</P> <P>(iii) Is unemployed or underemployed and is experiencing difficulty in obtaining any employment or suitable employment, as appropriate; or<PRTPAGE P="9"/> </P> <P>(iv) Is described in paragraphs (1) and (2) of this definition and is a criminal offender.</P> <P> <E T="03">Economically disadvantaged family or individual</E> means a family or individual that is—</P> <P>(1) Eligible for any of the following:</P> <P>(i) The program for Aid to Families with Dependent Children under part A of title IV of the Social Security Act (42 U.S.C. 601).</P> <P>(ii) Benefits under the Food Stamp Act of 1977 (7 U.S.C. 2011).</P> <P>(iii) To be counted for purposes of section 1005 of chapter 1 of title I of the Elementary and Secondary Education Act of 1965, as amended (chapter 1) (20 U.S.C. 2701).</P> <P>(iv) The free or reduced-price meals program under the National School Lunch Act (42 U.S.C. 1751).</P> <NOTE> <HD SOURCE="HED">Note to paragraph (1)(iv):</HD> <P>The National School Lunch Act prohibits the identification of students by name. However, State and local projects may use the total number of students participating in a free or reduced-priced meals program to determine eligibility for projects, services, and activities under the Vocational and Applied Technology Education Programs.</P> </NOTE> <P>(v) Participation in programs assisted under title II of the JTPA.</P> <P>(2) In receipt of a Pell grant or assistance under a comparable State program of need-based financial assistance.</P> <P>(3) Determined by the Secretary to be low-income according to the latest available data from the Department of Commerce or the Department of Health and Human Services Poverty Guidelines.</P> <P>(4) Identified as low income according to other indices of economic status, including estimates of those indices, if a grantee demonstrates to the satisfaction of the Secretary that those indices are more representative of the number of economically disadvantaged students attending vocational education programs. The Secretary determines, on a case-by-case basis, whether other indices of economic status are more representative of the number of economically disadvantaged students attending vocational education programs, taking into consideration, for example, the statistical reliability of any data submitted by a grantee as well as the general acceptance of the indices by other agencies in the State or local area.</P> <SECAUTH>(Authority: 20 U.S.C. 2341(d)(3))</SECAUTH> <P> <E T="03">Eligible recipient</E> means, except as otherwise provided, a local educational agency, an area vocational education school, an intermediate educational agency, a postsecondary educational institution, a State corrections educational agency, or an eligible institution as defined in 34 CFR 403.117(a).</P> <P> <E T="03">General occupational skills</E> means strong experience in, and understanding of, all aspects of an industry.</P> <P> <E T="03">High technology</E> means state-of-the-art computer, microelectronic, hydraulic, pneumatic, laser, nuclear, chemical, telecommunication, and other technologies being used to enhance productivity in manufacturing, communication, transportation, agriculture, mining, energy, commercial, and similar economic activity, and to improve the provision of health care.</P> <P> <E T="03">IDEA</E> means the Individuals with Disabilities Education Act (20 U.S.C. 1400 <E T="03">et seq.</E>), formerly entitled “Education of the Handicapped Act.”</P> <P> <E T="03">Individual with disabilities</E> means any individual with any disability (as defined in section 3(2) of the Americans With Disabilities Act of 1990), which includes any individual who—</P> <P>(1) Has a physical or mental impairment that substantially limits one or more of the major life activities of that individual;</P> <P>(2) Has a record of an impairment described in paragraph (1) of this definition; or</P> <P>(3) Is regarded as having an impairment described in paragraph (1) of this definition.</P> <NOTE> <HD SOURCE="HED">Note:</HD> <P>This definition necessarily includes any individual who has been evaluated under part B of the IDEA and determined to be an individual with a disability who is in need of special education and related services; and any individual who is considered disabled under section 504 of the Rehabilitation Act of 1973.</P> </NOTE> <SECAUTH>(Authority: 42 U.S.C. 12102(2))</SECAUTH> <P> <E T="03">Individualized education program</E> means a written statement for a disabled individual developed in accordance with sections 612(4) and 614(a)(5) of the IDEA (20 U.S.C. 1412(4) and 1414(a)(5)).<PRTPAGE P="10"/> </P> <P> <E T="03">Institution of higher education.</E> (1) The term means an educational institution in any State that—</P> <P>(i) Admits as regular students only persons having a certificate of graduation from a school providing secondary education, or the recognized equivalent of such a certificate;</P> <P>(ii) Is legally authorized within such State to provide a program of education beyond secondary education;</P> <P>(iii) Provides an educational program for which it awards a bachelor's degree or provides not less than a two-year program that is acceptable for full credit toward such a degree;</P> <P>(iv) Is a public or other nonprofit institution; and</P> <P>(v) Is accredited by a nationally recognized accrediting agency or association, or if not so accredited—</P> <P>(A) Is an institution with respect to which the Secretary has determined that there is satisfactory assurance, considering the resources available to the institution, the period of time, if any, during which it has operated, the effort it is making to meet accreditation standards, and the purpose for which this determination is being made, that the institution will meet the accreditation standards of such an agency or association within a reasonable time; or</P> <P>(B) Is an institution whose credits are accepted, on transfer, by not less than three institutions which are so accredited, for credit on the same basis as if transferred from an institution so accredited.</P> <P>(2) The term also includes—</P> <P>(i) Any school which provides not less than a one-year program of training to prepare students for gainful employment in a recognized occupation and that meets the provisions of paragraphs (1) (i), (ii), (iv), and (v) of this definition; and</P> <P>(ii) A public or nonprofit private educational institution in any State which, in lieu of the requirement in paragraph (1) of this definition, admits as regular students persons who are beyond the age of compulsory school attendance in the State in which the institution is located and who meet the requirements of section 484(d) of the Higher Education Act of 1965 (20 U.S.C. 1091(d)).</P> <SECAUTH>(Authority: 20 U.S.C. 1141(a))</SECAUTH> <P> <E T="03">Intermediate educational agency</E> means a combination of school districts or counties (those divisions of a State utilized by the Secretary of Commerce in compiling and reporting data regarding counties) as are recognized in a State as an administrative agency for that State's vocational or technical education schools or for vocational programs within its public elementary or secondary schools. This term includes any other public institution or agency having administrative control and direction over a public elementary or secondary school.</P> <SECAUTH>(Authority: 20 U.S.C. 2891(5))</SECAUTH> <P> <E T="03">JTPA</E> means the Job Training Partnership Act (29 U.S.C. 1501 <E T="03">et seq.</E>).</P> <P> <E T="03">Limited English proficiency,</E> if used with reference to individuals, means individuals—</P> <P>(1)(i) Who were not born in the United States or whose native language is a language other than English;</P> <P>(ii) Who come from environments where a language other than English is dominant; or</P> <P>(iii) Who are American Indian and Alaska Natives and who come from environments where a language other than English has had a significant impact on their level of English language proficiency; and</P> <P>(2) Who by reason thereof, have sufficient difficulty speaking, reading, writing, or understanding the English language to deny those individuals the opportunity to learn successfully in classrooms where the language of instruction is English or to participate fully in our society.</P> <SECAUTH>(Authority: 20 U.S.C. 3223(a)(1))</SECAUTH> <P> <E T="03">Local educational agency</E> means a board of education or other legally constituted local school authority having administrative control and direction of public elementary or secondary schools in a city, county, township, school district, or political subdivision in a State, or any other public educational institution or agency having administrative control and direction of a vocational education program. For the purposes of sections 114, 115, 116, 117, and <PRTPAGE P="11"/>240 of the Act (implemented at 34 CFR 403.31 (e) and (f), 403.32(c)(3), 403.190, 403.191, 403.192, 403.201, 403.202, and 403.204), this term includes a State corrections educational agency.</P> <P> <E T="03">Measure</E> means a description of an outcome.</P> <SECAUTH>(Authority: H.R. Rep. No. 41, 101st Cong., 1st Sess. 13 (1989))</SECAUTH> <P> <E T="03">Postsecondary educational institution</E> means an institution legally authorized to provide postsecondary education within a State, a Bureau of Indian Affairs-controlled postsecondary institution, or any postsecondary educational institution operated by, or on behalf of, any Indian tribe that is eligible to contract with the Secretary of the Interior for the administration of programs under the Indian Self-Determination and Education Assistance Act (25 U.S.C. 450) or under the Act of April 16, 1934 (25 U.S.C. 452).</P> <P> <E T="03">Preparatory services</E> means services, programs, or activities designed to assist individuals who are not enrolled in vocational education programs in the selection of, or preparation for participation in, an appropriate vocational education training program. Preparatory services may include, but are not limited to—</P> <P>(1) Services, programs, or activities related to outreach to, or recruitment of, potential vocational education students;</P> <P>(2) Career counseling and personal counseling;</P> <P>(3) Vocational assessment and testing; and</P> <P>(4) Other appropriate services, programs, or activities.</P> <P> <E T="03">Private vocational training institution</E> means a business or trade school, or technical institution or other technical or vocational school, in any State, that—</P> <P>(1) Admits as regular students only persons who have completed or left elementary or secondary school and who have the ability to benefit from the training offered by the institution;</P> <P>(2) Is legally authorized to provide, and provides within that State, a program of postsecondary vocational or technical education designed to fit individuals for useful employment in recognized occupations;</P> <P>(3) Has been in existence for two years or has been specially accredited by the Secretary as an institution meeting the other requirements of this definition; and</P> <P>(4) Is accredited—</P> <P>(i) By a nationally recognized accrediting agency or association listed by the Secretary;</P> <P>(ii) If the Secretary determines that there is no nationally recognized accrediting agency or association qualified to accredit schools of a particular category, by a State agency listed by the Secretary; or</P> <P>(iii) If the Secretary determines that there is no nationally recognized or State agency or association qualified to accredit schools of a particular category, by an advisory committee appointed by the Secretary and composed of persons specially qualified to evaluate training provided by schools of that category. The committee shall prescribe the standards of content, scope, and quality that must be met by those schools and shall also determine whether particular schools meet those standards.</P> <P> <E T="03">Program effectiveness panel</E> means the panel of experts in the evaluation of education programs and in other areas of education, at least two-thirds of whom are not Federal employees, who are appointed by the Secretary, and who review and assign scores to programs according to the criteria in 34 CFR 786.12 or 787.12.</P> <P> <E T="03">Program year</E> or <E T="03">academic year</E> mean the twelve-month period during which a State operates its vocational education program (which is most generally a period beginning on July 1 and ending on the following June 30).</P> <SECAUTH>(Authority: 20 U.S.C. 1225(a))</SECAUTH> <P> <E T="03">Rehabilitation Act of 1973</E> means the Act in 29 U.S.C. 701 <E T="03">et seq.</E> </P> <P> <E T="03">School facilities</E> means classrooms and related facilities, including initial equipment, and interests in lands on which the facilities are constructed. The term does not include any facility intended primarily for events for which admission is to be charged to the general public.</P> <P> <E T="03">Sequential course of study</E> means an integrated series of courses that are directly related to the educational and <PRTPAGE P="12"/>occupational skills preparation of individuals for jobs, or preparation for postsecondary education.</P> <P> <E T="03">Single parent</E> means an individual who—</P> <P>(1) Is unmarried or legally separated from a spouse; and</P> <P>(2)(i) Has a minor child or children for which the parent has either custody or joint custody; or</P> <P>(ii) Is pregnant.</P> <P> <E T="03">Small business</E> means a for-profit enterprise employing 500 or fewer employees.</P> <P> <E T="03">Special populations</E> refers to individuals with disabilities, educationally and economically disadvantaged individuals (including foster children), individuals of limited English proficiency, individuals who participate in programs designed to eliminate sex bias, and individuals in correctional institutions.</P> <P> <E T="03">Specific job training</E> means training and education for skills required by an employer to provide the individual student with the ability to obtain employment and to adapt to the changing demands of the workplace.</P> <P> <E T="03">Spread</E> means the degree to which—</P> <P>(1) Project activities and results are demonstrated to others;</P> <P>(2) Technical assistance is provided to others to help them replicate project activities and results;</P> <P>(3) Project activities and results are replicated at other sites; or</P> <P>(4) Information and material about or resulting from the project are disseminated.</P> <P> <E T="03">Standard</E> means the level or rate of an outcome.</P> <SECAUTH>(Authority: H.R. Rep. No. 41, 101st Cong., 1st Sess. 13 (1989))</SECAUTH> <P> <E T="03">State</E> means any of the 50 States, the Commonwealth of Puerto Rico, the District of Columbia, Guam, American Samoa, the Virgin Islands, the Commonwealth of the Northern Mariana Islands, and Palau (until the Compact of Free Association with Palau takes effect pursuant to section 101(a) of Public Law 99-658 (48 U.S.C. 1681)).</P> <P> <E T="03">State board</E> means a State board designated or created by State law as the sole State agency responsible for the administration of vocational education or for supervision of the administration of vocational education in the State.</P> <P> <E T="03">State corrections educational agency</E> means the State agency or agencies responsible for carrying out corrections education programs in the State.</P> <P> <E T="03">State council</E> means the State council on vocational education established in accordance with 34 CFR 403.17 through 403.19.</P> <P> <E T="03">Supplementary services</E> means curriculum modification, equipment modification, classroom modification, supportive personnel, and instructional aids and devices.</P> <P> <E T="03">Technology education</E> means an applied discipline designed to promote technological literacy that provides knowledge and understanding of the impacts of technology including its organizations, techniques, tools, and skills to solve practical problems and extend human capabilities in areas such as construction, manufacturing, communication, transportation, power, and energy.</P> <P> <E T="03">Transportability</E> means the ease by which project activities and results may be replicated at other sites, such as through the development and use of guides or manuals that provide step-by-step directions for others to follow in order to initiate similar efforts and reproduce comparable results.</P> <P> <E T="03">Tribally controlled community college</E> means an institution that receives assistance under the Tribally Controlled Community College Assistance Act of 1978 (25 U.S.C. 1801 <E T="03">et seq.</E>) or the Navajo Community College Act (25 U.S.C. 640a).</P> <P> <E T="03">Vocational education</E> means organized educational programs offering a sequence of courses or instruction in a sequence or aggregation of occupational competencies that are directly related to the preparation of individuals for paid or unpaid employment in current or emerging occupations requiring other than a baccalaureate or advanced degree. These programs must include competency-based applied learning that contributes to an individual's academic knowledge, higher-order reasoning and problem-solving skills, work attitudes, general employability skills, and the occupational-specific skills necessary for economic independence as a productive and contributing <PRTPAGE P="13"/>member of society. This term also includes applied technology education.</P> <P> <E T="03">Vocational student organizations</E> means those organizations for individuals enrolled in vocational education programs that engage in activities as an integral part of the instructional program. These organizations may have State and national units that aggregate the work and purposes of instruction in vocational education at the local level.</P> <P> <E T="03">Wagner-Peyser Act</E> means the Act in 29 U.S.C. 49 <E T="03">et seq.</E> </P> <SECAUTH>(Authority: 20 U.S.C. 2471)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 400.5</SECTNO> <SUBJECT>Under what conditions may funds under the Act be used for the joint funding of programs?</SUBJECT> <P>(a) Funds made available under the Act may be used to provide additional funds under any of the programs in—</P> <P>(1) Title II, section 123 and title III of the JTPA; or</P> <P>(2) The Wagner-Peyser Act.</P> <P>(b) Funds used to carry out paragraph (a) of this section may be used only if the—</P> <P>(1) Program otherwise meets the requirements of the Act and the requirements of the programs in paragraph (a) (1) and (2) of this section;</P> <P>(2) Program serves the same individuals that are served under the Act;</P> <P>(3) Program provides services in a coordinated manner with services provided under the Act; and</P> <P>(4) Funds would be used to supplement, and not supplant, funds provided from non-Federal sources.</P> <P>(c) Funds that meet the conditions in paragraphs (a) and (b) of this section may be used as matching funds.</P> <SECAUTH>(Authority: 20 U.S.C. 2468)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 400.6</SECTNO> <SUBJECT>What are the requirements for establishing a State Committee of Practitioners?</SUBJECT> <P>(a) <E T="03">Consultation.</E> A State shall appoint a State Committee of Practitioners (Committee) after consulting with—</P> <P>(1) Local school officials representing eligible recipients;</P> <P>(2) Representatives of—</P> <P>(i) Organized labor;</P> <P>(ii) Business;</P> <P>(iii) Superintendents;</P> <P>(iv) Community-based organizations;</P> <P>(v) Private industry councils established under section 102(a) of the JTPA (29 U.S.C. 1512);</P> <P>(vi) State councils;</P> <P>(vii) Parents;</P> <P>(viii) Special populations; and</P> <P>(ix) Correctional institutions;</P> <P>(3) The administrator appointed under 34 CFR 403.13(a);</P> <P>(4) The State administrator of programs assisted under part B of the IDEA;</P> <P>(5) The State administrator of programs assisted under chapter 1;</P> <P>(6) The State administrator of programs for students of limited English proficiency; and</P> <P>(7) Guidance counselors.</P> <P>(b) <E T="03">Committee selection.</E> The State shall select the Committee from nominees solicited from—</P> <P>(1) State organizations representing school administrators;</P> <P>(2) Teachers;</P> <P>(3) Parents;</P> <P>(4) Members of local boards of education; and</P> <P>(5) Appropriate representatives of institutions of higher education.</P> <P>(c)(1) <E T="03">Committee membership.</E> The Committee must consist of—</P> <P>(i) Representatives of local educational agencies, who must constitute a majority of the members of the committee;</P> <P>(ii) School administrators;</P> <P>(iii) Teachers;</P> <P>(iv) Parents;</P> <P>(v) Members of local boards of education;</P> <P>(vi) Representatives of institutions of higher education; and</P> <P>(vii) Students.</P> <P>(2) School administrators, teachers, and members of local boards of education may be counted as representatives of LEAs for purposes of paragraph (c)(1)(i) of this section.</P> <SECAUTH>(Authority: 20 U.S.C. 2325 (a) and (d)(1); 2468a)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 400.7</SECTNO> <SUBJECT>What are the provisions governing the issuance of State core standards and measures of performance and State rules or regulations?</SUBJECT> <P>(a)(1) <E T="03">State standards and measures.</E> A State shall convene, on a regular basis, the Committee established under § 400.6 to review, comment on, and propose revisions to a draft proposal that the <PRTPAGE P="14"/>State board develops for a statewide system of core standards and measures of performance for secondary, postsecondary, and adult vocational education programs.</P> <P>(2) The Committee shall make recommendations to the State board with respect to modifying statewide standards and measures based on information provided by the State under 34 CFR 403.201(d).</P> <P>(b)(1) <E T="03">State rules and regulations.</E> Except as provided in paragraph (b)(2) of this section, before a State publishes any proposed or final State rule or regulation for programs, services, or activities covered by the Act, the State shall convene the Committee for the purpose of reviewing the rule or regulation.</P> <P>(2) In an emergency, in which a rule or regulation must be issued within a very limited time period to assist eligible recipients with the operation of projects, services, or activities, the State—</P> <P>(i) May issue a proposed rule or regulation without meeting the requirements in paragraph (b)(1) of this section; but</P> <P>(ii) Shall immediately convene the Committee to review the rule or regulation before it is issued in final form.</P> <CROSSREF> <HD SOURCE="HED">Cross-Reference:</HD> <P>See § 400.9(c).</P> </CROSSREF> <P>(3) If a State policy is binding on eligible recipients and has the same effect as a formal rule or regulation, although it is not issued as one, that policy is covered by this section.</P> <SECAUTH>(Authority: 20 U.S.C. 2325(a); 2468a)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 400.8</SECTNO> <SUBJECT>What are the provisions governing student assistance?</SUBJECT> <P>(a) The portion of any student financial assistance received under the Act that is made available for attendance costs described in paragraph (b) of this section may not be considered as income or resources in determining eligibility for assistance under any other program funded in whole or in part with Federal funds.</P> <P>(b) For purposes of this section, attendance costs are —</P> <P>(1) Tuition and fees normally assessed a student carrying the same academic workload as determined by the institution, including costs for rental or purchases of any equipment, materials, or supplies required of all students in the same course of study; and</P> <P>(2) An allowance for books, supplies, transportation, dependent care, and miscellaneous personal expenses for a student attending an institution on at least a half-time basis, as determined by the institution.</P> <SECAUTH>(Authority: 20 U.S.C. 2466d)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 400.9</SECTNO> <SUBJECT>What additional requirements govern the Vocational and Applied Technology Education Programs?</SUBJECT> <P>In addition to the Act, applicable Federal laws, and regulations, the following requirements apply to Vocational and Applied Technology Education Programs:</P> <P>(a) A State that receives funds under the Act shall cooperate with the Secretary in supplying the information the Secretary requires, in the form the Secretary requires, and shall comply in its reports with the information system developed by the Secretary under section 421 of the Act.</P> <P>(b) Nothing in the Act is to be construed to be inconsistent with applicable Federal laws guaranteeing civil rights, or is intended to, or has the effect of, limiting or diminishing any obligations imposed under the IDEA or section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794).</P> <P>(c) Any State rule, regulation, or policy imposed on the administration or operation of programs funded under the Act, including any rule, regulation, or policy based on a State's interpretation of any Federal law, regulation, or guideline, must be identified as a State imposed requirement.</P> <P>(d) Funds provided under the Act may not be used for the purpose of directly providing incentives or inducements to relocate a business or enterprise from one State to another State if the relocation would result in a reduction in the number of jobs available in the State where the business enterprise is located before the incentives or inducements are offered.</P> <P>(e) A State may not take into consideration payments under the Act in determining for any educational agency or institution in that State the eligibility for State aid or the amount of <PRTPAGE P="15"/>State aid with respect to public education within the State.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0030)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2421, 2424, 2466c, 2468b, 2468c, and 2468e(a)(2))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 400.10</SECTNO> <SUBJECT>What are the reporting requirements?</SUBJECT> <P>(a) Recipients of grants and cooperative agreements shall report information about students, projects, evaluations, dissemination, expenditures, accomplishments, and any other information, as may be required by the Secretary.</P> <P>(b) Recipients of grants and cooperative agreements under—</P> <P>(1) Parts 401, 402, 405, 408, 409, 413, 415, 416, 417, 419, 422, 423, 424, 425, 426, 427, and 428 shall submit performance reports at least semi-annually;</P> <P>(2) Part 412 shall submit monthly progress and financial status reports and an annual impact report; and</P> <P>(3) Part 413 shall submit monthly exception reports and quarterly financial status reports.</P> <P>(c) Recipients of grants under parts 403, 406, and 407 shall submit annual performance and financial reports.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0030)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2301 <E T="03">et seq.</E>)</SECAUTH> </SECTION> </PART> <PART> <EAR>Pt. 401</EAR> <HD SOURCE="HED">PART 401—INDIAN VOCATIONAL EDUCATION PROGRAM</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>401.1</SECTNO> <SUBJECT>What is the Indian Vocational Education Program?</SUBJECT> <SECTNO>401.2</SECTNO> <SUBJECT>Who is eligible for an award?</SUBJECT> <SECTNO>401.3</SECTNO> <SUBJECT>What activities may the Secretary fund?</SUBJECT> <SECTNO>401.4</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <SECTNO>401.5</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—How Does One Apply for an Award?</HD> <SECTNO>401.10</SECTNO> <SUBJECT>How are applications submitted?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does the Secretary Make an Award?</HD> <SECTNO>401.20</SECTNO> <SUBJECT>How does the Secretary evaluate an application?</SUBJECT> <SECTNO>401.21</SECTNO> <SUBJECT>What selection criteria does the Secretary use?</SUBJECT> <SECTNO>401.22</SECTNO> <SUBJECT>What additional factors may the Secretary consider?</SUBJECT> <SECTNO>401.23</SECTNO> <SUBJECT>Is the Secretary's decision not to make an award under the Indian Vocational Education Program subject to a hearing?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—What Conditions Must Be Met After an Award?</HD> <SECTNO>401.30</SECTNO> <SUBJECT>How do the Indian Self-Determination Act and the Act of April 16, 1934 affect awards under the Indian Vocational Education Program?</SUBJECT> <SECTNO>401.31</SECTNO> <SUBJECT>What are the evaluation requirements?</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>20 U.S.C. 2313(b), unless otherwise noted.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>57 FR 36730, Aug. 14, 1992, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 401.1</SECTNO> <SUBJECT>What is the Indian Vocational Education Program?</SUBJECT> <P>The Indian Vocational Education Program provides financial assistance to projects that provide vocational education for the benefit of Indians.</P> <SECAUTH>(Authority: 20 U.S.C. 2313(b))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 401.2</SECTNO> <SUBJECT>Who is eligible for an award?</SUBJECT> <P>(a) The following entities are eligible for an award under this program:</P> <P>(1) A tribal organization of any Indian tribe that is eligible to contract with the Secretary of the Interior under the Indian Self-Determination and Education Assistance Act or under the Act of April 16, 1934.</P> <P>(2) A Bureau-funded school offering a secondary program.</P> <P>(b) Any tribal organization or Bureau-funded school described in paragraph (a) of this section may apply individually or jointly as part of a consortium with one or more eligible tribal organizations or schools.</P> <P>(c)(1) A consortium shall enter into an agreement signed by all members of the consortium, and designating one member of the consortium as the applicant and grantee.</P> <P>(2) The agreement must detail the activities each member of the consortium plans to perform, and must bind each member to every statement and assurance made in the application.</P> <P>(3) The applicant shall submit the agreement with its application.</P> <CROSSREF> <PRTPAGE P="16"/> <HD SOURCE="HED">Cross-Reference:</HD> <P>See 34 CFR 75.127-75.129—Group applications.</P> </CROSSREF> <SECAUTH>(Authority: 20 U.S.C. 2313(b))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 401.3</SECTNO> <SUBJECT>What activities may the Secretary fund?</SUBJECT> <P>(a) The Secretary provides financial assistance through grants, contracts, or cooperative agreements to plan, conduct, and administer projects or portions of projects that are authorized by and consistent with the purposes of the Act. In the case of a grant to a Bureau-funded school, the Secretary provides a minimum grant of $35,000.</P> <P>(b) Projects funded under this program are in addition to other programs, services, and activities made available under other provisions of the Act to—</P> <P>(1) Eligible Indians in need of vocational education; and</P> <P>(2) Eligible Indian tribes as community-based organizations that receive State vocational education assistance.</P> <P>(c) An award under this program may be used to provide a stipend to a student who—</P> <P>(1) Is enrolled in a vocational education project funded under this program; and</P> <P>(2) Has an acute economic need that cannot be met through work-study programs.</P> <P>(d) The amount of a stipend may be the greater of either the minimum hourly wage prescribed by State or local law, or the minimum hourly wage set under the Fair Labor Standards Act. A stipend may not be paid for time a student is not in attendance in a project.</P> <SECAUTH>(Authority: 20 U.S.C. 2313(b) (1) and (3))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 401.4</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <P>The following regulations apply to the Indian Vocational Education Program:</P> <P>(a) The regulations in 34 CFR part 400 (except that 34 CFR parts 79 and 82 do not apply to this program).</P> <P>(b) The regulations in this part 401.</P> <SECAUTH>(Authority: 20 U.S.C. 2313(b))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 401.5</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> <P>(a) The definitions in 34 CFR 400.4 apply to this part.</P> <P>(b) The following definitions also apply to this part:</P> <P> <E T="03">Act of April 16, 1934</E> means the Federal law commonly known as the “Johnson-O'Malley Act” that authorizes the Secretary of the Interior to make contracts for the education of Indians and other purposes (25 U.S.C. 455-457).</P> <P> <E T="03">Acute economic need</E> means an income that is at or below the national poverty level according to the latest available data from the Department of Commerce or the Department of Health and Human Services Poverty Guidelines.</P> <P> <E T="03">Bureau</E> means the Bureau of Indian Affairs, Department of the Interior.</P> <P> <E T="03">Bureau-funded school</E> means—</P> <P>(1) A Bureau-operated elementary or secondary day or boarding school or a Bureau-operated dormitory for students attending a school other than a Bureau school;</P> <P>(2) An elementary or secondary school or a dormitory that receives financial assistance for its operation under a contract or agreement with the Bureau under sections 102, 104(1), or 208 of the Indian Self-Determination and Education Assistance Act (25 U.S.C. 450f, 450h(1), and 458d); or</P> <P>(3) A school for which assistance is provided under the Tribally Controlled Schools Act of 1988.</P> <SECAUTH>(Authority: 20 U.S.C. 2313(b); 25 U.S.C. 2019 (3), (4), and (5))</SECAUTH> <P> <E T="03">Indian</E> means a person who is a member of an Indian tribe.</P> <SECAUTH>(Authority: 25 U.S.C. 450b(d))</SECAUTH> <P> <E T="03">Indian tribe</E> means any Indian tribe, band, Nation, or other organized group or community, including any Alaska Native village or regional or village corporation as defined in or established pursuant to the Alaska Native Claims Settlement Act (85 Stat. 688) that is federally recognized as eligible for the special programs and services provided by the United States to Indians because of their status as Indians.</P> <SECAUTH>(Authority: 25 U.S.C. 450b(e))</SECAUTH> <P> <E T="03">Stipend</E> means a subsistence allowance for a student that is necessary for the student to participate in a project funded under this program.</P> <P> <E T="03">Tribal organization</E> means the recognized governing body of any Indian <PRTPAGE P="17"/>tribe or any legally established organization of Indians that is controlled, sanctioned, or chartered by that governing body or that is democratically elected by the adult members of the Indian community to be served by the organization and that includes the maximum participation of Indians in all phases of its activities. However, in any case where a contract is let or grant made to an organization to perform services benefiting more than one Indian tribe, the approval of each of those Indian tribes must be a prerequisite to the letting or making of that contract or grant.</P> <SECAUTH>(Authority: 20 U.S.C. 2313(a)(1)(A), (b); 25 U.S.C. 450b(l))</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—How Does One Apply for an Award?</HD> <SECTION> <SECTNO>§ 401.10</SECTNO> <SUBJECT>How are applications submitted?</SUBJECT> <P>(a) An application from a tribal organization, other than a Bureau-funded school, must be submitted to the Secretary by the Indian tribe.</P> <P>(b) An application for a project to serve more than one Indian tribe must be approved by each tribe to be served.</P> <P>(c) An application from a Bureau-funded school may be submitted directly to the Secretary.</P> <SECAUTH>(Authority: 20 U.S.C. 2313(b)(1); 25 U.S.C. 450b)</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does the Secretary Make an Award?</HD> <SECTION> <SECTNO>§ 401.20</SECTNO> <SUBJECT>How does the Secretary evaluate an application?</SUBJECT> <P>(a) The Secretary evaluates an application on the basis of the criteria in § 401.21.</P> <P>(b) The Secretary may award up to 100 points, including a reserved 15 points to be distributed in accordance with paragraph (d) of this section, based on the criteria in § 401.21.</P> <P>(c) Subject to paragraph (d) of this section, the maximum possible score for each criterion is indicated in parentheses after the heading for each criterion.</P> <P>(d) For each competition, as announced through a notice published in the <E T="04">Federal Register,</E> the Secretary may assign the reserved points among the criteria in § 401.21.</P> <P>(e) In addition to the 100 points to be awarded based on the criteria in § 401.21, the Secretary awards—</P> <P>(1) Up to 5 points to applications that propose exemplary approaches that involve, coordinate with, or encourage tribal economic development plans; and</P> <P>(2) Five points to applications from tribally controlled community colleges that—</P> <P>(i) Are accredited or are candidates for accreditation by a nationally recognized accreditation organization as an institution of postsecondary vocational education; or</P> <P>(ii) Operate vocational education programs that are accredited or are candidates for accreditation by a nationally recognized accreditation organization and issue certificates for completion of vocational education programs.</P> <SECAUTH>(Authority: 20 U.S.C. 2313(b))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 401.21</SECTNO> <SUBJECT>What selection criteria does the Secretary use?</SUBJECT> <P>The Secretary uses the following criteria to evaluate an application:</P> <P>(a) <E T="03">Program factors.</E> (20 points) The Secretary reviews each application to determine the extent to which it—</P> <P>(1) Proposes measurable goals for student enrollment, completion, and placement (including placement in jobs or military specialties and in continuing education or training opportunities) that are realistic in terms of stated needs, resources, and job opportunities in each occupation for which training is to be provided;</P> <P>(2) Proposes goals that take into consideration any related goals or standards developed for Job Opportunities and Basic Skills (JOBS) programs (42 U.S.C. 681 <E T="03">et seq.</E>) and Job Training Partnership Act (JTPA) (29 U.S.C. 1501 <E T="03">et seq.</E>) training programs operating in the area, and, where appropriate, any goals set by the State board for vocational education for the occupation and geographic area;</P> <P>(3) Describes, for each occupation for which training is to be provided, how successful program completion will be determined in terms of academic and vocational competencies demonstrated by enrollees prior to completion and <PRTPAGE P="18"/>any academic or work credentials acquired by enrollees upon completion;</P> <P>(4) Demonstrates the active commitment in the project's planning and operation by advisory committees, tribal planning offices, the JOBS program office, the JTPA program director, and potential employers such as tribal enterprises, private enterprises (on or off reservation), and other organizations;</P> <P>(5) Is targeted to individuals with inadequate skills to assist those individuals in obtaining new employment; and</P> <P>(6) Includes a thorough description of the approach to be used including some or all of the following components:</P> <P>(i) Methods of participant selection.</P> <P>(ii) Assessment and feedback of participant progress.</P> <P>(iii) Coordination of vocational instruction, academic instruction, and support services such as counseling, transportation, and child care.</P> <P>(iv) Curriculum and, if appropriate, approaches for providing on-the-job training experience.</P> <P>(b) <E T="03">Need.</E> (15 points) The Secretary reviews each application to determine the extent to which the project addresses specific needs, including—</P> <P>(1) The job market and related needs (such as educational level) of the target population;</P> <P>(2) Characteristics of that population, including an estimate of those to be served by the project;</P> <P>(3) How the project will meet the needs of the target population; and</P> <P>(4) A description of any ongoing and planned activities relative to those needs, including, if appropriate, how the State plan developed under 34 CFR 403.30 through 403.34 is designed to meet those needs.</P> <P>(c) <E T="03">Plan of operation.</E> (15 points) The Secretary reviews each application to determine the quality of the plan of operation for the project, including—</P> <P>(1) The establishment of objectives that are clearly related to project goals and activities and are measurable with respect to anticipated enrollments, completions, and placements;</P> <P>(2) A management plan that describes the chain of command, how staff will be managed, how coordination among staff will be accomplished, and timelines for each activity; and</P> <P>(3) The way the applicant intends to use its resources and personnel to achieve each objective.</P> <P>(d) <E T="03">Key personnel.</E> (10 points) (1) The Secretary reviews each application to determine the quality of key personnel the applicant plans to use on the project, including—</P> <P>(i) The qualifications of the project director;</P> <P>(ii) The qualifications of each of the other key personnel to be used on the project;</P> <P>(iii) The time, including justification for the time that each one of the key personnel, including the project director, will commit to the project; and</P> <P>(iv) Subject to the Indian preference provisions of the Indian Self-Determination Act (25 U.S.C. 450 <E T="03">et seq.</E>) that apply to grants and contracts to tribal organizations, how the applicant, as part of its nondiscriminatory employment practices, will ensure that its personnel are selected for employment without regard to race, color, national origin, gender, age, or disabling condition.</P> <P>(2) To determine personnel qualifications, the Secretary considers—</P> <P>(i) The experience and training of key personnel in project management and in fields particularly related to the objectives of the project; and</P> <P>(ii) Any other qualifications of key personnel that pertain to the quality of the project.</P> <P>(e) <E T="03">Budget and cost effectiveness.</E> (5 points) The Secretary reviews each application to determine the extent to which—</P> <P>(1) The budget is adequate to support the project activities;</P> <P>(2) Costs are reasonable in relation to the objectives of the project and the number of participants to be served; and</P> <P>(3) The budget narrative justifies the expenditures.</P> <P>(f) <E T="03">Evaluation plan.</E> (10 points) The Secretary reviews each application to determine the quality of the evaluation plan for the project, including the extent to which—</P> <P>(1) The plan identifies, at a minimum, types of data to be collected and reported with respect to the academic <PRTPAGE P="19"/>and vocational competencies demonstrated by participants and the number and kind of academic and work credentials acquired by participants who complete the training;</P> <P>(2) The plan identifies, at a minimum, types of data to be collected and reported with respect to the achievement of project goals for the enrollment, completion, and placement of participants. The data must be broken down by sex and by occupation for which the training was provided;</P> <P>(3) The methods of evaluation are appropriate for the project and, to the extent possible, are objective and produce data that are quantifiable; and</P> <P>(4) The methods of evaluation provide periodic data that can be used by the project for ongoing program improvement.</P> <P>(g) <E T="03">Employment opportunities.</E> (10 points) The Secretary reviews each application to determine the quality of the plan for job placement of participants who complete training under this program, including—</P> <P>(1) The expected employment opportunities (including any military specialties) and any additional educational or training opportunities that are related to the participants’ training;</P> <P>(2) Information and documentation concerning potential employers’ commitment to hire participants who complete the training; and</P> <P>(3) An estimate of the percentage of trainees expected to be employed (including self-employed individuals) in the field for which they were trained following completion of the training.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0013)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2313(b))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 401.22</SECTNO> <SUBJECT>What additional factors may the Secretary consider?</SUBJECT> <P>The Secretary may decide not to award a grant or cooperative agreement if—</P> <P>(a) The proposed project duplicates an effort already being made; or</P> <P>(b) Funding the project would create an inequitable distribution of funds under this part among Indian tribes.</P> <SECAUTH>(Authority: 20 U.S.C. 2313(b))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 401.23</SECTNO> <SUBJECT>Is the Secretary's decision not to make an award under the Indian Vocational Education Program subject to a hearing?</SUBJECT> <P>(a) After receiving written notice from an authorized official of the Department that the Secretary will not award a grant or cooperative agreement to an eligible applicant under § 401.2(a)(1), an Indian tribal organization has 30 calendar days to make a written request to the Secretary for a hearing to review the Secretary's decision.</P> <P>(b) Within 10 business days of the Department's receipt of a hearing request, the Secretary designates a Department employee who is not assigned to the Office of Vocational and Adult Education to serve as a hearing officer. The hearing officer conducts a hearing and issues a written decision within 75 calendar days of the Department's receipt of the hearing request. The hearing officer establishes rules for the conduct of the hearing. The hearing officer conducts the hearing solely on the basis of written submissions unless the officer determines, in accordance with standards in 34 CFR 81.6(b), that oral argument or testimony is necessary.</P> <P>(c) The Secretary does not make any award under this part to an Indian tribal organization until the hearing officer issues a written decision on any appeal brought under this section.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0013)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2313(b); 25 U.S.C. 450f)</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—What Conditions Must Be Met After an Award?</HD> <SECTION> <SECTNO>§ 401.30</SECTNO> <SUBJECT>How do the Indian Self-Determination Act and the Act of April 16, 1934 affect awards under the Indian Vocational Education Program?</SUBJECT> <P>(a) Grants, cooperative agreements, or contracts with tribal organizations are subject to the terms and conditions of section 102 of the Indian Self-Determination Act (25 U.S.C. 450f). These awards must be conducted by the recipient or contractor in accordance with the provisions of sections 4, 5, and 6 of the Act of April 16, 1934, that are relevant to the projects administered <PRTPAGE P="20"/>under this part. Section 4 contains requirements pertaining to submission of an education plan by a contractor. Section 5 pertains to participation of parents of Indian children. Section 6 pertains to reimbursement for educating non-resident students.</P> <P>(b) Grants to Bureau-funded schools are not subject to the requirements of the Indian Self-Determination Act or the Act of April 16, 1934.</P> <SECAUTH>(Authority: 20 U.S.C. 2313 (b)(1)(A)(ii)(I) and (II))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 401.31</SECTNO> <SUBJECT>What are the evaluation requirements?</SUBJECT> <P>(a) Each grantee shall annually provide and budget for either an internal or external evaluation, or both, of its activities.</P> <P>(b) The evaluation must be both formative and summative in nature.</P> <P>(c) The annual evaluation must include—</P> <P>(1) Descriptions and analyses of the accuracy of records and the validity of measures used by the project to establish and report on the academic and vocational competencies demonstrated and the academic and work credentials acquired;</P> <P>(2) Descriptions and analyses of the accuracy of records and the validity of measures used by the project to establish and report on participant enrollment, completion, and placement by sex and socio-economic status for each occupation for which training has been provided;</P> <P>(3) The grantee's progress in achieving the objectives in its approved application, including any approved revisions of the application;</P> <P>(4) If applicable, actions taken by the grantee to address significant barriers impeding progress; and</P> <P>(5) The effectiveness of the project in promoting key elements for participants’ job readiness, including—</P> <P>(i) Coordination of services;</P> <P>(ii) Improved attendance rates; and</P> <P>(iii) Improved basic and vocational skills competencies.</P> <APPRO>(Approved by the Office of Management and Budget under Control Number 1830-0013)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2313(b))</SECAUTH> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 402</EAR> <HD SOURCE="HED">PART 402—NATIVE HAWAIIAN VOCATIONAL EDUCATION PROGRAM</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>402.1</SECTNO> <SUBJECT>What is the Native Hawaiian Vocational Education Program?</SUBJECT> <SECTNO>402.2</SECTNO> <SUBJECT>Who is eligible for an award?</SUBJECT> <SECTNO>402.3</SECTNO> <SUBJECT>What activities may the Secretary fund?</SUBJECT> <SECTNO>402.4</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <SECTNO>402.5</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> </SUBPART> <SUBPART> <RESERVED>Subpart B [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How does the Secretary Make an Award?</HD> <SECTNO>402.20</SECTNO> <SUBJECT>How does the Secretary evaluate an application?</SUBJECT> <SECTNO>402.21</SECTNO> <SUBJECT>What selection criteria does the Secretary use?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—What Conditions Must Be Met After an Award?</HD> <SECTNO>402.30</SECTNO> <SUBJECT>What are the evaluation requirements?</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>20 U.S.C. 2313(c), unless otherwise noted.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>57 FR 36733, Aug. 14, 1992, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 402.1</SECTNO> <SUBJECT>What is the Native Hawaiian Vocational Education Program?</SUBJECT> <P>The Native Hawaiian Vocational Education Program provides financial assistance to projects that provide vocational training and related activities for the benefit of native Hawaiians.</P> <SECAUTH>(Authority: 20 U.S.C. 2313(c))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 402.2</SECTNO> <SUBJECT>Who is eligible for an award?</SUBJECT> <P>Any organization that primarily serves and represents native Hawaiians and that is recognized by the Governor of the State of Hawaii is eligible to apply for an award under this program.</P> <SECAUTH>(Authority: 20 U.S.C. 2313(c))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 402.3</SECTNO> <SUBJECT>What activities may the Secretary fund?</SUBJECT> <P>The Secretary provides assistance through grants, contracts, or cooperative agreements to plan, conduct, and administer programs, or portions of <PRTPAGE P="21"/>programs, that provide vocational training and related activities for the benefit of native Hawaiians.</P> <SECAUTH>(Authority: 20 U.S.C. 2313(c))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 402.4</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <P>The following regulations apply to the Native Hawaiian Vocational Education Program:</P> <P>(a) The regulations in 34 CFR part 400.</P> <P>(b) The regulations in this part 402.</P> <SECAUTH>(Authority: 20 U.S.C. 2313(c))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 402.5</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> <P>The following definitions apply to the Native Hawaiian Vocational Education Program:</P> <P>(a) The definitions in 34 CFR 400.4 apply to this part.</P> <P>(b) The following definition also applies to this part:</P> <P> <E T="03">Native Hawaiian</E> means any individual who has any ancestors who were natives, prior to 1778, of the area that now comprises the State of Hawaii.</P> <SECAUTH>(Authority: 20 U.S.C. 2313(a)(1)(B))</SECAUTH> </SECTION> </SUBPART> <SUBPART> <RESERVED>Subpart B [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does the Secretary Make an Award?</HD> <SECTION> <SECTNO>§ 402.20</SECTNO> <SUBJECT>How does the Secretary evaluate an application?</SUBJECT> <P>(a) The Secretary evaluates an application for a grant or cooperative agreement on the basis of the criteria in § 402.21.</P> <P>(b) The Secretary may award up to 100 points, including a reserved 15 points to be distributed in accordance with paragraph (d) of this section, based on the criteria in § 402.21.</P> <P>(c) Subject to paragraph (d) of this section, the maximum possible points for each criterion is indicated in parentheses after the heading for each criterion.</P> <P>(d) For each competition, as announced in a notice published in the <E T="04">Federal Register,</E> the Secretary may assign the reserved 15 points among the criteria in § 402.21.</P> <SECAUTH>(Authority: 20 U.S.C. 2313(c))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 402.21</SECTNO> <SUBJECT>What selection criteria does the Secretary use?</SUBJECT> <P>The Secretary uses the following selection criteria to evaluate an application:</P> <P>(a) <E T="03">Program design.</E> (35 points) The Secretary reviews each application to determine the extent to which—</P> <P>(1) The application presents a complete program design, including identifying the services to be provided, who will provide them, how they will be provided, and the expected outcomes for each activity;</P> <P>(2) The proposed program is designed to meet the identified vocational education needs of native Hawaiians;</P> <P>(3) The application proposes an effective plan for coordination with the office of the Hawaii State director for vocational education; and</P> <P>(4) If vocational training is proposed within the project—</P> <P>(i) Proposes measurable goals for student enrollment, completion, and placement.</P> <P>(ii) Proposes goals that take into consideration any related standards and measures developed for Job Opportunities and Basic Skills (JOBS) programs (42 U.S.C. 681 <E T="03">et seq.</E>) and any Job Training Partnership Act (JTPA) (29 U.S.C. 1501 <E T="03">et seq.</E>) programs in that geographic area;</P> <P>(iii) Proposes goals that take into consideration any standards set by the State board for vocational education for the occupation and geographic area; and</P> <P>(iv) Describes how successful program completion will be determined for each occupation for which training is to be provided, in terms of the academic and vocational competencies demonstrated by enrollees prior to successful completion and any academic or work credentials acquired upon completion.</P> <P>(b) <E T="03">Management plan.</E> (25 points) The Secretary reviews each application to determine the quality of the management plan for the project, including—</P> <P>(1) The chain of command, how staff will be managed, how coordination among staff will be accomplished, and timelines for each activity;</P> <P>(2) A clear description of the interrelationship among goals, objectives, and activities;<PRTPAGE P="22"/> </P> <P>(3) The way the applicant plans to use the resources and personnel from the grant to achieve each objective; and</P> <P>(4) How any contracts awarded by the grantee will be awarded, monitored, and evaluated.</P> <P>(c) <E T="03">Key personnel.</E> (10 points)</P> <P>(1) The Secretary reviews each application to determine the quality of key personnel the applicant plans to use on the project, including—</P> <P>(i) The qualifications of the project director;</P> <P>(ii) The qualifications of each of the other key personnel to be used on the project;</P> <P>(iii) The time, including justification for the time, that each one of the key personnel, including the project director, will commit to the proposed project; and</P> <P>(iv) How the applicant, as part of its nondiscriminatory employment practices, will ensure that personnel for this project are selected for employment without regard to race, color, national origin, gender, age, or disabling condition.</P> <P>(2) To determine personnel qualifications, the Secretary considers—</P> <P>(i) The experience and training of key personnel in project management and in fields particularly related to the objectives of the project; and</P> <P>(ii) Any other qualifications of key personnel that pertain to the quality of the project.</P> <P>(d) <E T="03">Evaluation plan.</E> (10 points)</P> <P>(1) The Secretary reviews each application to determine the quality of the project's plan for an independent evaluation of the project, including, if applicable, the extent to which the plan includes activities during the formative stages of the project to help guide and improve the project, as well as a final evaluation that includes summary data and recommendations.</P> <P>(2) The Secretary reviews each application to determine whether, for any training programs proposed—</P> <P>(i) The plan identifies, at a minimum, types of data to be collected and reported with respect to the academic and vocational competencies demonstrated by participants and the number and kinds of academic and work credentials acquired by completers; and</P> <P>(ii) The plan identifies, at a minimum, types of data to be collected and reported with respect to enrollment, completion, and placement of participants by sex and socio-economic status for each occupation for which training is provided.</P> <P>(e) <E T="03">Budget and cost-effectiveness.</E> (5 points) The Secretary reviews each application to determine the extent to which—</P> <P>(1) The budget is detailed and tied to the proposed activities;</P> <P>(2) The budget narrative is explanatory and justifies expenses;</P> <P>(3) The budget is adequate to support the project; and</P> <P>(4) Costs are reasonable in relation to the objectives of the project.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0013)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2313(c))</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—What Conditions Must Be Met After an Award?</HD> <SECTION> <SECTNO>§ 402.30</SECTNO> <SUBJECT>What are the evaluation requirements?</SUBJECT> <P>(a) Each grantee shall annually provide and budget for an external evaluation of its activities.</P> <P>(b) The evaluation must be both formative and summative in nature.</P> <P>(c) The annual evaluation must include—</P> <P>(1) The grantee's progress in achieving the objectives in its approved application, including any approved revisions of the application; and</P> <P>(2) If applicable, actions taken by the grantee to address significant barriers impeding progress when training is provided by the project, including—</P> <P>(i) Descriptions and analyses of the accuracy of records and the validity of measures used by the project to establish and report on the academic and vocational competencies demonstrated and the academic and work credentials acquired; and</P> <P>(ii) Descriptions and analyses of the accuracy of records and the validity of measures used by the project to establish and report on participant enrollment, completion, and placement by sex and socio-economic status for each <PRTPAGE P="23"/>occupation for which training has been provided.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0013)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2313(c))</SECAUTH> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 403</EAR> <HD SOURCE="HED">PART 403—STATE VOCATIONAL AND APPLIED TECHNOLOGY EDUCATION PROGRAM</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>403.1</SECTNO> <SUBJECT>What is the State Vocational and Applied Technology Education Program?</SUBJECT> <SECTNO>403.2</SECTNO> <SUBJECT>Who is eligible for an award?</SUBJECT> <SECTNO>403.3</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <SECTNO>403.4</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—What Are the State's Organizational and Planning Responsibilities?</HD> <SECTNO>403.10</SECTNO> <SUBJECT>What is the State board?</SUBJECT> <SECTNO>403.11</SECTNO> <SUBJECT>What are the principal responsibilities of the State board?</SUBJECT> <SECTNO>403.12</SECTNO> <SUBJECT>What are the additional responsibilities of the State board?</SUBJECT> <SECTNO>403.13</SECTNO> <SUBJECT>What are the personnel requirements regarding the elimination of sex discrimination and sex stereotyping?</SUBJECT> <SECTNO>403.14</SECTNO> <SUBJECT>What are the personnel requirements regarding coordination with services for individuals with disabilities?</SUBJECT> <SECTNO>403.15</SECTNO> <SUBJECT>What are the personnel requirements regarding coordination with services under chapter 1 of title I of the Elementary and Secondary Education Act?</SUBJECT> <SECTNO>403.16</SECTNO> <SUBJECT>What are the personnel requirements regarding coordination with programs for individuals of limited English proficiency?</SUBJECT> <SECTNO>403.17</SECTNO> <SUBJECT>What are the State's responsibilities regarding a State council on vocational education?</SUBJECT> <SECTNO>403.18</SECTNO> <SUBJECT>What are the membership requirements of a State council on vocational education?</SUBJECT> <SECTNO>403.19</SECTNO> <SUBJECT>What are the responsibilities of a State council on vocational education?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does a State Apply for a Grant?</HD> <SECTNO>403.30</SECTNO> <SUBJECT>What documents must a State submit to receive a grant?</SUBJECT> <SECTNO>403.31</SECTNO> <SUBJECT>How is the State plan developed?</SUBJECT> <SECTNO>403.32</SECTNO> <SUBJECT>What must the State plan contain?</SUBJECT> <SECTNO>403.33</SECTNO> <SUBJECT>What procedures does a State use to submit its State plan?</SUBJECT> <SECTNO>403.34</SECTNO> <SUBJECT>When are amendments to the State plan required?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—How Does the Secretary Make a Grant to a State?</HD> <SECTNO>403.50</SECTNO> <SUBJECT>How does the Secretary make allotments?</SUBJECT> <SECTNO>403.51</SECTNO> <SUBJECT>How does the Secretary make reallotments?</SUBJECT> <SECTNO>403.52</SECTNO> <SUBJECT>When does the Secretary approve State plans and amendments?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—What Kinds of Activities Does the Secretary Assist Under the Basic Programs?</HD> <SUBJGRP> <HD SOURCE="HED">General</HD> <SECTNO>403.60</SECTNO> <SUBJECT>What are the basic programs?</SUBJECT> <SECTNO>403.61</SECTNO> <SUBJECT>What projects, services, and activities are permissible under the basic programs?</SUBJECT> <SECTNO>403.62</SECTNO> <SUBJECT>What administrative provisions apply?</SUBJECT> <SECTNO>403.63</SECTNO> <SUBJECT>How does a State carry out the State Vocational and Applied Technology Education Program?</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">State Programs and State Leadership Activities</HD> <SECTNO>403.70</SECTNO> <SUBJECT>How must funds be used under the State Programs and State Leadership Activities?</SUBJECT> <SECTNO>403.71</SECTNO> <SUBJECT>In what additional ways may funds be used under the State Programs and State Leadership Activities?</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Single Parents, Displaced Homemakers, and Single Pregnant Women Program</HD> <SECTNO>403.80</SECTNO> <SUBJECT>Who is eligible for a subgrant or contract?</SUBJECT> <SECTNO>403.81</SECTNO> <SUBJECT>How must funds be used under the Single Parents, Displaced Homemakers, and Single Pregnant Women Program?</SUBJECT> <SECTNO>403.82</SECTNO> <SUBJECT>In what settings may the Single Parents, Displaced Homemakers, and Single Pregnant Women Program be offered?</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Sex Equity Program</HD> <SECTNO>403.90</SECTNO> <SUBJECT>Who is eligible for a subgrant or contract?</SUBJECT> <SECTNO>403.91</SECTNO> <SUBJECT>How must funds be used under the Sex Equity Program?</SUBJECT> <SECTNO>403.92</SECTNO> <SUBJECT>Under what circumstances may the age limit under the Sex Equity Program be waived?</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Programs for Criminal Offenders</HD> <SECTNO>403.100</SECTNO> <SUBJECT>What are the requirements for designating a State corrections educational agency to administer the Programs for Criminal Offenders?</SUBJECT> <SECTNO>403.101</SECTNO> <SUBJECT>How must funds be used under the Programs for Criminal Offenders?</SUBJECT> <SECTNO>403.102</SECTNO> <SUBJECT>What other requirements apply to the Program for Criminal Offenders?</SUBJECT> </SUBJGRP> <SUBJGRP> <PRTPAGE P="24"/> <HD SOURCE="HED">Secondary, Postsecondary, and Adult Vocational Education Programs</HD> <SECTNO>403.110</SECTNO> <SUBJECT>Who is eligible for a subgrant or contract?</SUBJECT> <SECTNO>403.111</SECTNO> <SUBJECT>How must funds be used under the Secondary School Vocational Education Program and the Postsecondary and Adult Vocational Education Programs?</SUBJECT> <SECTNO>403.112</SECTNO> <SUBJECT>How does a State allocate funds under the Secondary School Vocational Education Program to local educational agencies?</SUBJECT> <SECTNO>403.113</SECTNO> <SUBJECT>How does a State allocate funds under the Secondary School Vocational Education Program to area vocational education schools and intermediate educational agencies?</SUBJECT> <SECTNO>403.114</SECTNO> <SUBJECT>How does a State determine the number of economically disadvantaged students attending vocational education programs under the Secondary School Vocational Education Program?</SUBJECT> <SECTNO>403.115</SECTNO> <SUBJECT>What appeal procedures must be established under the Secondary School Vocational Education Program?</SUBJECT> <SECTNO>403.116</SECTNO> <SUBJECT>How does a State allocate funds under the Postsecondary and Adult Vocational Education Programs?</SUBJECT> <SECTNO>403.117</SECTNO> <SUBJECT>What definitions apply to the Postsecondary and Adult Vocational Education Programs?</SUBJECT> <SECTNO>403.118</SECTNO> <SUBJECT>Under what circumstances may the Secretary waive the distribution requirements for the Postsecondary and Adult Vocational Education Programs?</SUBJECT> <SECTNO>403.119</SECTNO> <SUBJECT>Under what circumstances may the State waive the distribution requirements for Secondary School Vocational Education Program or the Postsecondary and Adult Vocational Education Programs?</SUBJECT> <SECTNO>403.120</SECTNO> <SUBJECT>How does a State reallocate funds under the Secondary School Vocational Education Program and the Postsecondary and Adult Vocational Education Programs?</SUBJECT> </SUBJGRP> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—What Kinds of Activities Does the Secretary Assist Under the Special Programs?</HD> <SUBJGRP> <HD SOURCE="HED">General</HD> <SECTNO>403.130</SECTNO> <SUBJECT>What are the Special Programs?</SUBJECT> <SECTNO>403.131</SECTNO> <SUBJECT>Who is eligible for an award under the Special Programs?</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Vocational Education Support Programs by Community-Based Organizations</HD> <SECTNO>403.140</SECTNO> <SUBJECT>What activities does the Secretary support under the State Assistance for Vocational Education Support Programs by Community-Based Organizations?</SUBJECT> <SECTNO>403.141</SECTNO> <SUBJECT>What are the application requirements for the State Assistance for Vocational Education Support Programs by Community-Based Organizations?</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Consumer and Homemaking Education Programs</HD> <SECTNO>403.150</SECTNO> <SUBJECT>What activities does the Secretary support under the Consumer and Homemaking Education Programs?</SUBJECT> <SECTNO>403.151</SECTNO> <SUBJECT>How must funds be used under the Consumer and Homemaking Education Programs?</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Comprehensive Career Guidance and Counseling Programs</HD> <SECTNO>403.160</SECTNO> <SUBJECT>What activities does the Secretary support under the Comprehensive Career Guidance and Counseling Programs?</SUBJECT> <SECTNO>403.161</SECTNO> <SUBJECT>How must funds be used under the Comprehensive Career Guidance and Counseling Programs?</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Business-Labor-Education Partnership for Training Program</HD> <SECTNO>403.170</SECTNO> <SUBJECT>What activities does the Secretary support under the Business-Labor-Education Partnership for Training Program?</SUBJECT> <SECTNO>403.171</SECTNO> <SUBJECT>Who is eligible to apply to a State board for an award?</SUBJECT> <SECTNO>403.172</SECTNO> <SUBJECT>What special considerations must the State board give in approving projects, services, and activities?</SUBJECT> <SECTNO>403.173</SECTNO> <SUBJECT>What expenses are allowable?</SUBJECT> <SECTNO>403.174</SECTNO> <SUBJECT>What additional fiscal requirements apply to the Business-Labor-Education Partnership for Training Program?</SUBJECT> </SUBJGRP> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart G—What Financial Conditions Must Be Met by a State?</HD> <SECTNO>403.180</SECTNO> <SUBJECT>How must a State reserve funds for the basic programs?</SUBJECT> <SECTNO>403.181</SECTNO> <SUBJECT>What are the cost-sharing requirements applicable to the basic programs?</SUBJECT> <SECTNO>403.182</SECTNO> <SUBJECT>What is the maintenance of fiscal effort requirement?</SUBJECT> <SECTNO>403.183</SECTNO> <SUBJECT>Under what circumstances may the Secretary waive the maintenance of effort requirement?</SUBJECT> <SECTNO>403.184</SECTNO> <SUBJECT>How does a State request a waiver of the maintenance of effort requirement?</SUBJECT> <SECTNO>403.185</SECTNO> <SUBJECT>How does the Secretary compute maintenance of effort in the event of a waiver?</SUBJECT> <SECTNO>403.186</SECTNO> <SUBJECT>What are the administrative cost requirements applicable to a State?</SUBJECT> <SECTNO>403.187</SECTNO> <SUBJECT>How may a State provide technical assistance?</SUBJECT> <SECTNO>403.188</SECTNO> <SUBJECT>What is a State's responsibility for the cost of services and activities for members of special populations?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart H—What Conditions Must Be Met by Local Recipients?</HD> <SECTNO>403.190</SECTNO> <SUBJECT>What are the requirements for receiving a subgrant or contract?</SUBJECT> <SECTNO>403.191</SECTNO> <SUBJECT>What are the requirements for program evaluation?<PRTPAGE P="25"/> </SUBJECT> <SECTNO>403.192</SECTNO> <SUBJECT>What are the requirements for program improvement?</SUBJECT> <SECTNO>403.193</SECTNO> <SUBJECT>What are the information requirements regarding special populations?</SUBJECT> <SECTNO>403.194</SECTNO> <SUBJECT>What are the comparability requirements?</SUBJECT> <SECTNO>403.195</SECTNO> <SUBJECT>What are the administrative cost requirements applicable to local recipients?</SUBJECT> <SECTNO>403.196</SECTNO> <SUBJECT>What are the requirements regarding supplanting?</SUBJECT> <SECTNO>403.197</SECTNO> <SUBJECT>What are the requirements for the use of equipment?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart I—What Are the Administrative Responsibilities of a State Under the State Vocational and Applied Technology Education Program?</HD> <SECTNO>403.200</SECTNO> <SUBJECT>What are the State's responsibilities for ensuring compliance with the comparability requirements?</SUBJECT> <SECTNO>403.201</SECTNO> <SUBJECT>What are the State's responsibilities for developing and implementing a statewide system of core standards and measures of performance?</SUBJECT> <SECTNO>403.202</SECTNO> <SUBJECT>What must each State's system of core standards and measures of performance include?</SUBJECT> <SECTNO>403.203</SECTNO> <SUBJECT>What are the State's responsibilities for a State assessment?</SUBJECT> <SECTNO>403.204</SECTNO> <SUBJECT>What are the State's responsibilities for program evaluation and improvement?</SUBJECT> <SECTNO>403.205</SECTNO> <SUBJECT>What are the State's responsibilities for members of special populations?</SUBJECT> <SECTNO>403.206</SECTNO> <SUBJECT>What are the State's responsibilities regarding a State occupational information coordinating committee?</SUBJECT> <SECTNO>403.207</SECTNO> <SUBJECT>What are the State's responsibilities to the National Center or Centers for Research in Vocational Education?</SUBJECT> <SECTNO>403.208</SECTNO> <SUBJECT>What are the requirements regarding supplanting?</SUBJECT> <APP> <E T="05">Appendix A to Part 403—Examples for 34 CFR 403.111(a) and 403.111(c)(3)</E> </APP> <APP> <E T="05">Appendix B to Part 403—Examples for 34 CFR 403.194—Comparability Requirements</E> </APP> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>20 U.S.C. 2301 <E T="03">et seq</E>., unless otherwise noted.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>57 FR 36735, Aug. 14, 1992, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 403.1</SECTNO> <SUBJECT>What is the State Vocational and Applied Technology Education Program?</SUBJECT> <P>(a) Under the State Vocational and Applied Technology Education Program, the Secretary makes grants to States, to assist them, local educational agencies, postsecondary educational institutions, and other agencies and institutions to administer and conduct vocational education programs that are authorized by the Act.</P> <P>(b) The State Vocational and Applied Technology Education Program consists of the programs under the basic programs for vocational education authorized by title II of the Act and listed in § 403.60, and the special programs authorized by title III of the Act that are covered by the State plan and listed in § 403.130.</P> <SECAUTH>(Authority: 20 U.S.C. 2301 <E T="03">et seq</E>.)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.2</SECTNO> <SUBJECT>Who is eligible for an award?</SUBJECT> <P>Except as otherwise provided in § 403.131, a State is eligible for an award under the State Vocational and Applied Technology Education Program.</P> <SECAUTH>(Authority: 20 U.S.C. 2311 and 2311a)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.3</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <P>The following regulations apply to the State Vocational and Applied Technology Education Program:</P> <P>(a) The regulations in 34 CFR part 400.</P> <P>(b) The regulations in this part 403.</P> <SECAUTH>(Authority: 20 U.S.C. 2301 <E T="03">et seq</E>.)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.4</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> <P>The definitions in 34 CFR 400.4 apply to the State Vocational and Applied Technology Education Program.</P> <SECAUTH>(Authority: 20 U.S.C. 2471)</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—What Are the State's Organizational and Planning Responsibilities?</HD> <SECTION> <SECTNO>§ 403.10</SECTNO> <SUBJECT>What is the State board?</SUBJECT> <P>A State that desires to participate in the programs authorized by the Act shall, consistent with State law, designate or establish a State board of vocational education (State board). The State board must be the sole State agency responsible for the administration or the supervision of the State's vocational and applied technology education program.</P> <SECAUTH>(Authority: 20 U.S.C. 2321(a))</SECAUTH> </SECTION> <SECTION> <PRTPAGE P="26"/> <SECTNO>§ 403.11</SECTNO> <SUBJECT>What are the principal responsibilities of the State board?</SUBJECT> <P>The principal responsibilities of the State board must include—</P> <P>(a) The coordination of the development, submission, and implementation of the State plan;</P> <P>(b) The evaluation of the programs, services, and activities assisted under the Act, as required by §§ 403.32 (a)(7) and (b)(9) and 403.201 through 403.204;</P> <P>(c) The development, in consultation with the State council on vocational education, of the State plan and its submission to the Secretary, as required by §§ 403.30 through 403.34;</P> <P>(d) Consultation with the State council on vocational education and other appropriate agencies, groups, and individuals, including business, industry, and labor, involved in the planning, administration, evaluation, and coordination of programs funded under the Act;</P> <P>(e) Convening and meeting as a State board, consistent with applicable State law and procedure, when the State board determines it is necessary to meet to carry out its functions under the Act, but not less than four times annually; and</P> <P>(f) The adoption of those procedures the State board considers necessary to implement State level coordination with the State job training coordinating council in order to encourage cooperation between programs under the Act and programs under the Job Training Partnership Act (JTPA) (29 U.S.C. 1501 <E T="03">et seq</E>.).</P> <SECAUTH>(Authority: 20 U.S.C. 2321(a))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.12</SECTNO> <SUBJECT>What are the additional responsibilities of the State board?</SUBJECT> <P>(a) The State board shall make available to each private industry council established within the State under section 102 of the JTPA a current listing of all programs assisted under the Act.</P> <P>(b)(1) The State board, in consultation with the State council on vocational education established under § 403.17, shall establish a limited number of (but at least two) technical committees to advise the State council and the State board on the development of model curricula to address State labor market needs. The technical committees shall develop an inventory of skills that may be used by the State board to define state-of-the-art model curricula. This inventory must identify the type and level of knowledge and skills needed for entry, retention, and advancement in occupational areas taught in the State.</P> <P>(2) The State board shall establish procedures that are consistent with the purposes of the Act for membership, operation, and duration of the technical committees. Their membership must be composed of representatives of—</P> <P>(i) Employers from any relevant industry or occupation for which the committee is established;</P> <P>(ii) Trade or professional organizations representing any relevant occupations; and</P> <P>(iii) Organized labor, if appropriate.</P> <P>(c) Except for the functions described in § 403.11, the State board may delegate any of its other administrative, operational, or supervisory responsibilities, in whole or in part, to one or more appropriate State agencies.</P> <P>(d) The State board shall carry out the responsibilities described in §§ 403.13 through 403.18 and 403.200 through 403.208.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0030)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2321(a)(1), (f), (g))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.13</SECTNO> <SUBJECT>What are the personnel requirements regarding the elimination of sex discrimination and sex stereotyping?</SUBJECT> <P>(a) A State that desires to participate in the State Vocational and Applied Technology Education Program shall assign one individual, within the appropriate agency established or designated by the State board under § 403.12(c), to administer vocational education programs within the State, to work full-time to assist the State board to fulfill the purposes of the Act by—</P> <P>(1) Administering the program of vocational education for single parents, displaced homemakers, and single pregnant women described in § 403.81, and the sex equity program described in § 403.91;</P> <P>(2) Gathering, analyzing, and disseminating data on the—<PRTPAGE P="27"/> </P> <P>(i) Adequacy and effectiveness of vocational education programs in the State in meeting the education and employment needs of women, including the preparation of women for employment in technical occupations, new and emerging occupational fields, and occupations regarded as nontraditional for women; and</P> <P>(ii) Status of men and women students and employees in the programs described in paragraph (a)(2)(i) of this section;</P> <P>(3) Reviewing and commenting upon, and making recommendations concerning, the plans of local educational agencies, area vocational education schools, intermediate educational agencies, and postsecondary educational institutions to ensure that the needs of women and men for training in nontraditional jobs are met;</P> <P>(4)(i) Reviewing vocational educational programs, including career guidance and counseling, for sex stereotyping and sex bias, with particular attention to practices that tend to inhibit the entry of women in high technology occupations; and</P> <P>(ii) Submitting recommendations, to the State board for inclusion in the State plan, for programs and policies to overcome sex bias and sex stereotyping in the programs described in paragraph (a)(4)(i) of this section;</P> <P>(5) Submitting to the State board an assessment of the State's progress in meeting the purposes of the Act with regard to overcoming sex discrimination and sex stereotyping;</P> <P>(6) Reviewing proposed actions on grants, contracts, and the policies of the State board to ensure that the needs of women are addressed in the administration of the Act;</P> <P>(7) Developing recommendations for programs of information and outreach to women concerning vocational education and employment opportunities for women, including opportunities for careers as technicians and skilled workers in technical fields and new and emerging occupational fields;</P> <P>(8) Providing technical assistance and advice to local educational agencies, postsecondary institutions, and other interested parties in the State on expanding vocational opportunities for women;</P> <P>(9) Assisting administrators, instructors, and counselors in implementing programs and activities to increase access for women, including displaced homemakers and single heads of households, to vocational education and to increase male and female students’ enrollment in nontraditional programs;</P> <P>(10) Developing an annual plan for the use of all funds available for programs described in §§ 403.81 and 403.91;</P> <P>(11) Managing the distribution of funds pursuant to §§ 403.81 and 403.91;</P> <P>(12) Monitoring the use of funds distributed to recipients under §§ 403.81 and 403.91;</P> <P>(13) Evaluating the effectiveness of programs and activities supported by funds under §§ 403.81 and 403.91;</P> <P>(14) On a competitive basis, allocating and distributing to eligible recipients or community-based organizations subgrants or contracts to carry out the Programs for Single Parents, Displaced Homemakers, and Single Pregnant Women and the Sex Equity Program;</P> <P>(15) Ensuring that each subgrant or contract awarded under the Programs for Single Parents, Displaced Homemakers, and Single Pregnant Women and the Sex Equity Program is of sufficient size, scope, and quality to be effective;</P> <P>(16) Developing procedures for the collection from eligible recipients or community-based organizations that receive funds under §§ 403.81 and 403.91 of data appropriate to the individuals served in programs under §§ 403.81 and 403.91 in order to permit an evaluation of effectiveness of those programs as required by paragraph (a)(13) of this section; and</P> <P>(17) Cooperating in the elimination of sex bias and sex stereotyping in Consumer and Homemaking Education Programs.</P> <P>(b) A State shall, in accordance with § 403.180(b)(4)(i), reserve at least $60,000 to carry out the provisions of paragraph (a) of this section, including the provision of necessary and reasonable staff support.</P> <P>(c) For the purposes of this section, the term “State” includes only the <PRTPAGE P="28"/>fifty States and the District of Columbia.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0030)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2312(a)(4)(A), 2321(b), 2335b, 2362(a)(3))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.14</SECTNO> <SUBJECT>What are the personnel requirements regarding coordination with services for individuals with disabilities?</SUBJECT> <P>(a) A State desiring to participate in programs authorized by the Act shall designate or assign the head of the State office responsible for administering part B of the Individuals with Disabilities Education Act (IDEA) (20 U.S.C. 1400 <E T="03">et seq</E>.) to review the implementation of the provisions of the Act as they relate to students with disabilities by reviewing all or a representative sample of applications of eligible recipients to ensure that—</P> <P>(1) Individuals with disabilities are receiving vocational educational services;</P> <P>(2) Applications of the eligible recipients provide assurances of compliance with the requirements of section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794) and the IDEA and regulations implementing those statutes, regarding equal access to programs; and</P> <P>(3) Eligible recipients have—</P> <P>(i) Identified the number of students with disabilities enrolled in the eligible recipients’ vocational programs;</P> <P>(ii) Assessed the vocational needs of those students; and</P> <P>(iii) Developed an adequate plan to provide supplementary services sufficient to meet the needs of those students.</P> <P>(b) For the purposes of this section, the term “State” includes only the fifty States, the District of Columbia, and the Commonwealth of Puerto Rico.</P> <SECAUTH>(Authority: 20 U.S.C. 2321(c))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.15</SECTNO> <SUBJECT>What are the personnel requirements regarding coordination with services under chapter 1 of title I of the Elementary and Secondary Education Act?</SUBJECT> <P>(a) A State desiring to participate in programs authorized by the Act shall designate or assign the head of the State office or other appropriate individual responsible for coordinating services under chapter 1 of title I of the Elementary and Secondary Education Act of 1965, as amended (chapter 1) (20 U.S.C. 2701 <E T="03">et seq</E>.) to review all or a representative sample of applications from eligible recipients to ensure that—</P> <P>(1) The number of economically disadvantaged students has been identified; and</P> <P>(2) The needs of economically disadvantaged students are being met as outlined in the applications of eligible recipients.</P> <P>(b) For the purposes of this section, the term “State” includes only the fifty States, the District of Columbia, and the Commonwealth of Puerto Rico.</P> <SECAUTH>(Authority: 20 U.S.C. 2321 (c) and (d))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.16</SECTNO> <SUBJECT>What are the personnel requirements regarding coordination with programs for individuals of limited English proficiency?</SUBJECT> <P>(a) A State desiring to participate in programs authorized by the Act shall designate or assign the head of the State office or other appropriate individual responsible for administering programs for students of limited English proficiency to review all or a representative sample of applications from eligible recipients to ensure that—</P> <P>(1) The number of students of limited English proficiency has been identified; and</P> <P>(2) The needs of students of limited English proficiency for participation in vocational education programs are being met as outlined in the applications of eligible recipients.</P> <P>(b) For the purposes of this section, the term “State” includes only the fifty States, the District of Columbia, and the Commonwealth of Puerto Rico.</P> <SECAUTH>(Authority: 20 U.S.C. 2321 (c) and (e))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.17</SECTNO> <SUBJECT>What are the State's responsibilities regarding a State council on vocational education?</SUBJECT> <P>(a) A State desiring to participate in the State Vocational and Applied Technology Education Program shall establish a State council on vocational education. The State council must be appointed—</P> <P>(1) By the Governor; or<PRTPAGE P="29"/> </P> <P>(2) By the State board of education, in a State in which the members of the State board of education are elected, including election by the State legislature.</P> <P>(b) Each State shall certify to the Secretary the establishment and membership of the State council by June 1 prior to the beginning of each State plan period described in § 403.30.</P> <P>(c) Each State shall recertify to the Secretary any new member of the State council not more than 60 days after a position on the State council is vacated.</P> <SECAUTH>(Authority: 20 U.S.C. 2322 (a), (b))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.18</SECTNO> <SUBJECT>What are the membership requirements of a State council on vocational education?</SUBJECT> <P>(a) Each State council must be composed of 13 individuals, and must be broadly representative of citizens and groups within the State having an interest in vocational education.</P> <P>(b) Each State council must consist of—</P> <P>(1) Seven individuals who are representative of the private sector in the State and who must constitute a majority of the membership—</P> <P>(i) Five of whom must be representatives of business, industry, trade organizations, and agriculture including—</P> <P>(A) One member who is representative of small business concerns; and</P> <P>(B) One member who is a private sector member of the State job training coordinating council established pursuant to section 122 of the JTPA; and</P> <P>(ii) Two of whom must be representatives of labor organizations; and</P> <P>(2) Six individuals, one of whom must be representative of special education, who are representative of—</P> <P>(i) Secondary and postsecondary vocational institutions (equitably distributed among those institutions);</P> <P>(ii) Career guidance and counseling organizations within the State; and</P> <P>(iii) Individuals who have special knowledge and qualifications with respect to the special educational and career development needs of special populations, including women, disadvantaged individuals, individuals with disabilities, individuals with limited English proficiency, and minorities.</P> <P>(c) The State council may include members of vocational student organizations and school boards but may not include employees of the State board of vocational education.</P> <P>(d) In selecting individuals to serve on the State council on vocational education, the State shall give due consideration to the appointment of individuals who serve on a private industry council under the JTPA, or on State councils established under other related Federal programs.</P> <SECAUTH>(Authority: 20 U.S.C. 2322(a))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.19</SECTNO> <SUBJECT>What are the responsibilities of a State council on vocational education?</SUBJECT> <P>(a)(1) The State council on vocational education shall meet as soon as practical after the Secretary accepts its certification and shall select from among its membership a chairperson who must be a representative of the private sector.</P> <P>(2) The State council on vocational education shall adopt rules that govern the time, place, and manner of meeting, as well as council operating procedures and staffing. The rules must provide for at least one public meeting each year at which the public is given an opportunity to express views concerning the vocational education program of the State.</P> <P>(b) Each State council on vocational education, during each State plan period described in § 403.30 unless otherwise indicated in the regulations in this section, shall—</P> <P>(1) Meet with the State board or its representatives to advise on the development of the subsequent State plan, or any amendments to the current State plan, while the State plan or amendment is being developed;</P> <P>(2) Make recommendations to the State board and make reports to the Governor, the business community, and general public of the State, concerning—</P> <P>(i) The State plan;</P> <P>(ii) Policies the State should pursue to strengthen vocational education, with particular attention to programs for individuals with disabilities; and</P> <P>(iii) Initiatives and methods the private sector could undertake to assist in <PRTPAGE P="30"/>the modernization of vocational education programs;</P> <P>(3) Analyze and report on the distribution of all vocational education funds in the State and on the availability of vocational education activities and services within the State;</P> <P>(4) Consult with the State board on the establishment of evaluation criteria for vocational education programs within the State;</P> <P>(5) Submit recommendations to the State board on the conduct of vocational education programs conducted in the State that emphasize the use of business concerns and labor organizations;</P> <P>(6) Assess and report on the distribution of financial assistance under the Act, particularly the distribution of financial assistance between secondary vocational education programs and postsecondary vocational education programs;</P> <P>(7) Recommend procedures to the State board to ensure and enhance the participation of the public in the provision of vocational education at the local level within the State, particularly the participation of local employers and local labor organizations;</P> <P>(8) Report to the State board on the extent to which individuals who are members of special populations are provided with equal access to quality vocational education programs;</P> <P>(9) Analyze and review corrections education programs; and</P> <P>(10)(i) At least once every two years—</P> <P>(A) Evaluate the extent to which vocational education, employment, and training programs in the State represent a consistent, integrated, and coordinated approach to meeting the economic needs of the State;</P> <P>(B) Evaluate the vocational education program delivery system assisted under the Act, and the job training program delivery system assisted under the JTPA, in terms of the delivery systems’ adequacy and effectiveness in achieving the purposes of both Acts; and</P> <P>(C) Make recommendations to the State board on the adequacy and effectiveness of the coordination that takes place between vocational education and the JTPA;</P> <P>(ii) Comment on the adequacy or inadequacy of State action in implementing the State plan;</P> <P>(iii) Make recommendations to the State board on ways to create greater incentives for joint planning and collaboration between the vocational education system and the job training system at the State and local levels; and</P> <P>(iv) Advise, in writing, the Governor, the State board, the State job training coordinating council, the Secretary, and the Secretary of Labor of these findings and recommendations.</P> <P>(c)(1) Each State council on vocational education may—</P> <P>(i) Obtain the services of the professional, technical, and clerical personnel necessary to enable it to carry out its functions under the Act;</P> <P>(ii) Contract for the services necessary to enable it to carry out its evaluation functions; and</P> <P>(iii) Submit a statement to the Secretary reviewing and commenting upon the State plan.</P> <P>(2)(i) The expenditure of funds awarded to a State council on vocational education by the Secretary must be solely determined by that State council and may not be diverted or reprogrammed for any other purpose by any State board, agency, or individual.</P> <P>(ii) Each State council on vocational education shall designate an appropriate State agency, or other public agency, eligible to receive funds under the Act, to act as its fiscal agent for purposes of disbursement, accounting, and auditing.</P> <P>(3) Each State council on vocational education shall carry out its functions, whether directly or by way of contract for services, independent of programmatic and administrative control by other State boards, agencies, and individuals.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0030)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2322(c)-(e) and (f)(2); 2323(c))</SECAUTH> </SECTION> </SUBPART> <SUBPART> <PRTPAGE P="31"/> <HD SOURCE="HED">Subpart C—How Does A State Apply for a Grant?</HD> <SECTION> <SECTNO>§ 403.30</SECTNO> <SUBJECT>What documents must a State submit to receive a grant?</SUBJECT> <P>(a) A State that desires to participate in the State Vocational and Applied Technology Education Program shall submit to the Secretary a State plan for a three-year period, in the case of the initial plan, and a two-year period thereafter, together with annual revisions the State board determines to be necessary.</P> <P>(b) Each State shall carry out its programs under the State Vocational and Applied Technology Education Program on the basis of program years that coincide with program years under section 104(a) of the JTPA.</P> <P>(c) The provisions of 34 CFR 76.103 do not apply to the State Vocational and Applied Technology Education Program.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0029)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2323)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.31</SECTNO> <SUBJECT>How is the State plan developed?</SUBJECT> <P>(a) In formulating the State plan, and any amendments to the State plan, the State board shall meet with, and utilize, the State council on vocational education established under § 403.17.</P> <P>(b) After providing appropriate and sufficient notice to the public, the State board shall conduct at least two public hearings in the State for the purpose of affording all segments of the public and interested organizations and groups an opportunity to present their views and make recommendations regarding the State plan.</P> <P>(c) A State shall provide public notice of hearings on the State plan at least 30 days prior to the hearings.</P> <P>(d) In developing a State plan, the State shall conduct an assessment according to § 403.203.</P> <P>(e) The State board shall develop the portion of each State plan relating to the amount and uses of any funds proposed to be reserved for adult education, postsecondary education, tech-prep education, and secondary education after consultation with the State agency responsible for supervision of community colleges, technical institutes, or other two-year postsecondary institutions primarily engaged in providing postsecondary vocational education and the State agency responsible for secondary education. If a State agency finds that a portion of the final State plan is objectionable, that agency shall file its objections with the State board.</P> <P>(f) The State board shall, in developing the State plan, take into consideration the relative training and retraining needs of secondary, adult, and postsecondary students.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0029)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2323(a)(2) and 2324(a))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.32</SECTNO> <SUBJECT>What must the State plan contain?</SUBJECT> <P>(a) <E T="03">Assurances.</E> To participate in the programs authorized under the State Vocational and Applied Technology Program, the State shall, in its State plan, provide assurances that —</P> <P>(1) The State board will comply with the applicable requirements of titles I, II, III, and V of the Act and regulations implementing those requirements (including the maintenance of fiscal effort requirement in § 403.182);</P> <P>(2) Eligible recipients will comply with the requirements of titles I, II, III, and V of the Act and the regulations implementing those requirements;</P> <P>(3) The State board will develop measurable goals and accountability measures for meeting the needs of individuals who are members of special populations;</P> <P>(4) The State board will conduct adequate monitoring of projects, services, and activities conducted by eligible recipients to ensure that the eligible recipients are meeting the goals described in paragraph (a)(3) of this section;</P> <P>(5) To the extent consistent with the number and location of individuals who are members of special populations enrolled in private secondary schools, the State will provide for the participation of those individuals in the vocational education projects, services, and activities assisted under §§ 403.112 and 403.113;</P> <CROSSREF> <PRTPAGE P="32"/> <HD SOURCE="HED">Cross-Reference:</HD> <P>See 34 CFR 76.650-76.662, Participation of Students Enrolled in Private Schools.</P> </CROSSREF> <P>(6) The State will comply with the provisions of § 403.180, and will distribute all of the funds reserved for the Secondary School Vocational Education Program and the Postsecondary and Adult Vocational Education Programs to eligible recipients pursuant to §§ 403.112, 403.113, and 403.116;</P> <P>(7) The State will develop and implement a system of standards for performance and measures of performance for vocational education programs at the State level that meets the requirements of §§ 403.201 and 403.202;</P> <P>(8) In the use of funds available for programs for single parents, displaced homemakers, or single pregnant women under § 403.81, the State will—</P> <P>(i) Emphasize assisting individuals with the greatest financial need; and</P> <P>(ii) Give special consideration to displaced homemakers who, because of divorce, separation, or the death or disability of a spouse, must prepare for paid employment;</P> <P>(9) The State will furnish relevant training and vocational education activities to men and women who desire to enter occupations that are not traditionally associated with their sex;</P> <P>(10) The State will fund programs of personnel development and curriculum development to further the goals identified in the State plan;</P> <P>(11) The State has thoroughly assessed the vocational education needs of identifiable segments of the population in the State that have the highest rates of unemployment, and those needs are reflected in and addressed by the State plan;</P> <P>(12) The State board will cooperate with the State council in carrying out the Board's duties under the State plan;</P> <P>(13) None of the funds expended under the Act will be used to acquire equipment (including computer software) in any instance in which that acquisition results in a direct financial benefit to any organization representing the interests of the purchasing entity or its employees or any affiliate of such an organization;</P> <P>(14) State and local funds will be used in the schools of each local educational agency that are receiving funds under the Act to provide services that, taken as a whole, are at least comparable to services being provided in schools in those agencies that are not receiving funds under the Act;</P> <CROSSREF> <HD SOURCE="HED">Cross-Reference:</HD> <P>See §§ 403.194 and 403.200.</P> </CROSSREF> <P>(15)(i) The State board will provide leadership (qualified by experience and knowledge in guidance and counseling), supervision, and resources for comprehensive career guidance, vocational counseling, and placement programs; and</P> <P>(ii) As a component of the assurances described in paragraph (a)(15)(i) of this section, the State board will annually assess and include in the State plan a report on the degree to which expenditures aggregated within the State for career guidance and vocational counseling from allotments under title II of the Act are not less than expenditures for guidance and counseling within the State under the Carl D. Perkins Vocational Education Act in Fiscal or Program Year 1988;</P> <SECAUTH>(Authority: H.R. Rep. No. 660, 101st Cong., 1st Sess. 111 (1990))</SECAUTH> <P>(16) The State will provide for such fiscal control and fund accounting procedures as may be necessary to ensure the proper disbursement of, and accounting for, Federal funds paid to the State, including those funds paid by the State to eligible recipients under the Act;</P> <P>(17) Funds made available under title II of the Act will be used to supplement, and to the extent practicable increase, the amount of State and local funds that would in the absence of those Federal funds be made available for the uses specified in the State plan and the local application, and in no case supplant those State or local funds;</P> <CROSSREF> <HD SOURCE="HED">Cross-Reference:</HD> <P>See §§ 403.196 and 403.208.</P> </CROSSREF> <P>(18) Individuals who are members of special populations will be provided with equal access to recruitment, enrollment, and placement activities;</P> <P>(19) Individuals who are members of special populations will be provided with equal access to the full range of <PRTPAGE P="33"/>vocational education programs available to individuals who are not members of special populations, including occupationally specific courses of study, cooperative education, apprenticeship programs, and, to the extent practicable, comprehensive career guidance and counseling services, and will not be discriminated against on the basis of their status as members of special populations;</P> <P>(20) Vocational education programs and activities for individuals with disabilities will be provided in the least restrictive environment in accordance with section 612(5)(B) of the IDEA and will, if appropriate, be included as a component of the individualized education program developed under section 614(a)(5) of that Act;</P> <P>(21) Students with disabilities who have individualized education programs developed under section 614(a)(5) of the IDEA, with respect to vocational education programs, will be afforded the rights and protections guaranteed those students under sections 612, 614, and 615 of that Act;</P> <P>(22) Students with disabilities who do not have individualized education programs developed under section 614(a)(5) of the IDEA or who are not eligible to have such a program, with respect to vocational education programs, will be afforded the rights and protections guaranteed those students under section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794) and, for the purpose of the State Vocational and Applied Technology Education Programs, those rights and protections will include making vocational education programs readily accessible to eligible individuals with disabilities through the provision of services described § 403.190(b)(3);</P> <P>(23) Vocational education planning for individuals with disabilities will be coordinated among appropriate representatives of vocational education, special education, and State vocational rehabilitation agencies;</P> <P>(24) The provision of vocational education to each student with disabilities will be monitored to determine if that education is consistent with the individualized education program developed for the student under section 614(a)(5) of the IDEA, in any case in which an individualized education program exists;</P> <P>(25) The provision of vocational education will be monitored to ensure that disadvantaged students and students of limited English proficiency have access to that education in the most integrated setting possible;</P> <P>(26)(i) The requirements of the Act relating to individuals who are members of special populations—</P> <P>(A) Will be carried out under the general supervision of individuals in the appropriate State educational agency or State board who are responsible for students who are members of special populations; and</P> <P>(B) Will meet education standards of the State educational agency or State board;</P> <P>(ii) With respect to students with disabilities, the supervision carried out under paragraph (a)(26)(i) of this section will be carried out consistent with, and in conjunction with, supervision by the State educational agency or State board carried out under section 612(6) of the IDEA;</P> <P>(27) Funds received under the Business-Labor-Education Partnership for Training Program will be awarded on a competitive basis solely for vocational education programs, including programs that—</P> <P>(i) Provide apprenticeships and internships in industry;</P> <P>(ii) Provide new equipment;</P> <P>(iii) Provide teacher internships or teacher training;</P> <P>(iv) Bring representatives of business and organized labor into the classroom;</P> <P>(v) Increase the access to, and quality of, programs for individuals who are members of special populations;</P> <P>(vi) Strengthen coordination between vocational education programs and the labor and skill needs of business and industry;</P> <P>(vii) Address the economic development needs of the area served by the partnership;</P> <P>(viii) Provide training and career counseling that will enable workers to retain their jobs;</P> <P>(ix) Provide training and career counseling that will enable workers to upgrade their jobs; and<PRTPAGE P="34"/> </P> <P>(x) Address the needs of new and emerging industries, particularly industries in high-technology fields;</P> <P>(28) In administering the Business-Labor-Education Partnership for Training Program, the State board will—</P> <P>(i) Give preference to partnerships that coordinate with local chambers of commerce (or the equivalent), local labor organizations, or local economic development plans;</P> <P>(ii) Give priority to programs offered by partnerships that provide job training in areas or skills where there are significant labor shortages; and</P> <P>(iii) Ensure an equitable distribution of assistance under this part between urban and rural areas;</P> <P>(29) Except as provided in paragraph (a)(30) of this section, not less than 50 percent of the aggregate cost of programs and projects assisted under the Business-Labor-Education Partnership for Training Program will be provided from non-Federal sources, and not less than 50 percent of the non-Federal share will be provided by businesses or labor organizations participating in the partnerships; and</P> <P>(30) In the event that a partnership includes a small business or labor organization, 40 percent of the aggregate cost of the programs and projects assisted under the Business-Labor-Education Partnership for Training Program will be provided from non-Federal sources and not less than 50 percent of the non-Federal share will be provided by participating business or labor organizations.</P> <P>(b) <E T="03">Descriptions.</E> To participate in programs authorized under the State Vocational and Applied Technology Education Program, the State must include the following descriptions in the State plan:</P> <P>(1) The procedures and criteria for, and the results of, each of the assessments required by § 403.203, including the needs identified by the assessments.</P> <P>(2) The plans for the use of the funds and how those planned uses reflect the needs described in paragraph (b)(1) of this section.</P> <P>(3) The manner in which the State will comply with the requirements in the Act regarding access and services for individuals who are members of special populations and a description of the responsiveness of programs to the special needs of those students.</P> <P>(4) The estimated distribution, for each instructional level—secondary, postsecondary, and adult—of funds to corrections educational agencies as prescribed by § 403.100, of funds to local educational agencies, area vocational education schools, or intermediate educational agencies as prescribed by §§ 403.112 and 403.113, and of funds to eligible institutions or consortia of eligible institutions as prescribed by § 403.116.</P> <P>(5) The criteria the State board will use —</P> <P>(i) In approving applications of eligible recipients; and</P> <P>(ii) For spending the amounts reserved for the State under § 403.180(b).</P> <P>(6) How funds expended for occupationally specific training will be used for occupations in which job openings are projected or available, based on a labor market analysis that is not limited to the area in which the school is located.</P> <SECAUTH>(Authority: H.R. Rep. No. 660, 101st Cong., 1st Sess. 109 (1990))</SECAUTH> <P>(7) In each State plan submitted after Fiscal Year 1991, the progress the State has made in achieving the goals described in previous State plans.</P> <P>(8) The methods of administration necessary for the prompt and efficient administration of programs under the Act.</P> <P>(9) How the State will implement program evaluations with eligible recipients as prescribed in §§ 403.191, 403.192, 403.201(a) (3) and (4), and 403.204.</P> <P>(10) The methods proposed for the joint planning and coordination of programs carried out under the Act with programs conducted under the JTPA, the Adult Education Act (20 U.S.C. 1201 <E T="03">et seq.</E>), chapter 1, the IDEA, and the Rehabilitation Act of 1973, and with apprenticeship programs.</P> <P>(11) Procedures by which an area vocational educational school, intermediate educational agency, or local educational agency may appeal decisions adverse to its interests with respect to programs assisted under the Act.</P> <CROSSREF> <PRTPAGE P="35"/> <HD SOURCE="HED">Cross-Reference:</HD> <P>See 34 CFR 76.401.</P> </CROSSREF> <P>(12) How the State will comply with the provisions of §§ 403.32(a)(18)-(26), 403.115, and 403.205.</P> <P>(13) The State's rationale for distribution of funds under the Secondary School Vocational Education Program and the Postsecondary and Adult Vocational Education Programs.</P> <P>(14) The State corrections educational agency or agencies designated to administer vocational education programs assisted under the Act, and the plan for the use of funds provided under § 403.180(b)(5).</P> <P>(15) Any delegation of functions under § 403.12(c).</P> <P>(16) The manner in which the State board will comply with the applicable requirements of titles I, II, III, and V of the Act (including the maintenance of fiscal effort requirements in § 403.182).</P> <P>(17) A summary of recommendations made at public hearings on the State plan and the State board's response.</P> <P>(18) How the State will determine which LEAs are located in a rural sparsely-populated area for purposes of § 403.112(d)(3).</P> <P>(19) Which indices of economic status the State will use to determine the number of economically disadvantaged students attending vocational educational programs for the purposes of § 403.114.</P> <P>(20) What method the State will use to distribute minimal amounts for the purpose of § 403.119(a).</P> <P>(21) As appropriate, what method the State will use to distribute funds under § 403.118.</P> <P>(c) <E T="03">Consultations.</E> A State desiring to participate in the State Vocational and Applied Technology Education Program shall include in its State plan—</P> <P>(1) A statement, if any, from the State advisory council on vocational education reviewing and commenting on the State plan;</P> <P>(2) As necessary, the State's reasons for not accepting the recommendations of the State Committee of Practitioners for modifying standards and measures to be used in the statewide system of core standards and measures of performance; and</P> <P>(3) As necessary, the State's response to any objections raised by State agencies consulted during the development of the State plan as required by § 403.31(e).</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0029)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2321(a)(2); 2322(e); 2323(a)(2)(B), (b); 2324(a); 2325(a), (d)(3); 2328(a); 2336(a)(1); 2341(b)(2), (d)(3); 2341b(a); 2392(b); 2463; and 2468e(a)(1))</SECAUTH> <CITA>[57 FR 36735, Aug. 14, 1992, as amended at 59 FR 38512, July 28, 1994]</CITA> </SECTION> <SECTION> <SECTNO>§ 403.33</SECTNO> <SUBJECT>What procedures does a State use to submit its State plan?</SUBJECT> <P>(a)(1) The State board shall submit its State plan for review and comment to the State job training coordinating council under section 122 of the JTPA not less than sixty days before the State plan is submitted to the Secretary.</P> <P>(2) If the matters raised by the comments of the State job training coordinating council are not addressed in the State plan, the State board shall submit those comments to the Secretary with the State plan.</P> <P>(b) The State board shall submit its State plan for review and comment to the State council on vocational education not less than sixty days before the State plan is submitted to the Secretary.</P> <CROSSREF> <HD SOURCE="HED">Cross-Reference:</HD> <P>See § 403.19(c)(1)(iii).</P> </CROSSREF> <P>(c) Each State plan must be submitted to the Secretary by May 1 preceding the beginning of the first fiscal year for which the plan is to be in effect.</P> <P>(d) The State plan is considered to be the general application required by section 435 of the General Education Provisions Act (20 U.S.C. 1232d).</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0029)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2322(d)(1) and (2)(A), (e); 2323(a)(2)(A); and 2324(b))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.34</SECTNO> <SUBJECT>When are amendments to the State plan required?</SUBJECT> <P>The State board, in consultation with the State council, shall submit amendments to the State plan to the Secretary when required by 34 CFR 76.140 or when changes in program conditions, labor market conditions, funding, or other factors require substantial amendment of an approved State <PRTPAGE P="36"/>plan. All amendments must be submitted for review by the State job training coordinating council and the State council on vocational education before submittal to the Secretary.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0029)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2323(c))</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—How Does the Secretary Make a Grant to a State?</HD> <SECTION> <SECTNO>§ 403.50</SECTNO> <SUBJECT>How does the Secretary make allotments?</SUBJECT> <P>(a)(1) From funds made available under section 3(c) of the Act for the basic programs listed in § 403.60, and under section 3(d) of the Act for the special programs listed in § 403.130, the Secretary allots funds each fiscal year according to the provisions of section 101 of the Act to the 50 States, the Commonwealth of Puerto Rico, the District of Columbia, and the Virgin Islands.</P> <P>(2) Upon approval of its State plan and any annual amendments, the Secretary makes one or more grant awards from those allotments to a State.</P> <P>(b)(1) From funds made available under sections 3(b)(2) of the Act, the Secretary allots funds each fiscal year for State councils on vocational education according to the provisions of section 112(f)(1) of the Act.</P> <P>(2) The Secretary makes an award to a State council upon the State council's submission of an annual budget covering the proposed expenditures of the State council for the following program year, and when the Secretary has determined that the State plan is in substantially approvable form.</P> <P>(c) From funds made available under section 3(b)(1)(B) of the Act for the territories, the Secretary allots funds each fiscal year according to the provisions of section 101A(a) of the Act.</P> <P>(d)(1) The Secretary awards funds remaining after allotments are made under paragraph (c) of this section to the Center for the Advancement of Pacific Education (CAPE) or its successor entity, such as the Pacific Regional Educational Laboratory.</P> <P>(2) CAPE or its successor entity shall make grants for vocational education and training in Guam, American Samoa, Palau, the Commonwealth of the Northern Marianas, the Federated States of Micronesia, and the Republic of the Marshall Islands for the purpose of providing direct educational services, including—</P> <P>(i) Teacher and counselor training and retraining;</P> <P>(ii) Curriculum development; and</P> <P>(iii) Improving vocational education and training programs in secondary schools and institutions of higher education (as defined in § 403.117(b)), or improving cooperative programs involving both secondary schools and institutions of higher education.</P> <P>(3) CAPE may not use more than five percent of the funds received under paragraph (d)(1) of this section for administrative costs.</P> <SECAUTH>(Authority: 20 U.S.C. 2311; 2311a; and 2461)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.51</SECTNO> <SUBJECT>How does the Secretary make reallotments?</SUBJECT> <P>(a)(1) If the Secretary determines that any amount of a State's allotment under § 403.50(a) will not be required for any fiscal year for carrying out the program for which the allotment was made, the Secretary reallots those funds to one or more States that demonstrate a current need for additional funds and the ability to use them promptly and effectively upon reallotment.</P> <P>(2) The Secretary announces in the <E T="04">Federal Register</E> the dates on which funds will be reallotted.</P> <P>(b)(1) No funds reallotted under paragraph (a) of this section may be used for any purpose other than the purposes for which they were appropriated.</P> <P>(2) Any amount reallotted to a State under paragraph (a) of this section remains available for obligation during the succeeding fiscal year and is deemed to be part of the State's allotment for the fiscal year in which the reallotted funds are obligated.</P> <SECAUTH>(Authority: 20 U.S.C. 2311(b))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.52</SECTNO> <SUBJECT>When does the Secretary approve State plans and amendments?</SUBJECT> <P>(a)(1) The Secretary approves a State plan, or an amendment to a State plan, <PRTPAGE P="37"/>within sixty days of its receipt unless the plan or amendment is—</P> <P>(i) Inconsistent with the requirements and purposes of the Act; or</P> <P>(ii) Not of sufficient quality to meet the objectives of the Act, including the objective of developing and implementing program evaluations and improvements.</P> <P>(2) Before the Secretary finally disapproves a State plan, or an amendment to a State plan, the Secretary gives reasonable notice and an opportunity for a hearing to the State board.</P> <P>(b)(1) In reviewing a State plan, or an amendment to a State plan, the Secretary considers available comments from—</P> <P>(i) The State council on vocational education;</P> <P>(ii) The State agency responsible for supervision of community colleges, technical institutes, or other two-year postsecondary institutions primarily engaged in providing postsecondary vocational education;</P> <P>(iii) The State agency responsible for secondary education;</P> <P>(iv) The State Committee of Practitioners established under 34 CFR 400.6; and</P> <P>(v) The State job training coordinating council.</P> <P>(2) In reviewing an amendment to a State plan, the Secretary considers available comments from the State job training coordinating council and the State council on vocational education.</P> <SECAUTH>(Authority: 20 U.S.C. 2323(c), 2324, and 2325(d)(3))</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—What Kinds of Activities Does the Secretary Assist Under the Basic Programs?</HD> <SUBJGRP> <HD SOURCE="HED">General</HD> <SECTION> <SECTNO>§ 403.60</SECTNO> <SUBJECT>What are the basic programs?</SUBJECT> <P>The following basic programs are authorized by title II of the Act:</P> <P>(a) State Programs and State Leadership Activities.</P> <P>(b) Programs for Single Parents, Displaced Homemakers, and Single Pregnant Women.</P> <P>(c) Sex Equity Programs.</P> <P>(d) Programs for Criminal Offenders.</P> <P>(e) Secondary School Vocational Education Programs.</P> <P>(f) Postsecondary and Adult Vocational Education Programs.</P> <SECAUTH>(Authority: 20 U.S.C. 2302)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.61</SECTNO> <SUBJECT>What projects, services, and activities are permissible under the basic programs?</SUBJECT> <P>Projects, services, and activities described in §§ 403.70, 403.71, 403.81, 403.91, 403.101, and 403.111 may include—</P> <P>(a) Work-site programs such as cooperative vocational education, programs with community-based organizations, work-study, and apprenticeship programs;</P> <P>(b) Placement services and activities for students who have successfully completed vocational education programs; and</P> <P>(c) Programs that involve students in addressing the needs of the community in the production of goods or services that contribute to the community's welfare or that involve the students with other community development planning, institutions, and enterprises.</P> <SECAUTH>(Authority: 20 U.S.C. 2468e(c))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.62</SECTNO> <SUBJECT>What administrative provisions apply?</SUBJECT> <P>(a) Any project assisted with funds made available for the basic programs must be of sufficient size, scope, and quality to give reasonable promise of meeting the vocational education needs of the students involved in the project.</P> <P>(b) Each State board receiving financial assistance for the basic programs may consider granting academic credit for vocational education courses that integrate core academic competencies.</P> <SECAUTH>(Authority: 20 U.S.C. 2468e (b) and (d))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.63</SECTNO> <SUBJECT>How does a State carry out the State Vocational and Applied Technology Education Program?</SUBJECT> <P>(a) Unless otherwise indicated in the regulations in this part, a State board shall carry out projects, services, and activities under the State Vocational and Applied Technology Education Program—</P> <P>(1) Directly;</P> <P>(2) Through a school operated by the State board;<PRTPAGE P="38"/> </P> <P>(3) Through awards to State agencies or institutions, such as vocational schools or correctional institutions; or</P> <P>(4) Through awards to eligible recipients.</P> <P>(b) For the purpose of paragraph (a) of this section, a State board acts directly if it—</P> <P>(1) Carries out projects, services, or activities using its own staff (except at a school operated by the State board); or</P> <P>(2) Contracts for statewide projects, services, or activities such as research, curriculum development, and teacher training.</P> <P>(c) The regulations in this part also authorize a State to carry out certain projects, services, and activities under the State Vocational and Applied Technology Education Program by making an award to an entity other than an eligible recipient, such as a community-based organization, employers, private vocational training institutions, private postsecondary education institutions, labor organizations, and joint labor management apprenticeship programs.</P> <P>(d) If projects, services, and activities are carried out by a school operated by the State board under paragraph (a)(2) of this section or are carried out by a State agency or institution under paragraph (a)(3) of this section, the requirements dealing with local applications (§§ 403.190 and 403.32(b)(5)(i)) apply in the same manner as to other eligible recipients.</P> <SECAUTH>(Authority: 20 U.S.C. 2323(b)(5), (6); 2335(a)(3); 2335b; 2342(c)(2)(N); and 2343)</SECAUTH> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">State Programs and State Leadership Activities</HD> <SECTION> <SECTNO>§ 403.70</SECTNO> <SUBJECT>How must funds be used under the State Programs and State Leadership Activities?</SUBJECT> <P>A State shall use funds reserved under section 102(a)(3) of the Act for the State Programs and State Leadership Activities in accordance with § 403.180(b)(3) to conduct programs, projects, services, and activities that include—</P> <P>(a) Professional development activities—</P> <P>(1) For vocational teachers and academic teachers working with vocational education students, including corrections educators and counselors and educators and counselors in community-based organizations; and</P> <P>(2) That include inservice and preservice training of teachers in programs and techniques, including integration of vocational and academic curricula, with particular emphasis on training of minority teachers;</P> <P>(b) Development, dissemination, and field testing of curricula, especially curricula that—</P> <P>(1) Integrate vocational and academic methodologies; and</P> <P>(2) Provide a coherent sequence of courses through which academic and occupational skills may be measured; and</P> <P>(c) Assessment of programs conducted with assistance under the Act including the development of—</P> <P>(1) Performance standards and measures for those programs; and</P> <P>(2) Program improvement and accountability with respect to those programs.</P> <SECAUTH>(Authority: 20 U.S.C. 2331(b))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.71</SECTNO> <SUBJECT>In what additional ways may funds be used under the State Programs and State Leadership Activities?</SUBJECT> <P>In addition to the required activities in § 403.70, a State may use funds reserved under section 102(a)(3) of the Act for the State Programs and State Leadership Activities in accordance with § 403.180(b)(3) for programs, projects, services, and activities that include—</P> <P>(a) The promotion of partnerships among business, education (including educational agencies), industry, labor, community-based organizations, or governmental agencies;</P> <P>(b) The support for tech-prep education as described in 34 CFR part 406;</P> <P>(c)(1) The support of vocational student organizations that are an integral part of the vocational education instructional program, especially with respect to efforts to increase minority participation in those organizations.</P> <P>(2) The support of vocational student organizations may include, but is not limited to, expenditures for—<PRTPAGE P="39"/> </P> <P>(i) The positions of State executive secretaries and State advisors for vocational student organizations;</P> <P>(ii) Leadership development workshops;</P> <P>(iii) The development of curriculum for vocational student organizations; and</P> <P>(iv) Field or laboratory work incidental to vocational training so long as the activity is supervised by vocational education personnel who are qualified in the occupational area and is available to all students in the instructional program without regard to membership in any student organization.</P> <P>(3) The support of vocational student organizations may not include—</P> <P>(i) Lodging, feeding, conveying, or furnishing transportation to conventions or other forms of social assemblage;</P> <P>(ii) Purchase of supplies, jackets, and other effects for students’ personal ownership;</P> <P>(iii) Cost of non-instructional activities such as athletic, social, or recreational events;</P> <P>(iv) Printing and disseminating non-instructional newsletters;</P> <P>(v) Purchase of awards for recognition of students, advisors, and other individuals; or</P> <P>(vi) Payment of membership dues;</P> <P>(d) Leadership and instructional programs in technology education; and</P> <P>(e) Data collection.</P> <SECAUTH>(Authority: 20 U.S.C. 2331(c); H.R. Rep. No. 660, 101st Cong., 1st Sess. 117 (1990))</SECAUTH> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Single Parents, Displaced Homemakers, and Single Pregnant Women Program</HD> <SECTION> <SECTNO>§ 403.80</SECTNO> <SUBJECT>Who is eligible for a subgrant or contract?</SUBJECT> <P>Eligible recipients and community-based organizations are eligible for an award under the Single Parents, Displaced Homemakers, and Single Pregnant Women Program.</P> <SECAUTH>(Authority: 20 U.S.C. 2335(a)(2), (3); 2335b(1))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.81</SECTNO> <SUBJECT>How must funds be used under the Single Parents, Displaced Homemakers, and Single Pregnant Women Program?</SUBJECT> <P>A State shall use funds reserved in accordance with § 403.180(b)(2)(i) for individuals who are single parents, displaced homemakers, or single pregnant women only to—</P> <P>(a) Provide, subsidize, reimburse, or pay for preparatory services, including instruction in basic academic and occupational skills, necessary educational materials, and career guidance and counseling services in preparation for vocational education and training that will furnish single parents, displaced homemakers, and single pregnant women with marketable skills;</P> <P>(b) Make grants to eligible recipients for expanding preparatory services and vocational education services if the expansion directly increases the eligible recipients’ capacity for providing single parents, displaced homemakers, and single pregnant women with marketable skills;</P> <P>(c) Make grants to community-based organizations for the provision of preparatory and vocational education services to single parents, displaced homemakers, and single pregnant women if the State determines that the community-based organizations have demonstrated effectiveness in providing comparable or related services to single parents, displaced homemakers, and single pregnant women, taking into account the demonstrated performance of such organizations in terms of cost, the quality of training, and the characteristics of the participants;</P> <P>(d) Make preparatory services and vocational education and training more accessible to single parents, displaced homemakers, and single pregnant women by assisting those individuals with dependent care, transportation services, or special services and supplies, books, and materials, or by organizing and scheduling the programs so that those programs are more accessible; or</P> <P>(e) Provide information to single parents, displaced homemakers, and single pregnant women to inform those individuals of vocational education programs, related support services, and career counseling.</P> <SECAUTH>(Authority: 20 U.S.C. 2335(a))</SECAUTH> </SECTION> <SECTION> <PRTPAGE P="40"/> <SECTNO>§ 403.82</SECTNO> <SUBJECT>In what settings may the Single Parents, Displaced Homemakers, and Single Pregnant Women Program be offered?</SUBJECT> <P>The programs and services described in § 403.81 may be provided in postsecondary or secondary school settings, including area vocational education schools, and community-based organizations that meet the requirements of § 403.81(c), that serve single parents, displaced homemakers, and single pregnant women.</P> <SECAUTH>(Authority: 20 U.S.C. 2335(b))</SECAUTH> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Sex Equity Program</HD> <SECTION> <SECTNO>§ 403.90</SECTNO> <SUBJECT>Who is eligible for a subgrant or contract?</SUBJECT> <P>Eligible recipients and community-based organizations are eligible for an award under the Sex Equity Program.</P> <SECAUTH>(Authority: 20 U.S.C. 2335b(1))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.91</SECTNO> <SUBJECT>How must funds be used under the Sex Equity Program?</SUBJECT> <P>Except as provided in § 403.92, each State shall use amounts reserved for the Sex Equity Program in accordance with § 403.180(b)(2)(ii) only for—</P> <P>(a) Programs, services, comprehensive career guidance and counseling, and activities to eliminate sex bias and stereotyping in secondary and postsecondary vocational education;</P> <P>(b) Preparatory services and vocational education programs, services, and activities for girls and women, aged 14 through 25, designed to enable the participants to support themselves and their families; and</P> <P>(c) Support services for individuals participating in vocational education programs, services, and activities described in paragraphs (a) and (b) of this section, including dependent-care services and transportation.</P> <SECAUTH>(Authority: 20 U.S.C. 2335a(a))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.92</SECTNO> <SUBJECT>Under what circumstances may the age limit under the Sex Equity Program be waived?</SUBJECT> <P>The individual appointed under § 403.13(a) may waive the requirement in § 403.91(b) with respect to age limitations if the individual determines (through appropriate research) that the waiver is essential to meet the objectives of § 403.91.</P> <SECAUTH>(Authority: 20 U.S.C. 2335a(b))</SECAUTH> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Programs for Criminal Offenders</HD> <SECTION> <SECTNO>§ 403.100</SECTNO> <SUBJECT>What are the requirements for designating a State corrections educational agency to administer the Programs for Criminal Offenders?</SUBJECT> <P>(a) The State Board shall designate one or more State corrections educational agencies to administer programs assisted under the Act for juvenile and adult criminal offenders in correctional institutions in the State including correctional institutions operated by local authorities.</P> <P>(b) Each State corrections educational agency that desires to be designated under paragraph (a) of this section shall submit to the State board a plan for the use of funds.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0030)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2336(a))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.101</SECTNO> <SUBJECT>How must funds be used under the Programs for Criminal Offenders?</SUBJECT> <P>In administering programs receiving funds reserved under § 403.180(b)(5) for criminal offenders, each State corrections educational agency designated under § 403.100(a) shall—</P> <P>(a) Give special consideration to providing—</P> <P>(1) Services to offenders who are completing their sentences and preparing for release; and</P> <P>(2) Grants for the establishment of vocational education programs in correctional institutions that do not have such programs;</P> <P>(b) Provide vocational education programs for women who are incarcerated;</P> <P>(c) Improve equipment; and</P> <P>(d) In cooperation with eligible recipients, administer and coordinate vocational education services to offenders before and after their release.</P> <SECAUTH>(Authority: 20 U.S.C. 2336(b))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.102</SECTNO> <SUBJECT>What other requirements apply to the Program for Criminal Offenders?</SUBJECT> <P>Each State corrections educational agency designated under § 403.100(a) <PRTPAGE P="41"/>shall meet the requirements in §§ 403.191 and 403.192.</P> <SECAUTH>(Authority: 20 U.S.C. 2471(22))</SECAUTH> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Secondary, Postsecondary, and Adult Vocational Education Programs</HD> <SECTION> <SECTNO>§ 403.110</SECTNO> <SUBJECT>Who is eligible for a subgrant or contract?</SUBJECT> <P>(a) Subject to the requirements of paragraph (c) of this section, the following entities are eligible for an award under the Secondary School Vocational Education Program:</P> <P>(1) A local educational agency.</P> <P>(2) An area vocational education school or intermediate educational agency that meets the requirements in § 403.113.</P> <P>(b) Subject to the requirements of paragraph (c) of this section, the following entities are eligible for an award under the Postsecondary and Adult Vocational Education Programs:</P> <P>(1) An institution of higher education as defined in § 403.117(b), including a nonprofit institution that satisfies the conditions set forth in § 403.111(d)(14).</P> <P>(2) A local educational agency serving adults.</P> <P>(3) An area vocational education school serving adults that offers or will offer a program that meets the requirements of § 403.111 and seeks to receive assistance under the Secondary School Vocational Education Program or the Postsecondary and Adult Vocational Education Programs.</P> <P>(c) Only an entity that provides or will provide vocational education in a program that meets the requirements of § 403.111 is eligible to receive an award under the Secondary School Vocational Education Program or the Postsecondary and Adult Vocational Education Program.</P> <SECAUTH>(Authority: 20 U.S.C. 2341(a) and (d); 2341a (a) and (d)(1); and 2342(c))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.111</SECTNO> <SUBJECT>How must funds be used under the Secondary School Vocational Education Program and the Postsecondary and Adult Vocational Education Programs?</SUBJECT> <P>(a)(1) Each eligible recipient that receives an award under § 403.112, § 403.113, or § 403.116 shall use funds under that award to improve vocational education programs.</P> <P>(2) Projects assisted with funds awarded under § 403.112, § 403.113, or § 403.116 must—</P> <P>(i) Provide for the full participation of individuals who are members of special populations by providing the supplementary and other services required by § 403.190(b) necessary for them to succeed in vocational education; and</P> <CROSSREF> <HD SOURCE="HED">Cross-Reference:</HD> <P>See appendix A to part 403 and §§ 403.190(c) and 403.193(e).</P> </CROSSREF> <P>(ii) Operate at a limited number of sites or with respect to a limited number of program areas.</P> <P>(3) If an eligible recipient that receives an award under § 403.112, § 403.113, or § 403.116 meets the requirements in this section and §§ 403.190(b) and 403.193, it may use those Federal funds to serve students who are not members of special populations.</P> <P>(b) Each eligible recipient that receives an award under § 403.112, § 403.113, or § 403.116 shall give priority for assistance under those sections to sites or program areas that serve the highest concentrations of individuals who are members of special populations. </P> <EXAMPLE> <HD SOURCE="HED">Examples:</HD> <P>Methods by which an eligible recipient may give priority to sites or program areas that serve the highest concentrations of individuals who are members of special populations include, but are not limited to, the following:</P> </EXAMPLE> <EXAMPLE> <HD SOURCE="HED">Example 1:</HD> <P> <E T="03">Method to give priority to a limited number of sites.</E> Based on data from the preceding fiscal year—</P> <P>(a) First, a local educational agency ranks each site based on the percentage of the site's total enrollment of students who are members of special populations.</P> <P>(b) Second, the local educational agency establishes a funding cut-off point for sites above the district-wide percentage of special populations enrollment. The local educational agency funds sites above the cut-off point but does not fund sites below that point.</P> </EXAMPLE> <EXAMPLE> <HD SOURCE="HED">Example 2:</HD> <P> <E T="03">Method to give priority to a limited number of program areas.</E> Based on data from the preceding fiscal year—</P> <P>(a) First, a postsecondary institution ranks each program area based on the percentage of the program area's total enrollment of students who are members of special populations.</P> <P>(b) Second, the postsecondary institution establishes a funding cut-off point for program areas that rank above the institution-<PRTPAGE P="42"/>wide average percentage of special populations enrollment. The postsecondary institution funds projects in a program area that is above the cut-off point but does not fund projects in program areas below that point.</P> </EXAMPLE> <EXAMPLE> <HD SOURCE="HED">Example 3:</HD> <P> <E T="03">Method to give priority to a limited number of sites.</E> Based on data from the preceding fiscal year—</P> <P>(a) First, an LEA or postsecondary institution identifies a site with a high concentration of special populations;</P> <P>(b) Second, the LEA or postsecondary institution identifies a program area at the site (such as health occupations) in which the participation rate for members of special populations has been lower than the overall rate of participation for members of special populations at the site; and</P> <P>(c) Third, the LEA or postsecondary institution funds a project at the site designed to improve the participation rate of members of special populations in that program area.</P> </EXAMPLE> <NOTE> <HD SOURCE="HED">Note to examples in § 403.111:</HD> <P>Absolute counts of special population members may be used to determine the sites or program areas with the highest concentrations of special population members instead of, or in combination with, percentages of special population members.</P> </NOTE> <P>(c) Funds made available from an award under § 403.112, § 403.113, or § 403.116 must be used to provide vocational education in programs that—</P> <P>(1) Are of sufficient size, scope, and quality as to be effective;</P> <P>(2) Integrate academic and vocational education in those programs through coherent sequences of courses so that students achieve both academic and occupational competencies; and</P> <P>(3) Provide for the equitable participation of members of special populations in vocational education consistent with the assurances and requirements in §§ 403.190(b) and 403.193, so that these populations have an opportunity to enter vocational education that is equal to that afforded to the general student population.</P> <CROSSREF> <HD SOURCE="HED">Cross-Reference:</HD> <P>See appendix A to part 403.</P> </CROSSREF> <P>(d) In carrying out the provisions of paragraph (c) of this section, an eligible recipient under §§ 403.112, 403.113, or § 403.116 may use funds for activities that include, but are not limited to—</P> <P>(1) Upgrading of curriculum;</P> <P>(2) Purchase of equipment, including instructional aids;</P> <P>(3) Inservice training of both vocational instructors and academic instructors working with vocational education students for integrating academic and vocational education;</P> <P>(4) Guidance and counseling;</P> <P>(5) Remedial courses;</P> <P>(6) Adaptation of equipment;</P> <P>(7) Tech-prep education programs;</P> <P>(8) Supplementary services designed to meet the needs of special populations;</P> <P>(9) Payment in whole or in part with funds under § 403.112, § 403.113, or § 403.116 for a special populations coordinator, who must be a qualified counselor or teacher, to ensure that individuals who are members of special populations are receiving adequate services and job skill training;</P> <P>(10) Apprenticeship programs;</P> <P>(11) Programs that are strongly tied to economic development efforts in the State;</P> <P>(12) Programs that train adults and students for all aspects of an occupation in which job openings are projected or available;</P> <P>(13) Comprehensive mentor programs in institutions of higher education offering comprehensive programs in teacher preparation, which seek to use fully the skills and work experience of individuals currently or formerly employed in business and industry who are interested in becoming classroom instructors and to meet the need of vocational educators who wish to upgrade their teaching competencies; or</P> <P>(14) Provision of education and training through arrangements with private vocational training institutions, private postsecondary educational institutions, employers, labor organizations, and joint labor-management apprenticeship programs if those institutions, employers, labor organizations, or programs can make a significant contribution to obtaining the objectives of the State plan and can provide substantially equivalent training at a lesser cost, or can provide equipment or services not available in public institutions.</P> <SECAUTH>(Authority: 20 U.S.C. 2342)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.112</SECTNO> <SUBJECT>How does a State allocate funds under the Secondary School Vocational Education Program to local educational agencies?</SUBJECT> <P>(a) <E T="03">Reservation of funds.</E> From the portion of its allotment under <PRTPAGE P="43"/>§ 403.180(b)(1) for the basic programs, each fiscal year a State may reserve funds for the Secondary School Vocational Education Program.</P> <P>(b) <E T="03">General rule.</E> Except as provided in paragraphs (c) and (d) of this section and § 401.119, a State shall distribute funds reserved for the Secondary School Vocational Education Program to local educational agencies (LEAs) according to the following formula:</P> <P>(1) From 70 percent of the amount reserved, an LEA must be allocated an amount that bears the same relationship to the 70 percent as the amount the LEA was allocated under section 1005 of chapter 1 (20 U.S.C. 2711) in the fiscal or program year preceding the fiscal or program year in which the allocation is made bears to the total amount received under section 1005 of chapter 1 by all LEAs in the State in that preceding year.</P> <P>(2) From 20 percent of the amount reserved, an LEA must be allocated an amount that bears the same relationship to the 20 percent as the number of students with disabilities who have individualized education programs under section 614(a)(5) of the IDEA served by the LEA in the fiscal or program year preceding the fiscal or program year in which the allocation is made bears to the total number of those students served by all LEAs in the State in that preceding year.</P> <P>(3) From 10 percent of the amount reserved, an LEA must be allocated an amount that bears the same relationship to the 10 percent as the number of students enrolled in schools and adults enrolled in vocational education training programs under the jurisdiction of the LEA in the fiscal or program year preceding the fiscal or program year in which the allocation is made bears to the number of students enrolled in schools in kindergarten through 12th grade and adults enrolled in vocational education training programs under the jurisdiction of all LEAs in the State in that preceding year. </P> <EXAMPLE> <HD SOURCE="HED">Example:</HD> <P>Assume that a State has reserved $5,000,000 of its basic programs funds under Title II of the Act for secondary school programs.</P> <P>(a)(1) All LEAs in the State were allocated a total of $80,000,000 under section 1005 of Chapter 1 in the preceding fiscal year. Of that amount, school district “A” was allocated $400,000.</P> <P>(2) The allocation for school district “A” is calculated by multiplying $3,500,000 (70 percent of $5,000,000) by .005 of the State total ($400,000÷$80,000,000). The allocation for school district “A” would be $17,500 under paragraph (b)(1) of this section.</P> <P>(b)(1) All LEAs in a State served a total of 100,000 students with disabilities who have individualized education programs under section 614(a)(5) of the IDEA in the preceding fiscal year. Of that total, school district “A” served 400 of those students in the preceding fiscal year.</P> <P>(2) The allocation for school district “A” is calculated by multiplying $1,000,000 (20 percent of $5,000,000) by .004 of the State total (400÷100,000). The allocation for school district “A” would be $4,000 under paragraph (b)(2) of this section.</P> <P>(c)(1) All LEAs in a State enrolled a total of 1,000,000 students (including adults enrolled in vocational education training programs in those LEAs) in the preceding fiscal year. Of that number school district “A” enrolled 3,500 of those students in the preceding fiscal year.</P> <P>(2) The allocation for school district “A” is calculated by multiplying 500,000 (10 percent of $5,000,000) by .0035 of the State total (3,500÷1,000,000). The allocation for school district “A” would be $1,750 under paragraph (b)(3) of this section.</P> </EXAMPLE> <P>(c) <E T="03">Exception to the general rule.</E> In applying the provisions in paragraph (b) of this section, a State may not distribute funds to an LEA that operates only elementary schools, but shall instead distribute funds that would have been allocated for those ineligible LEAs as follows:</P> <P>(1) If an LEA that operates only elementary schools sends its graduating students to a single local or regional educational agency that provides secondary school services to secondary school students in the same attendance area, a State shall distribute to that local or regional educational agency any amounts under paragraph (b) of this section that would otherwise have been allocated to LEAs operating only elementary schools.</P> <P>(2) If an LEA that operates only elementary schools sends its graduating students to two or more local or regional educational agencies that provide secondary school services to secondary students in the same attendance area, the State shall distribute to those local or regional educational <PRTPAGE P="44"/>agencies an amount based on the proportionate number of students each agency received in the previous year from the LEA that operates only elementary schools.</P> <P>(d)(1) <E T="03">Minimum grant amount.</E> Except as provided in paragraph (d)(3) of this section, an LEA is not eligible for a grant under the Secondary School Vocational Education Program unless the amount allocated to the LEA under paragraph (b) of this section is not less than $15,000.</P> <P>(2)(i) An LEA may enter into a consortium with one or more LEAs for the purpose of providing services under the Secondary School Vocational Education Program in order to meet the minimum grant requirement in paragraph (d)(1) of this section.</P> <P>(ii) A consortium arrangement under paragraph (d)(2)(i) of this section must serve primarily as a structure for operating joint projects that provide services to all participating local educational agencies.</P> <P>(iii) A project operated by a consortium must meet the size, scope, and quality requirement of § 403.111(c)(1). </P> <EXAMPLE> <HD SOURCE="HED">Example:</HD> <P>Under the distribution formula for the Secondary School Vocational Education Program, three LEAs earn $5,000 each (which is less than the $15,000 minimum grant amount for each LEA). The LEAs form a consortium in order to receive an award. One of the LEAs is designated as the fiscal agent for the consortium and receives the $15,000 award for the consortium. The consortium may operate and fund with the $15,000 a project or projects for the benefit of all participating LEAs. The fiscal agent of the consortium may not subgrant back to the participating LEAs the amounts they contributed to the consortium.</P> </EXAMPLE> <P>(3) A State may waive paragraph (d)(1) of this section in any case in which the LEA—</P> <P>(i) Is located in a rural, sparsely populated area;</P> <P>(ii) Demonstrates that it is unable to enter into a consortium for purposes of providing services under the Secondary School Vocational Education Program; and</P> <P>(iii) Demonstrates that the projects to be assisted meet the size, scope, and quality requirements in § 403.111(c)(1).</P> <P>(4) Any amounts that are not distributed by reason of paragraph (d)(1) of this section must be redistributed in accordance with the provisions in paragraph (b) of this section.</P> <CROSSREF> <HD SOURCE="HED">Cross-Reference:</HD> <P>See 34 CFR 403.113(d).</P> </CROSSREF> <SECAUTH>(Authority: 20 U.S.C. 2341 (a), (b), and (c))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.113</SECTNO> <SUBJECT>How does a State allocate funds under the Secondary School Vocational Education Program to area vocational education schools and intermediate educational agencies?</SUBJECT> <P>(a) A State shall distribute funds reserved under § 403.112(a) directly to the appropriate area vocational education school or intermediate educational agency in any case in which—</P> <P>(1) The area vocational education school or intermediate educational agency and an LEA—</P> <P>(i) Have formed or will form a consortium for the purpose of receiving funds reserved under § 403.112(a); or</P> <P>(ii) Have entered into or will enter into a cooperative arrangement for the purpose of receiving funds reserved under § 403.112(a); and</P> <P>(2)(i) The area vocational education school or intermediate educational agency serves a proportion of students with disabilities and students who are economically disadvantaged that is approximately equal to or greater than the proportion of those students attending the secondary schools under the jurisdiction of all of the LEAs sending students to the area vocational education school or the intermediate educational agency; or</P> <P>(ii) The area vocational education school or intermediate educational agency demonstrates that it is unable to meet the criterion in paragraph (a)(2)(i) of this section due to the lack of interest by students with disabilities and students who are economically disadvantaged in attending vocational education programs in that area vocational education school or intermediate educational agency.</P> <P>(b) If an area vocational education school or intermediate educational agency meets the requirements of paragraph (a) of this section, then the amount that would otherwise be allocated to the LEA may be distributed to the area vocational education school, the intermediate educational agency, and the LEA—<PRTPAGE P="45"/> </P> <P>(1) Based on each school's or entity's relative share of students with disabilities and students who are economically disadvantaged who are attending vocational education programs that meet the requirements of § 403.111 (based, if practicable, on the average enrollment for the prior 3 years); or</P> <P>(2) On the basis of an agreement between the LEA and the area vocational education school or intermediate educational agency.</P> <P>(c) Notwithstanding paragraphs (a) and (b) of this section, and §§ 403.114 and 403.115, prior to distributing funds to any LEA that would receive an allocation that is not sufficient to conduct a program that meets the requirements of § 403.111(c), a State shall encourage the LEA to—</P> <P>(1) Form a consortium or enter a cooperative agreement with an area vocational education school or intermediate educational agency offering programs that meet the requirements of § 403.111(c), and that are accessible to economically disadvantaged students and students with disabilities that would be served by the LEA; and</P> <P>(2) Transfer its allocation to an area vocational education school or intermediate educational agency.</P> <P>(d) If an LEA's allocation under § 403.112 meets the minimum grant requirement in § 403.112(d), and the allocation is distributed in part to an area vocational education school or an intermediate educational agency pursuant to paragraphs (a) and (b) of this section, the LEA may retain the amount not distributed to the area vocational education school or an intermediate educational agency even though that amount is less than the minimum grant required by § 403.112(d).</P> <SECAUTH>(Authority: 20 U.S.C. 2341(d) (1), (2), and (5))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.114</SECTNO> <SUBJECT>How does a State determine the number of economically disadvantaged students attending vocational education programs under the Secondary School Vocational Education Program?</SUBJECT> <P>(a) For the purposes of § 403.113, a State may determine the number of economically disadvantaged students attending vocational education programs on any of the following bases:</P> <P>(1) Eligibility for one of the following:</P> <P>(i) Free or reduced-price meals under the National School Lunch Act (42 U.S.C. 1751 <E T="03">et seq</E>.).</P> <P>(ii) The program for aid to Families with Dependent Children under part A of title IV of the Social Security Act (42 U.S.C. 601).</P> <P>(iii) Benefits under the Food Stamp Act of 1977 (7 U.S.C. 2011).</P> <P>(iv) To be counted for purposes of section 1005 of chapter 1.</P> <P>(v) Participation in programs assisted under title II of the JTPA.</P> <P>(2) Receipt of a Pell grant or assistance under a comparable State program of need-based financial assistance.</P> <P>(3) Status of an individual who is determined by the Secretary to be low-income according to the latest available data from the Department of Commerce or the Department of Health and Human Services Poverty Guidelines.</P> <P>(4) Other indices of economic status, including estimates of those indices, if the State demonstrates to the satisfaction of the Secretary that those indices are more representative of the number of economically disadvantaged students attending vocational education programs. The Secretary determines, on a case-by-case basis, whether other indices of economic status are more representative of the number of economically disadvantaged students attending vocational education programs, taking into consideration, for example, the statistical reliability of any data submitted by a grantee as well as the general acceptance of the indices by other agencies in the State or local area.</P> <P>(b) If a State elects to use more than one factor described in paragraph (a) of this section for purposes of determining the number of economically disadvantaged students enrolled in vocational education programs, the State shall ensure that the data used are not duplicative.</P> <SECAUTH>(Authority: 20 U.S.C. 2341(d)(3) and 2471(15))</SECAUTH> </SECTION> <SECTION> <PRTPAGE P="46"/> <SECTNO>§ 403.115</SECTNO> <SUBJECT>What appeal procedures must be established under the Secondary School Vocational Education Program?</SUBJECT> <P>The State board shall establish an appeals procedure for resolution of any dispute arising between an LEA and an area vocational education school or an intermediate educational agency with respect to the allocation procedures described in §§ 403.112 and 403.113, including the decision of an LEA to leave a consortium.</P> <CROSSREF> <HD SOURCE="HED">Cross-Reference:</HD> <P>See 34 CFR 76.401, Disapproval of an application—opportunity for a hearing.</P> </CROSSREF> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0029)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2341(d)(4))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.116</SECTNO> <SUBJECT>How does a State allocate funds under the Postsecondary and Adult Vocational Education Programs?</SUBJECT> <P>(a) <E T="03">Reservation of funds.</E> From the portion of its allotment under § 403.180(b)(1) for the basic programs, each fiscal year a State may reserve funds for the Postsecondary and Adult Vocational Education Programs.</P> <P>(b) <E T="03">General rule.</E> (1) A State shall distribute funds reserved for Postsecondary and Adult Vocational Education Programs to eligible institutions or consortia of eligible institutions within the State.</P> <P>(2) Except as provided in paragraph (c) of this section and §§ 403.118 and 403.119, each eligible institution or consortium of eligible institutions must receive an amount that bears the same relationship to the amount of funds reserved for the Postsecondary and Adult Vocational Education Programs as the number of Pell Grant recipients and recipients of assistance from the Bureau of Indian Affairs enrolled in programs meeting the requirements of § 403.111, including meeting the definition of vocational education in 34 CFR 400.4, offered by the eligible institution or consortium of eligible institutions in the fiscal or program year preceding the fiscal or program year in which the allocation is made bears to the number of those recipients enrolled in these programs within the State in that preceding year.</P> <P>(c) <E T="03">Minimum grant amount.</E> (1) A State may not provide a grant under paragraph (b) of this section to any institution or consortium of eligible institutions for an amount that is less than $50,000.</P> <P>(2) Any amounts that are not allocated by reason of paragraph (c)(1) of this section must be redistributed to eligible institutions or consortia of eligible institutions in accordance with the provisions of paragraph (b) of this section.</P> <P>(d) In order for a consortium of eligible institutions to receive assistance under this section, the consortium must operate joint projects that—</P> <P>(1) Provide services to all postsecondary institutions participating in the consortium; and</P> <P>(2) Are of sufficient size, scope, and quality as to be effective.</P> <SECAUTH>(Authority: 20 U.S.C. 2341a (a) and (c))</SECAUTH> <CITA>[57 FR 36735, Aug. 14, 1992, as amended at 59 FR 38513, July 28, 1994]</CITA> </SECTION> <SECTION> <SECTNO>§ 403.117</SECTNO> <SUBJECT>What definitions apply to the Postsecondary and Adult Vocational Education Programs?</SUBJECT> <P>For the purposes of §§ 403.116, 403.118, and 403.120 the following definitions apply:</P> <P>(a) <E T="03">Eligible institution</E> means an institution of higher education, an LEA serving adults, or an area vocational education school serving adults that offers or will offer a program that meets the requirements of § 403.111 and seeks to receive assistance under § 403.116.</P> <P>(b)(1) <E T="03">Institution of higher education</E> means an educational institution in any State that—</P> <P>(i) Admits as regular students only persons having a certificate of graduation from a school providing secondary education, or the recognized equivalent of that certificate, or who are beyond the age of compulsory school attendance;</P> <P>(ii) Is legally authorized within the State to provide a program of education beyond secondary education;</P> <P>(iii) Provides an educational program for which it awards a bachelor's degree or provides not less than a two-year program which is acceptable for full credit toward such a degree, or in the <PRTPAGE P="47"/>case of a hospital or health care facility, that provides training of not less than one year for graduates of accredited health professions programs, leading to a degree or certificate upon completion of that training;</P> <P>(iv) Is a public or other nonprofit institution; and</P> <P>(v) Is accredited by a nationally recognized accrediting agency or association approved by the Secretary for this purpose or, if not so accredited—</P> <P>(A) Is an institution with respect to which the Secretary has determined that there is satisfactory assurance, considering the resources available to the institution, the period of time, if any, during which it has operated, the effort it is making to meet accreditation standards, and the purpose for which this determination is being made, that the institution will meet the accreditation standards of such an agency or association within a reasonable time; or</P> <P>(B) Is an institution whose credits are accepted, on transfer, by not less than three institutions that are so accredited, for credit on the same basis as if transferred from an institution so accredited.</P> <P>(2) This term also includes any school that provides not less than a one-year program of training to prepare students for gainful employment in a recognized occupation and that meets the provisions of paragraphs (b)(1) (i), (ii), (iv), and (v) of this definition. If the Secretary determines that a particular category of these schools does not meet the requirements of paragraph (b)(1)(v) because there is no nationally recognized accrediting agency or association qualified to accredit schools in that category, the Secretary, pending the establishment of such an accrediting agency or association, appoints an advisory committee, composed of persons specially qualified to evaluate training provided by schools in that category, that must—</P> <P>(i) Prescribe the standards of content, scope, and quality that must be met in order to qualify schools in that category to participate in the program pursuant to this part; and</P> <P>(ii) Determine whether particular schools not meeting the requirements of paragraph (b)(1)(v) of this definition meet those standards.</P> <SECAUTH>(Authority: 20 U.S.C. 1085)</SECAUTH> <P>(c) <E T="03">Pell Grant recipient</E> means a recipient of financial aid under subpart 1 of part A of title IV of the Higher Education Act of 1965 (20 U.S.C. 1070a-l <E T="03">et seq.</E>).</P> <SECAUTH>(Authority: 20 U.S.C. 2341a(d))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.118</SECTNO> <SUBJECT>Under what circumstances may the Secretary waive the distribution requirements for the Postsecondary and Adult Vocational Education Programs?</SUBJECT> <P>The Secretary may waive § 403.116(b)(2) for any fiscal or program year for which a State submits to the Secretary an application for such a waiver that—</P> <P>(a) Demonstrates that the formula in § 403.116(b)(2) does not result in a distribution of funds to the institutions or consortia of eligible institutions within the State that have the highest numbers of economically disadvantaged individuals and that an alternative formula would result in such a distribution.</P> <P>(b) Includes a proposal for an alternative formula that may include criteria relating to the number of individuals attending institutions or consortia of eligible institutions within the State who—</P> <P>(1) Receive need-based postsecondary financial aid provided from public funds;</P> <P>(2) Are members of families participating in the program for aid to families with dependent children under part A of title IV of the Social Security Act (42 U.S.C. 601);</P> <P>(3) Are enrolled in postsecondary educational institutions that—</P> <P>(i) Are funded by the State;</P> <P>(ii) Do not charge tuition; and</P> <P>(iii) Serve only economically disadvantaged students;</P> <P>(4) Are enrolled in programs serving economically disadvantaged adults;</P> <P>(5) Are participants in programs assisted under the JTPA;</P> <P>(6) Are Pell Grant recipients; and</P> <P>(c) Proposes an alternative formula that—<PRTPAGE P="48"/> </P> <P>(1) Includes direct counts of students enrolled in the institutions or consortia of eligible institutions;</P> <P>(2) Directly relates to the status of students as economically disadvantaged individuals;</P> <P>(3) Is to be uniformly applied to all eligible institutions;</P> <P>(4) Does not include fund pools for specific types of institutions or consortia of eligible institutions;</P> <P>(5) Does not include the direct assignment of funds to a particular institution or consortium of eligible institutions on a non-formula basis; and</P> <P>(6) Identifies a more accurate count of economically disadvantaged individuals in the aggregate than does the formula in § 403.116(b)(2).</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0029)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2341a(b))</SECAUTH> <CITA>[57 FR 36735, Aug. 14, 1992, as amended at 59 FR 38513, July 28, 1994]</CITA> </SECTION> <SECTION> <SECTNO>§ 403.119</SECTNO> <SUBJECT>Under what circumstances may the State waive the distribution requirements for Secondary School Vocational Education Program or the Postsecondary and Adult Vocational Education Programs?</SUBJECT> <P>(a) This section applies in any fiscal or program year in which a State reserves 15 percent or less under § 403.180(b)(1) for distribution under—</P> <P>(1) The Secondary School Vocational Education Program; or</P> <P>(2) The Postsecondary and Adult Vocational Education Programs.</P> <P>(b) Notwithstanding the provisions and § 403.112, § 403.113, or § 403.116, as applicable, in order to result in a more equitable distribution of funds for programs serving the highest numbers of economically disadvantaged individuals, the State may distribute the funds described in paragraph (a) of this section—</P> <P>(1) On a competitive basis; or</P> <P>(2) Through any alternative method determined by the State.</P> <SECAUTH>(Authority: 20 U.S.C. 2341b)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.120</SECTNO> <SUBJECT>How does a State reallocate funds under the Secondary School Vocational Education Program and the Postsecondary and Adult Vocational Education Programs?</SUBJECT> <P>(a) In any fiscal or program year that an LEA, area vocational school, intermediate school district, or consortium of those entities, or an eligible institution, or consortium of eligible institutions, does not obligate all of the amounts it is allocated for that year under the Secondary School Vocational Education Program or the Postsecondary and Adult Vocational Education Programs, the LEA, area vocational education school, intermediate school district, or consortium of those entities, or the eligible institution, or consortium of eligible institutions, shall return any unobligated amounts to the State to be reallocated under § 403.112(b), § 403.113, or § 403.116(b), as applicable.</P> <P>(b) In any fiscal or program year in which amounts allocated under § 403.112(b), § 403.113, § 403.116(b), or § 403.118 are returned to the State and the State is unable to reallocate those amounts according to those sections in time for the amounts to be obligated in the fiscal or program year, the State shall retain the amounts to be distributed in combination with amounts reserved under § 403.112(b), § 403.113, § 403.116(b), or § 403.118 for the following fiscal or program year.</P> <SECAUTH>(Authority: 20 U.S.C. 2341c)</SECAUTH> <CITA>[57 FR 36735, Aug. 14, 1992, as amended at 59 FR 38513, July 28, 1994]</CITA> </SECTION> </SUBJGRP> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—What Kinds of Activities Does the Secretary Assist Under the Special Programs?</HD> <SUBJGRP> <HD SOURCE="HED">General</HD> <SECTION> <SECTNO>§ 403.130</SECTNO> <SUBJECT>What are the Special Programs?</SUBJECT> <P>The following special programs are authorized by title III of the Act and are subject to the requirements of the State plan:</P> <P>(a) State Assistance for Vocational Education Support Programs by Community-Based Organizations.</P> <P>(b) Consumer and Homemaking Education Program.<PRTPAGE P="49"/> </P> <P>(c) Comprehensive Career Guidance and Counseling Programs.</P> <P>(d) Business-Labor-Education Partnerships for Training Program.</P> <SECAUTH>(Authority: 20 U.S.C. 2302(d)(A)-(D))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.131</SECTNO> <SUBJECT>Who is eligible for an award under the Special Programs?</SUBJECT> <P>(a) The fifty States, the District of Columbia, Puerto Rico, and the Virgin Islands are eligible for an award under the—</P> <P>(1) State Assistance for Vocational Education Support and Programs by Community-Based Organizations;</P> <P>(2) Consumer and Homemaking Education Programs; and</P> <P>(3) Comprehensive Career Guidance and Counseling Programs.</P> <P>(b) States, as defined in 34 CFR 400.4(b), are eligible for the Business-Labor-Education Partnerships for Training Program.</P> <SECAUTH>(Authority: 20 U.S.C. 2302(d)(A)-(D))</SECAUTH> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Vocational Education Support Programs by Community-Based Organizations</HD> <SECTION> <SECTNO>§ 403.140</SECTNO> <SUBJECT>What activities does the Secretary support under the State Assistance for Vocational Education Support Programs by Community-Based Organizations?</SUBJECT> <P>(a) The State shall provide, in accordance with its State plan, and from its allotment for this program, financial assistance to joint projects of eligible recipients and community-based organizations within the State that provide the following special vocational education services and activities:</P> <P>(1) Outreach programs that facilitate the entrance of youth into a program of transitional services and subsequent entrance into vocational education, employment, or other education and training.</P> <P>(2) Transitional services such as attitudinal and motivational prevocational training programs.</P> <P>(3) Prevocational educational preparation and basic skills development conducted in cooperation with business concerns.</P> <P>(4) Special prevocational preparations programs targeted to inner-city youth, non-English speaking youth, Appalachian youth, and the youth of other urban and rural areas having a high density of poverty who need special prevocational education programs.</P> <P>(5) Career intern programs.</P> <P>(6) Model programs for school dropouts.</P> <P>(7) The assessment of students’ needs in relation to vocational education and jobs.</P> <P>(8) Guidance and counseling to assist students with occupational choices and with the selection of a vocational education program.</P> <P>(b) Individuals with disabilities who are educationally or economically disadvantaged may participate in projects under this program.</P> <SECAUTH>(Authority: 20 U.S.C. 2352, 2471(6))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.141</SECTNO> <SUBJECT>What are the application requirements for the State Assistance for Vocational Education Support Programs by Community-Based Organizations?</SUBJECT> <P>(a) Each community-based organization and eligible recipient that desire to participate in this program shall jointly prepare and submit an application to the State board at the time and in the manner established by the State board.</P> <P>(b) The State board also may establish requirements relating to the contents of the applications, except that each application must contain—</P> <P>(1) An agreement among the community-based organization and the eligible recipients in the area to be served that includes the designation of one or more fiscal agents for the project;</P> <P>(2) A description of how the funds will be used, together with evaluation criteria to be applied to the project;</P> <P>(3) Assurances that the community-based organization will give special consideration to the needs of severely economically and educationally disadvantaged youth, ages sixteen through twenty-one, inclusive;</P> <P>(4) Assurances that business concerns will be involved, as appropriate, in services and activities for which assistance is sought;</P> <P>(5) A description of the efforts the community-based organization will make to collaborate with the eligible recipients participating in the joint project;<PRTPAGE P="50"/> </P> <P>(6) A description of the manner in which the services and activities for which assistance is sought will serve to enhance the enrollment of severely economically and educationally disadvantaged youth into the vocational education programs; and</P> <P>(7) Assurances that the projects conducted by the community-based organization will conform to the applicable standards of performance and measures of effectiveness required of vocational education programs in the State.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0030)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2351)</SECAUTH> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Consumer and Homemaking Education Programs</HD> <SECTION> <SECTNO>§ 403.150</SECTNO> <SUBJECT>What activities does the Secretary support under the Consumer and Homemaking Education Programs?</SUBJECT> <P>(a) The State shall conduct, in accordance with its State plan, and from its allotment for this program, consumer and homemaking education projects that may include—</P> <P>(1) Instructional projects, services, and activities that prepare youth and adults for the occupation of homemaking;</P> <P>(2) Instruction in the areas of—</P> <P>(i) Food and nutrition;</P> <P>(ii) Individual and family health;</P> <P>(iii) Consumer education;</P> <P>(iv) Family living and parenthood education;</P> <P>(v) Child development and guidance;</P> <P>(vi) Housing and home management, including resource management; and</P> <P>(vii) Clothing and textiles.</P> <P>(b) The State shall use the funds for this program for projects, services, and activities—</P> <P>(1) For residents of economically depressed areas;</P> <P>(2) That encourage the participation of traditionally underserved populations;</P> <P>(3) That encourage, in cooperation with the individual appointed under § 403.13(a), the elimination of sex bias and sex stereotyping;</P> <P>(4) That improve, expand, and update Consumer and Homemaking Education Programs, especially those that specifically address needs described in paragraphs (b) (1), (2), and (3) of this section; and</P> <P>(5) That address priorities and emerging concerns at the local, State, and national levels.</P> <P>(c) The State may use the funds described in paragraph (a) of this section for—</P> <P>(1) Program development and the improvement of instruction and curricula relating to—</P> <P>(i) Managing individual and family resources;</P> <P>(ii) Making consumer choices;</P> <P>(iii) Balancing work and family;</P> <P>(iv) Improving responses to individual and family crises (including family violence and child abuse);</P> <P>(v) Strengthening parenting skills (especially among teenage parents);</P> <P>(vi) Preventing teenage pregnancy;</P> <P>(vii) Assisting the aged, individuals with disabilities, and members of at risk populations (including the homeless);</P> <P>(viii) Improving individual, child, and family nutrition and wellness;</P> <P>(ix) Conserving limited resources;</P> <P>(x) Understanding the impact of new technology on life and work;</P> <P>(xi) Applying consumer and homemaking education skills to jobs and careers; and</P> <P>(xii) Other needs as determined by the State; and</P> <P>(2) Support services and activities designed to ensure the quality and effectiveness of programs, including—</P> <P>(i) The demonstration of innovative and exemplary projects;</P> <P>(ii) Community outreach to underserved populations;</P> <P>(iii) The application of academic skills (such as reading, writing, mathematics, and science) through consumer and homemaking education programs;</P> <P>(iv) Curriculum development;</P> <P>(v) Research;</P> <P>(vi) Program evaluation;</P> <P>(vii) The development of instructional materials;</P> <P>(viii) Teacher education;</P> <P>(ix) The upgrading of equipment;</P> <P>(x) Teacher supervision;</P> <P>(xi) State leadership, including the activities of student organizations; and</P> <P>(xii) State administration, subject to § 403.151(c).</P> <SECAUTH>(Authority: 20 U.S.C. 2361, 2362(a), (b))</SECAUTH> </SECTION> <SECTION> <PRTPAGE P="51"/> <SECTNO>§ 403.151</SECTNO> <SUBJECT>How must funds be used under the Consumer and Homemaking Education Programs?</SUBJECT> <P>(a) A State shall use not less than one-third of its allotment under the Consumer and Homemaking Education Program in economically depressed areas or areas with high rates of unemployment for projects, services, and activities designed to assist consumers, and to help improve the home environment and the quality of family life.</P> <P>(b)(1) The State board shall ensure that the experience and information gained through carrying out projects, services, and activities under this program are shared with program administrators for the purpose of program planning.</P> <P>(2) The State board shall use funds from its allotment under this program to provide State leadership and one or more full-time State administrators qualified by experience and educational preparation in home economics education.</P> <P>(3) For purposes of the Consumer and Homemaking Education Program, State leadership includes, but is not limited to, curriculum development, personnel development, research, dissemination activities, and technical assistance.</P> <P>(c) A State may use, in addition to funds reserved under § 403.180(b)(4), not more than six percent of its allotment under this program for State administration of projects, services, and activities under this program.</P> <SECAUTH>(Authority: 20 U.S.C. 2362(c), 2363)</SECAUTH> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Comprehensive Career Guidance and Counseling Programs</HD> <SECTION> <SECTNO>§ 403.160</SECTNO> <SUBJECT>What activities does the Secretary support under the Comprehensive Career Guidance and Counseling Programs?</SUBJECT> <P>(a) The State shall conduct, in accordance with its State plan, from its allotment for this program, career guidance and counseling projects, services, and activities that are—</P> <P>(1) Organized and administered by certified counselors; and</P> <P>(2) Designed to improve, expand, and extend career guidance and counseling programs to meet the career development, vocational education, and employment needs of vocational education students and potential students.</P> <P>(b) The purposes of the projects, services, and activities described in paragraph (a) of this section must be to—</P> <P>(1) Assist individuals to—</P> <P>(i) Acquire self-assessment, career planning, career decision-making, and employability skills;</P> <P>(ii) Make the transition from education and training to work;</P> <P>(iii) Maintain the marketability of their current job skills in established occupations;</P> <P>(iv) Develop new skills to move away from declining occupational fields and enter new and emerging fields in high-technology areas and fields experiencing skill shortages;</P> <P>(v) Develop mid-career job search skills and to clarify career goals; and</P> <P>(vi) Obtain and use information on financial assistance for postsecondary and vocational education, and job training; and</P> <P>(2)(i) Encourage the elimination of sex, age, disabling conditions, and race bias and stereotyping;</P> <P>(ii) Provide for community outreach;</P> <P>(iii) Enlist the collaboration of the family, the community, business, industry, and labor; and</P> <P>(iv) Be accessible to all segments of the population, including women, minorities, individuals with disabilities, and economically disadvantaged individuals.</P> <P>(c) The projects, services, and activities described in paragraph (a) of this section must consist of—</P> <P>(1) Instructional activities and other services at all educational levels to help students develop the skills described in paragraph (b)(1) of this section;</P> <P>(2) Services and activities designed to ensure the quality and effectiveness of career guidance and counseling projects such as—</P> <P>(i) Counselor education, including the education of counselors working with individuals with limited English proficiency;</P> <P>(ii) Training support personnel;</P> <P>(iii) Curriculum development;</P> <P>(iv) Research and demonstration projects;</P> <P>(v) Experimental projects;<PRTPAGE P="52"/> </P> <P>(vi) The development of instructional materials;</P> <P>(vii) The acquisition of equipment;</P> <P>(viii) State and local leadership;</P> <P>(ix) The development of career information delivery systems; and</P> <P>(x) Local administration, including supervision;</P> <P>(xi) State administration, including supervision, subject to § 403.161(c);</P> <P>(3) Projects that provide opportunities for counselors to obtain firsthand experience in business and industry; and</P> <P>(4) Projects that provide students with an opportunity to become acquainted with business, industry, the labor market, and training opportunities, including secondary educational programs that—</P> <P>(i) Have at least one characteristic of an apprenticeable occupation as recognized by the Department of Labor or the State Apprenticeship Agency, in accordance with the National Apprenticeship Act (29 U.S.C. 50);</P> <P>(ii) Are conducted in concert with local business, industry, labor, and other appropriate apprenticeship training entities; and</P> <P>(iii) Are designed to prepare participants for an apprenticeable occupation or provide information concerning apprenticeable occupations and their prerequisites.</P> <SECAUTH>(Authority: 20 U.S.C. 2382(a), (b))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.161</SECTNO> <SUBJECT>How must funds be used under the Comprehensive Career Guidance and Counseling Programs?</SUBJECT> <P>(a) A State shall use not less than twenty percent of its allotment under the Career Guidance and Counseling Program for projects, services, and activities designed to eliminate sex, age, and race bias and stereotyping under § 403.160(b)(2) to ensure that projects, services, and activities under this program are accessible to all segments of the population, including women, disadvantaged individuals, individuals with disabilities, individuals with limited English proficiency, and minorities.</P> <P>(b)(1) The State board shall ensure that the experience and information gained through carrying out projects, services, and activities under this program are shared with program administrators for the purpose of program planning.</P> <P>(2) The State board shall use funds from its allotment under this program to provide State leadership that is qualified by experience and knowledge in guidance and counseling.</P> <P>(3) For purposes of Comprehensive Career Guidance and Counseling Programs, State leadership includes, but is not limited to curriculum development, personnel development, research, dissemination activities, and technical assistance; and</P> <P>(c) A State may use, in addition to funds reserved under § 403.180(b)(4), not more than six percent of its allotment under this program for State administration of projects, services, and activities under this program.</P> <SECAUTH>(Authority: 20 U.S.C. 2382(c), 2383)</SECAUTH> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Business-Labor-Education Partnership for Training Program</HD> <SECTION> <SECTNO>§ 403.170</SECTNO> <SUBJECT>What activities does the Secretary support under the Business-Labor-Education Partnership for Training Program?</SUBJECT> <P>The State board shall, in accordance with the State plan, from its allotment for this program, support the establishment and operation of projects, services, and activities, that—</P> <P>(a) Provide incentives for the coordination of the Business-Labor-Education Partnership for Training Program with related efforts under the—</P> <P>(1) National Tech-Prep Education Program in 34 CFR part 405;</P> <P>(2) State-Administered Tech-Prep Education Program in 34 CFR part 406; and</P> <P>(3) JTPA; and</P> <P>(b) May only include, in addition to the activities described in § 403.32(a)(27) through (30),—</P> <P>(1) Training and retraining of instructional and guidance personnel;</P> <P>(2) Curriculum development and the development or acquisition of instructional and guidance equipment and materials;</P> <P>(3) Acquisition and operation of communications and telecommunications equipment and other high technology equipment for programs authorized by this part;<PRTPAGE P="53"/> </P> <P>(4) Other activities authorized by title III of the Act as may be essential to the successful establishment and operation of projects, services, and activities under the Business-Labor-Education Partnership for Training Program, including activities and related services to ensure access of women, minorities, individuals with disabilities, and economically disadvantaged individuals; and</P> <P>(5) Providing vocational education to individuals in order to assist their entry into, or advancement in, high-technology occupations or to meet the technological need of other industries or businesses.</P> <SECAUTH>(Authority: 20 U.S.C. 2392(b) and 2393 (a), (d)(1))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.171</SECTNO> <SUBJECT>Who is eligible to apply to a State board for an award?</SUBJECT> <P>(a) The State board awards subgrants or contracts to partnerships between—</P> <P>(1) An area vocational education school, a State agency, a local educational agency, a secondary school funded by the Bureau of Indian Affairs, an institution of higher education, a State corrections educational agency, or an adult learning center; and</P> <P>(2) Business, industry, labor organizations, or apprenticeship programs.</P> <P>(b) A partnership receiving an award from a State board must include as partners at least one entity from paragraph (a)(1) of this section and at least one entity from paragraph (a)(2) of this section, and may include more than one entity from each group.</P> <SECAUTH>(Authority: 20 U.S.C. 2392(a)(1))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.172</SECTNO> <SUBJECT>What special considerations must the State board give in approving projects, services, and activities?</SUBJECT> <P>The State board, in approving projects, services, and activities assisted under the Business-Labor-Education Partnership Training Program, shall give special consideration to the following:</P> <P>(a) The level and degree of business and industry participation in the development and operation of the program.</P> <P>(b) The current and projected demand within the State or relevant labor market area for workers with the level and type of skills the program is designed to produce.</P> <P>(c) The overall quality of the proposal, with particular emphasis on the probability of successful completion of the program by prospective trainees and the capability of the eligible recipient, with assistance from participating business or industry, to provide high quality training for skilled workers and technicians in high technology.</P> <P>(d) The commitment to serve, as demonstrated by special efforts to provide outreach, information, and counseling, and by the provision of remedial instruction and other assistance, all segments of the population, including women, minorities, individuals with disabilities, and economically disadvantaged individuals.</P> <P>(e) Projects, services, and activities to provide vocational education for individuals who have attained 55 years of age in order to assist their entry into, or advancement in, high-technology occupations or to meet the technological needs of other industries or businesses.</P> <SECAUTH>(Authority: 20 U.S.C. 2393-(b) and (d)(2))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.173</SECTNO> <SUBJECT>What expenses are allowable?</SUBJECT> <P>The State board shall use funds awarded under the Business-Labor-Education Partnership for Training Program only for—</P> <P>(a) Expenses incurred in carrying out the programs, services, and activities described in § 403.170, including, for example, expenses for—</P> <P>(1) The introduction of new vocational education programs, particularly in economically depressed urban and rural areas;</P> <P>(2) The introduction or improvement of basic skills instruction, including English-as-a-second-language instruction, in order for an individual to be eligible for employment, to continue employment, or to be eligible for career advancement;</P> <P>(3) Costs associated with coordination between vocational education programs, business, and industry, including advisory council meetings and newsletters; and<PRTPAGE P="54"/> </P> <P>(4) Transportation and child-care services for students necessary to ensure access of women, minorities, individuals with disabilities, and economically disadvantaged individuals to projects, services, and activities authorized by the Business-Labor-Education Partnership for Training Program; and</P> <P>(b)(1) Subject to paragraph (b)(2) of this section, expenditures for necessary and reasonable administrative costs of the State board and of eligible partners.</P> <P>(2) Total expenditures for administrative costs of the State board and of eligible partners may not exceed 10 percent of the State's allotment for this program in the first year and five percent of that allotment in each subsequent year.</P> <SECAUTH>(Authority: 20 U.S.C. 2392(d) and 2393(a)(1))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.174</SECTNO> <SUBJECT>What additional fiscal requirements apply to the Business-Labor-Education Partnership for Training Program?</SUBJECT> <P>(a) The business and industrial share of the costs required in § 403.32(a)(29) may be in the form of either allowable costs or the fair market value of in-kind contributions such as facilities, overhead, personnel, and equipment.</P> <P>(b) The State board shall use equal amounts from its allotment under this program and from its allotment for basic programs to provide the Federal share of cost of projects, services, and activities under this program.</P> <P>(c) If an eligible partner demonstrates to the satisfaction of the State that it is incapable of providing all or part of the non-Federal portion of the costs of projects, services, and activities, as required by § 403.32(a)(29), the State board may designate funds available under parts A and C of title II of the Act or funds available from State sources in place of the non-Federal portion.</P> <SECAUTH>(Authority: 20 U.S.C. 2392(c))</SECAUTH> </SECTION> </SUBJGRP> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart G—What Financial Conditions Must Be Met by a State?</HD> <SECTION> <SECTNO>§ 403.180</SECTNO> <SUBJECT>How must a State reserve funds for the basic programs?</SUBJECT> <P>(a)(1) Except as provided in paragraph (a)(2) of this section, each State shall reserve from its allotment under the basic programs authorized by title II of the Act, for—</P> <P>(i) The Program for Single Parents, Displaced Homemakers, and Single Pregnant Women under § 403.81, and the Sex Equity Program under § 403.91, respectively, an amount that is not less than the amount the State reserved for each of those programs under section 202 of the Carl D. Perkins Vocational Education Act (CDPVEA) from its Fiscal Year (FY) 1991 grant from the FY 1990 appropriation; and</P> <P>(ii) The Program for Criminal Offenders under § 403.101 an amount that is not less than—</P> <P>(A) The amount the State reserved for projects, services, or activities under section 202(6) of the CDPVEA from its FY 1991 grant from the FY 1990 appropriation; and</P> <P>(B) The amount of Federal funds under the CDPVEA, other than the one percent reserved under section 202(6) of the Act, that the State and its eligible recipients obligated for projects, services, and activities for criminal offenders in correctional institutions from its FY 1991 grant from the FY 1990 appropriation.</P> <P>(2) In any year in which a State receives an amount for purposes of carrying out programs under title II of the Act that is less than the amount the State received for those purposes in its FY 1991 grant award from the FY 1990 appropriation under the CDPVEA, the State shall ratably reduce the amounts reserved under paragraph (a)(1) of this section in the same proportion that the amount for carrying out programs under title II of the Act is less than the amount the State received for those purposes from the FY 1990 appropriation.<PRTPAGE P="55"/> </P> <P>(b) Except as provided in paragraph (a) of this section, from its allotment for the basic programs authorized by title II of the Act, a State shall reserve—</P> <P>(1) At least 75 percent for the Secondary School Vocational Education Program and the Postsecondary and Adult Vocational Education Programs described in § 403.111;</P> <P>(2) Ten and one-half percent for the Program for Single Parents, Displaced Homemakers, and Single Pregnant Women described in § 403.81 and the Sex Equity Program described in § 403.91, as follows:</P> <P>(i) Not less than seven percent for the Program for Single Parents, Displaced Homemakers, and Single Pregnant Women.</P> <P>(ii) Not less than three percent for the Sex Equity Program;</P> <P>(3) Not more than eight and one-half percent for State Programs and State Leadership Activities described in §§ 403.70 and 403.71;</P> <P>(4) Not more than five percent or $250,000, whichever is greater, for administration of the State plan, of which—</P> <P>(i) Not less than $60,000 must be available for carrying out the provisions in § 403.13, regarding the personnel requirements for eliminating sex discrimination and sex stereotyping; and</P> <P>(ii) The remaining amounts may be used for the costs of—</P> <P>(A) Developing the State plan;</P> <P>(B) Reviewing local applications;</P> <P>(C) Monitoring and evaluating program effectiveness;</P> <P>(D) Providing technical assistance;</P> <P>(E) Ensuring compliance with all applicable Federal laws, including required services and activities for individuals who are members of special populations; and</P> <P>(F) Supporting the activities of the technical committees it establishes under § 403.12(b)(1); and</P> <P>(5) One percent for Programs for Criminal Offenders described in § 403.101.</P> <P>(c) The procedure for meeting the “hold-harmless” requirements in § 403.180(a) and the $250,000 minimum for State administration provision in § 403.180(b)(4) is as follows:</P> <P>(1) If the five percent reserved for administration is less than the $250,000 minimum allowed by paragraph (b)(4) of this section, or if any of the amounts reserved for the Program for Single Parents, Displaced Homemakers, and Single Pregnant Women in § 403.81, the Sex Equity Program in § 403.91, or the Program for Criminal Offenders in § 403.101, respectively, is less than the amount reserved for that program in FY 1990 (funds from the FY 1990 appropriation awarded in the States FY 1991 grant), a State shall subtract any amount necessary to satisfy the $250,000 minimum for State administration or any of the “hold-harmless” amounts from the total basic programs award received by the State.</P> <P>(2) The State shall reserve $250,000 for administration and shall reserve for any program not meeting the “hold-harmless” requirement an amount necessary to meet that requirement.</P> <P>(3) The State shall reserve from the remainder of the basic program award an amount for each of the remaining programs that is proportionate to the amount that program would have received in the absence of a shortfall in the amounts reserved for administration or to meet the “hold-harmless” requirements in paragraph (a)(1) of this section. </P> <EXAMPLE> <HD SOURCE="HED">Example 1:</HD> <P>(a) A State receives a basic programs award of $4,000,000. Five percent of the basic programs award equals $200,000, which is $50,000 less than the $250,000 minimum that may be reserved for State administration. To determine the amount of funds that will be reserved for each program under title II, parts A, B, and C of the Act, the State first subtracts $250,000 for State administration from the $4,000,000 basic programs award ($4,000,000 −$250,000 = $3,750,000).</P> <P>(b) Second, the State determines the amount that would have been reserved for each of the programs under title II, parts A, B, and C of the Act in the absence of a shortfall in the set-aside amount for administration, as follows:</P> <GPOTABLE CDEF="xl10,10,xl10" COLS="3" OPTS="L0,g1,t1,i1"> <ROW> <ENT I="01">3.0% ×$4,000,000 =</ENT> <ENT>$120,000</ENT> <ENT>for Sex Equity Programs.</ENT> </ROW> <ROW> <ENT I="01">7.5% ×$4,000,000 =</ENT> <ENT>300,000</ENT> <ENT>for Programs for Single Parents, Displaced Homemakers, and Single Pregnant Women.</ENT> </ROW> <ROW> <ENT I="01">8.5% ×$4,000,000 =</ENT> <ENT>340,000</ENT> <ENT>for State Programs and State Leadership Activities.</ENT> </ROW> <ROW> <PRTPAGE P="56"/> <ENT I="01">1.0% ×$4,000,000 =</ENT> <ENT>40,000</ENT> <ENT>for Programs for Criminal Offenders.</ENT> </ROW> <ROW RUL="n,s,n"> <ENT I="01">75% ×$4,000,000 =</ENT> <ENT>3,000,000</ENT> <ENT>for part C of title II.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>3,800,000</ENT> </ROW> </GPOTABLE> <P>(c) Third, the State converts each of these amounts into a percentage by dividing each amount by the sum of the amounts the programs would have received in the absence of a shortfall ($3,800,000) and multiplies the remaining basic programs award ($3,750,000) by these percentages to determine the amount to reserve for each program under parts A, B, and C of title II of the Act, as follows:</P> <GPOTABLE CDEF="xl10,10,xl10" COLS="3" OPTS="L0,g1,t1,i1"> <ROW> <ENT I="01">($120,000/$3,800,000) ×$3,750,000 =</ENT> <ENT>$118,421</ENT> <ENT>for Sex Equity Programs.</ENT> </ROW> <ROW> <ENT I="01">($300,000/$3,800,000) ×$3,750,000 =</ENT> <ENT>296,053</ENT> <ENT>for Programs for Single Parents, Displaced Homemakers, and Single Pregnant Women.</ENT> </ROW> <ROW> <ENT I="01">($340,000/$3,800,000) ×$3,750,000 =</ENT> <ENT>335,526</ENT> <ENT>for State Programs and State Leadership Activities.</ENT> </ROW> <ROW> <ENT I="01">($40,000/$3,800,000) ×$3,750,000 =</ENT> <ENT>39,474</ENT> <ENT>for Programs for Criminal Offenders.</ENT> </ROW> <ROW RUL="n,s,n"> <ENT I="01">($3,000,000/$3,800,000) ×$3,750,000 =</ENT> <ENT>2,960,526</ENT> <ENT>for part C of title II.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>3,750,000</ENT> </ROW> </GPOTABLE> <P>This example assumes that amounts reserved meet the “hold-harmless” requirement of section 102(c)(1) of the Act.</P> </EXAMPLE> <EXAMPLE> <HD SOURCE="HED">Example 2:</HD> <P>A State's seven percent reserve from its FY 1992 grant for the Program for Single Parents, Displaced Homemakers, and Single Pregnant Women is $1,400,000 and the amount reserved for that program from its FY 1991 grant was $1,581,000. Therefore, the amount of FY 1992 funds reserved for that program is $181,000 less than the amount reserved in FY 1991. The State received a basic programs award of $20,000,000 in FY 1992. The other programs under title II, part B meet the “hold-harmless” requirement in § 403.180(a)(1), and the amount reserved for State administration exceeds $250,000. The State determines the amount of funds to be reserved for each program under title II, parts A, B, and C of the Act as follows:</P> <P>(a) First, the State subtracts $1,581,000 from the $20,000,000 total basic programs award ($20,000,000 −$1,581,000 = $18,419,000).</P> <P>(b) Second, the State determines the amount that would have been reserved for each of the programs under parts A, B, and C of title II of the Act in the absence of a shortfall in the set-aside amount for the Program for Single Parents, Displaced Homemakers, and Single Pregnant Women, as follows:</P> <GPOTABLE CDEF="xl10,10,xl10" COLS="3" OPTS="L0,g1,t1"> <ROW> <ENT I="01">5.0% ×$20,000,000 =</ENT> <ENT>$1,000,000</ENT> <ENT>for administration.</ENT> </ROW> <ROW> <ENT I="01">3.5% ×$20,000,000 =</ENT> <ENT>700,000</ENT> <ENT>for Sex Equity Programs.</ENT> </ROW> <ROW> <ENT I="01">8.5% ×$20,000,000 =</ENT> <ENT>1,700,000</ENT> <ENT>for State Programs and State Leadership Activities.</ENT> </ROW> <ROW> <ENT I="01">1.0% ×$20,000,000 =</ENT> <ENT>200,000</ENT> <ENT>for Programs for Criminal Offenders.</ENT> </ROW> <ROW RUL="n,s,n"> <ENT I="01">75.0% ×$20,000,000 =</ENT> <ENT>15,000,000</ENT> <ENT>for part C of title II.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>18,600,000</ENT> </ROW> </GPOTABLE> <P>(c) Third, the State converts each of these amounts into a percentage by dividing each amount by the sum of the amounts the programs would have earned in the absence of a shortfall ($18,600,000) and multiplies the remaining basic programs award ($18,419,000) by these percentages to determine the amount to reserve for each program under parts A, B, and C of title II of the Act, as follows:</P> <GPOTABLE CDEF="xl10,10,xl10" COLS="3" OPTS="L0,g1,t1"> <ROW> <ENT I="01">($1,000,000/$18,600,000) ×$18,419,000 =</ENT> <ENT>$990,269</ENT> <ENT>for administration.</ENT> </ROW> <ROW> <ENT I="01">($700,000/$18,600,000) ×$18,419,000 =</ENT> <ENT>693,188</ENT> <ENT>for Sex Equity Programs.</ENT> </ROW> <ROW> <ENT I="01">($1,700,000/$18,600,000) ×$18,419,000 =</ENT> <ENT>1,683,457</ENT> <ENT>for State Programs and State Leadership Activities.</ENT> </ROW> <ROW> <ENT I="01">($200,000/$18,600,000) ×$18,419,000 =</ENT> <ENT>198,054</ENT> <ENT>for Programs for Criminal Offenders.</ENT> </ROW> <ROW RUL="n,s,n"> <ENT I="01">($15,000,000/$18,600,000) ×$18,419,000 =</ENT> <ENT>14,854,032</ENT> <ENT>for part C of title II.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>18,419,000</ENT> </ROW> </GPOTABLE> <P>This example assumes that amounts reserved for the Sex Equity Program and Programs for Criminal Offenders meet the “hold-harmless” requirement of section 102(c) (1) and (2) of the Act.</P> </EXAMPLE> <EXAMPLE> <HD SOURCE="HED">Example 3:</HD> <P>A State's one percent reserved from its FY 1992 grant for Programs for Criminal Offenders is $200,000 and the amount reserved for that program under section 202(6) of the CDPVEA plus other amounts obligated for projects, services, and activities for criminal offenders in correctional institutions from its FY 1991 grant from the FY 1990 appropriations totals $250,000. Therefore, the amount of FY 1992 funds reserved for that program is $50,000 less than the amount reserved and obligated for that program in FY 1991. The State received a basic programs award of $20,000,000 in FY 1992. The other programs under title II, part B meet the “hold-harmless” requirement of § 403.180(a)(1) and the amount reserved for State administration exceeds $250,000. The State determines the amount of funds to be reserved for each program under title II, parts A, B, and C of the Act as follows:</P> <P>(a) First, the State subtracts $250,000 from the $20,000,000 total basic programs award ($20,000,000 −$250,000 = $19,750,000).</P> <P>(b) Second, the State determines the amount that would have been reserved for each of the programs under parts A, B, and C of title II of the Act in the absence of a <PRTPAGE P="57"/>shortfall in the set-aside amount for the Programs for Criminal Offenders, as follows:</P> <GPOTABLE CDEF="xl10,10,xl10" COLS="3" OPTS="L0,g1,t1"> <ROW> <ENT I="01">5.0% ×20,000,000 =</ENT> <ENT>$1,000,000</ENT> <ENT>for administration.</ENT> </ROW> <ROW> <ENT I="01">3.5% ×20,000,000 =</ENT> <ENT>700,000</ENT> <ENT>for Sex Equity Programs.</ENT> </ROW> <ROW> <ENT I="01">7.0% ×20,000,000 =</ENT> <ENT>1,400,000</ENT> <ENT>for Programs for Single Parents, Displaced Homemakers, and Single Pregnant Women.</ENT> </ROW> <ROW> <ENT I="01">8.5% ×20,000,000 =</ENT> <ENT>1,700,000</ENT> <ENT>for State Programs and State Leadership Activities.</ENT> </ROW> <ROW RUL="n,s,n"> <ENT I="01">75.0% ×20,000,000 =</ENT> <ENT>15,000,000</ENT> <ENT>for part C of title II.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>19,800,000</ENT> </ROW> </GPOTABLE> <P>(c) Third, the State converts each of these amounts into a percentage by dividing each amount by the sum of the amounts the programs would have earned in the absence of a shortfall ($19,800,000) and multiplies the remaining basic programs award ($19,750,000) by these percentages to determine the amount to reserve for each program under parts A, B, and C of title II of the Act, as follows:</P> <GPOTABLE CDEF="xl10,11,xl10" COLS="3" OPTS="L0,g1,t1"> <ROW> <ENT I="01">($1,000,000/$19,800,000) ×$19,750,000 =</ENT> <ENT>$997,475</ENT> <ENT>for administration.</ENT> </ROW> <ROW> <ENT I="01">($700,000/$19,800,000) ×$19,750,000 =</ENT> <ENT>$698,232</ENT> <ENT>for Sex Equity Programs.</ENT> </ROW> <ROW> <ENT I="01">($1,400,000/$19,800,000) ×$19,750,000 =</ENT> <ENT>$1,396,465</ENT> <ENT>for Programs for Single Parents, Displaced Homemakers, and Single Pregnant Women.</ENT> </ROW> <ROW> <ENT I="01">($1,700,000/$19,800,000) ×$19,750,000 =</ENT> <ENT>$1,695,707</ENT> <ENT>for State Programs and State Leadership Activities.</ENT> </ROW> <ROW RUL="n,s,n"> <ENT I="01">($15,000,000/$19,800,000) ×$19,750,000 =</ENT> <ENT>$14,962,121</ENT> <ENT>for part C of title II.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>$19,750,000</ENT> </ROW> </GPOTABLE> <P>This example assumes that amounts reserved for the Sex Equity Program and for the Program for Single Parents, Displaced Homemakers, and Single Pregnant Women meet the “hold-harmless” requirement of sections 102(c) (1) and (2) of the Act.</P> </EXAMPLE> <P>(d) The procedure for meeting the ratable reduction provision in paragraph (a)(2) of this section is as follows:</P> <P>(1) If a State's basic programs award under title II of the Act for FY 1992 or in future years is less than that State's basic grant amount in FY 1991, a State shall determine the percentage that the basic programs award is of the FY 1991 basic programs award.</P> <P>(2) The State shall multiply the amounts reserved in FY 1991 for each of the three programs covered by the “hold-harmless” provisions in paragraph (a)(1) of this section by this percentage.</P> <P>(3) The State shall compare the amounts that would be reserved for these programs in FY 1992 to determine if these amounts are less than the ratably reduced hold-harmless amounts, and if so, shall proceed with the calculation required by paragraph (c) of this section except using the ratably reduced “hold-harmless” amounts.</P> <SECAUTH>(Authority: 20 U.S.C. 2312)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.181</SECTNO> <SUBJECT>What are the cost-sharing requirements applicable to the basic programs?</SUBJECT> <P>(a) A State shall match, from non-Federal sources and on a dollar-for-dollar basis, the funds reserved for administration of the State plan under § 403.180(b)(4).</P> <P>(b) The matching requirement under paragraph (a) of this section may be applied overall, rather than line-by-line, to State administrative expenditures.</P> <P>(c) A State shall provide from non-Federal sources for State administration under the Act an amount that is not less than the amount provided by the State from non-Federal sources for State administrative costs for the preceding fiscal or program year. </P> <EXAMPLE> <HD SOURCE="HED">Example for paragraph (b):</HD> <P>From the five percent reserved for the administration of the State plan, a State must reserve $60,000 to carry out the provisions in § 403.13. The $60,000 must be matched, but the matching funds need not be used for the activities described in § 403.13.</P> </EXAMPLE> <SECAUTH>(Authority: 20 U.S.C. 2312(b) and 2468d; H.R. Rep. No. 660, 101st Cong., 2nd Sess. 103-104 (1990))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.182</SECTNO> <SUBJECT>What is the maintenance of fiscal effort requirement?</SUBJECT> <P>The Secretary may not make a payment under the Act to a State for any fiscal year unless the Secretary determines that the fiscal effort per student, or the aggregate expenditures of that State, from State sources, for vocational education for the fiscal year (or program year) preceding the fiscal year (or program year) for which the determination is made, at least equaled its effort or expenditures for vocational <PRTPAGE P="58"/>education for the second preceding fiscal year (or program year).</P> <SECAUTH>(Authority: 20 U.S.C. 2463(a))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.183</SECTNO> <SUBJECT>Under what circumstances may the Secretary waive the maintenance of effort requirement?</SUBJECT> <P>(a) The Secretary may waive the maintenance of effort requirement in § 403.182 for a State for one year only if—</P> <P>(1) The Secretary determines that a waiver would be equitable due to exceptional or uncontrollable circumstances affecting the State's ability to maintain fiscal effort; and</P> <P>(2) The State has decreased its expenditures for vocational education from non-Federal sources by no more than five percent.</P> <P>(b) For purposes of this section, “exceptional or uncontrollable circumstances” include, but are not limited to, the following:</P> <P>(1) A natural disaster.</P> <P>(2) An unforeseen and precipitous decline in financial resources.</P> <P>(c) The Secretary does not consider tax initiatives or referenda to be exceptional or uncontrollable circumstances.</P> <SECAUTH>(Authority: 20 U.S.C. 2463(b))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.184</SECTNO> <SUBJECT>How does a State request a waiver of the maintenance of effort requirement?</SUBJECT> <P>A State seeking a waiver of the maintenance of effort requirement in § 403.182 shall—</P> <P>(a) Submit to the Secretary a request for a waiver; and</P> <P>(b) Include in the request—</P> <P>(1) The reason for the request;</P> <P>(2) Information that demonstrates that a waiver is justified; and</P> <P>(3) Any additional information the Secretary may require.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0030)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2463(b))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.185</SECTNO> <SUBJECT>How does the Secretary compute maintenance of effort in the event of a waiver?</SUBJECT> <P>If a State has been granted a waiver of the maintenance of effort requirement that allows it to receive a grant for a fiscal year, the Secretary determines whether the State has met that requirement for the grant to be awarded for the year after the year of the waiver by comparing the amount spent for vocational education from non-Federal sources in the first preceding fiscal year (or program year) with the amount spent in the third preceding fiscal year (or program year). </P> <EXAMPLE> <HD SOURCE="HED">Example:</HD> <P>Because exceptional or uncontrollable circumstances prevented a State from maintaining its level of fiscal effort in a program year 1989 (July 1, 1988-June 30, 1989) at the level of its fiscal effort in program year 1988 (July 1, 1987-June 30, 1988), the Secretary granted the State a waiver of the maintenance of effort requirement that permits the State to receive its fiscal year 1990 grant (a grant that is awarded on or after July 1, 1990 from funds appropriated in the fiscal year 1990 appropriation). To be eligible to receive its fiscal year 1991 grant (the grant to be awarded for the year after the year of the waiver), the State's expenditures from the first preceding program year (July 1, 1989-June 30, 1990) must equal or exceed its expenditures from the third preceding program year (July 1, 1987 to June 30, 1988).</P> </EXAMPLE> <SECAUTH>(Authority: 20 U.S.C. 2463(c))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.186</SECTNO> <SUBJECT>What are the administrative cost requirements applicable to a State?</SUBJECT> <P>(a) <E T="03">Basic Programs.</E> A State may use only funds reserved under § 403.180(b)(4) to administer the programs under title II of the Act, including Programs for Criminal Offenders.</P> <P>(b) <E T="03">Special Programs.</E> (1) A State may use the funds reserved under § 403.180(b)(4) to administer any of the special programs listed in § 403.130.</P> <P>(2) In addition to the funds reserved under § 403.180(b)(4), a State may use only an amount of funds from its allotment for the State Assistance for Vocational Education Support Programs by Community-Based Organizations that is necessary and reasonable for the proper and efficient State administration of that program.</P> <P>(3) In addition to the funds reserved under § 403.180(b)(4), a State may use the amounts reserved for the Consumer and Homemaking Education Program, the Comprehensive Career Guidance and Counseling Program, and the Business-Labor-Education Partnership for Training Program under §§ 403.151(c), 403.161(c), and 403.173(b), respectively, <PRTPAGE P="59"/>for the proper and efficient administration of each program.</P> <SECAUTH>(Authority: 20 U.S.C. 2302(d) (A)-(D) and 2312(a))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.187</SECTNO> <SUBJECT>How may a State provide technical assistance?</SUBJECT> <P>(a) Except as provided in paragraph (b) of this section, a State may use only an amount of the funds reserved for each of the basic programs listed in § 403.60 and the special programs listed in § 403.130 to pay the costs of providing technical assistance that is necessary and reasonable to promote or enhance the quality and effectiveness of that program.</P> <P>(b) A State may not use funds reserved under § 403.180(b)(1) for the Secondary School Vocational Education Program and the Postsecondary and Adult Vocational Education Program to pay the costs of providing technical assistance.</P> <P>(c) In providing technical assistance under paragraph (a) of this section, a State may not use amounts to an extent that would interfere with achieving the purposes of the program for which the funds were awarded.</P> <SECAUTH>(Authority: 20 U.S.C. 2302(d) (A)-(D), 2312(a), and 2323(b)(5))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.188</SECTNO> <SUBJECT>What is a State's responsibility for the cost of services and activities for members of special populations?</SUBJECT> <P>A State is not required to use non-Federal funds to pay the cost of services and activities that it provides to members of special populations pursuant to § 403.32(a) (18)-(26) or to pay the cost of services and activities that eligible recipients provide to members of special populations pursuant to §§ 403.111 (a)(2)(i) and (c)(3), 403.190(b), or 403.193, unless this requirement is imposed by other applicable laws.</P> <SECAUTH>(Authority: 20 U.S.C. 2328)</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart H—What Conditions Must be Met by Local Recipients?</HD> <SECTION> <SECTNO>§ 403.190</SECTNO> <SUBJECT>What are the requirements for receiving a subgrant or contract?</SUBJECT> <P>(a) Each eligible recipient desiring financial assistance under the Secondary School Vocational Education Program or the Postsecondary and Adult Vocational Education Program must submit to the State board, according to requirements established by the State board, an application covering the same period as the State plan, for the use of that assistance. The State board shall determine requirements for local applications, except that each application must—</P> <P>(1) Contain a description of—</P> <P>(i) The vocational education program to be funded, including—</P> <P>(A) The extent to which the program incorporates each of the requirements described in § 403.111 (a), (b), and (c); and</P> <P>(B) How the eligible recipient will use the funds available under § 403.112, § 403.113, or § 403.116 and from other sources to improve the program with regard to each requirement and activity described in § 403.111 (c) and (d);</P> <P>(ii) How the needs of individuals who are members of special populations will be assessed and the planned use of funds to meet those needs;</P> <P>(iii) How access to programs of good quality will be provided to students who are economically disadvantaged (including foster children), students with disabilities, and students of limited English proficiency through affirmative outreach and recruitment efforts;</P> <P>(iv) The program evaluation standards the applicant will use to measure its progress;</P> <P>(v) The methods to be used to coordinate vocational education services with relevant programs conducted under the JTPA, including cooperative arrangements established with private industry councils established under section 102(a) of that Act, in order to avoid duplication and to expand the range of and accessibility to vocational education services;</P> <P>(vi) The methods used to develop vocational educational programs in consultation with parents and students of special populations;</P> <P>(vii) How the eligible recipient coordinates with community-based organizations;</P> <P>(viii) The manner and the extent to which the eligible recipient considered the demonstrated occupational needs <PRTPAGE P="60"/>of the area in assisting programs funded under the Act;</P> <P>(ix) How the eligible recipient will provide a vocational education program that—</P> <P>(A) Integrates academic and occupational disciplines so that students participating in the program are able to achieve both academic and occupational competence; and</P> <P>(B) Offers coherent sequences of courses leading to a job skill; and</P> <P>(x) How the eligible recipient will monitor the provision of vocational education to individuals who are members of special populations, including the provision of vocational education to students with individualized education programs developed under the IDEA;</P> <P>(2) Provide assurances that—</P> <P>(i) The programs funded under § 403.112, § 403.113, or § 403.116 will be carried out according to the requirements regarding special populations;</P> <P>(ii) The eligible recipient will provide a vocational program that—</P> <P>(A) Encourages students through counseling to pursue coherent sequences of courses;</P> <P>(B) Assists students who are economically disadvantaged, students of limited English proficiency, and students with disabilities to succeed through supportive services such as counseling, English-language instruction, child care, and special aids;</P> <P>(C) Is of a size, scope, and quality as to bring about improvement in the quality of education offered by the school; and</P> <P>(D) Seeks to cooperate with the sex equity program carried out under § 403.91; and</P> <P>(iii) The eligible recipient will provide sufficient information to the State to enable the State to comply with the requirements in § 403.113; and</P> <P>(3) Contain a report on the number of individuals in each of the special populations.</P> <P>(b) Each eligible recipient desiring financial assistance under title II of the Act must provide assurances to the State board that, with respect to any project that is funded under a basic program listed in § 403.60 or a special program listed in § 403.130, it will—</P> <P>(1) Assist students who are members of special populations to enter vocational education programs, and, with respect to students with disabilities, assist in fulfilling the transitional service requirement of section 626 of the IDEA;</P> <P>(2) Assess the special needs of students participating in projects receiving assistance under a basic program listed in § 403.60 or a special program listed in § 403.130, with respect to their successful completion of the vocational education program in the most integrated setting possible;</P> <P>(3) Provide supplementary services, as defined in 34 CFR 400.4(b), to students who are members of special populations;</P> <P>(4) Provide guidance, counseling, and career development activities conducted by professionally trained counselors and teachers who are associated with the provision of those special services; and</P> <P>(5) Provide counseling and instructional services designed to facilitate the transition from school to post-school employment and career opportunities.</P> <P>(c) Each eligible recipient desiring financial assistance under Title II of the Act must provide the services and activities described in paragraph (b) of this section, to the extent possible with funds awarded under the Act, and indicate in its local application whether any non-Federal funds will be used for this purpose.</P> <CROSSREF> <HD SOURCE="HED">Cross-Reference:</HD> <P>See § 403.193(e).</P> </CROSSREF> <P>(d) Each eligible recipient desiring financial assistance under the Act shall provide sufficient information to the State, as the State board requires, to demonstrate to the State board that the eligible recipient's projects comply with § 403.32(a)(18)-(26).</P> <P>(e) Each eligible recipient desiring financial assistance under the Act shall—</P> <P>(1) Provide the assurance described in § 403.14(a)(2); and</P> <P>(2) Include in its application, as appropriate—</P> <P>(i) The number of disabled students, economically disadvantaged students, and students with limited English proficiency in its vocational program;<PRTPAGE P="61"/> </P> <P>(ii) An assessment of the vocational needs of its students with disabilities, economically disadvantaged students, and students with limited English proficiency; and</P> <P>(iii) A plan to provide supplementary services sufficient to meet the needs identified in the assessment described in paragraph (e)(2)(ii).</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0030)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2321(c)(1), (d), (e); 2328; and 2343)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.191</SECTNO> <SUBJECT>What are the requirements for program evaluation?</SUBJECT> <P>(a)(1) Beginning in the 1992-1993 school year, each recipient of financial assistance under § 403.112, § 403.113, or § 403.116 shall evaluate annually the effectiveness of the particular projects, services, and activities receiving assistance under a basic program listed in § 403.60, or a special program listed in § 403.130, unless the State board determines pursuant to § 403.201(a)(3) that a broader evaluation is required. A recipient may conduct the evaluation required under this paragraph by evaluating either the entire population of participants or a representative sample of participants.</P> <P>(2) The annual evaluation must be based on the standards and measures developed by the State board in accordance with §§ 403.201 and 403.202, including any modifications made by the recipient in accordance with paragraph (b) of this section.</P> <P>(b)(1) Each recipient may modify the State standards and measures based on—</P> <P>(i) Economic, geographic, or demographic factors; or</P> <P>(ii) The characteristics of the populations to be served.</P> <P>(2) Modifications must conform to the assessment criteria contained in the State plan.</P> <P>(c) Each recipient, as part of the annual evaluation required in paragraph (a) of this section, and with the full participation of representatives of special populations, shall—</P> <P>(1) Identify and adopt strategies to overcome barriers that are resulting in lower rates of access to, or success in, vocational education programs for members of special populations; and</P> <P>(2) Evaluate the progress of individuals who are members of special populations.</P> <P>(d) Each recipient, as a part of the annual evaluation required in paragraph (a) of this section, shall evaluate its progress in providing vocational education students with strong experience in and understanding of all aspects of the industries the students are preparing to enter.</P> <P>(e) Each recipient may use funds awarded under a basic program listed in § 403.60 or a special program listed in § 403.130 to support the cost of conducting the evaluation required under paragraphs (a) through (d) of this section to the extent that the costs are—</P> <P>(1) Reasonable and necessary;</P> <P>(2) Related to the purposes for which the funds were awarded; and</P> <P>(3) Consistent with applicable requirements, such as the requirement in § 403.196 to use funds awarded under title II of the Act to supplement, and not to supplant, State and local funds.</P> <SECAUTH>(Authority: 20 U.S.C. 2325(a) and 2327(a))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.192</SECTNO> <SUBJECT>What are the requirements for program improvement?</SUBJECT> <P>(a) If, beginning not less than one year after implementing the program evaluation required in § 403.191, a recipient determines, through its annual evaluation, that it is not making substantial progress in meeting the standards and measures developed by the State under §§ 403.201 and 403.202, the recipient shall develop a plan for program improvement for the succeeding school year.</P> <P>(b) The plan must be developed in consultation with teachers, parents, and students concerned with or affected by the program, and must describe how the recipient will identify and modify projects, services, and activities receiving assistance under the programs listed in §§ 403.60 and 403.130 that are in need of improvement, including a description of—</P> <P>(1) Vocational education and career development strategies designed to achieve progress in improving the effectiveness of the recipient's projects, services, and activities receiving assistance under the programs listed in §§ 403.60 and 403.130 evaluated under § 403.191(a)(1); and<PRTPAGE P="62"/> </P> <P>(2) If necessary, the strategies designed to improve supplementary services provided to individuals who are members of special populations.</P> <CROSSREF> <HD SOURCE="HED">Cross Reference:</HD> <P>See 34 CFR 403.204.</P> </CROSSREF> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0030)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2327(b))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.193</SECTNO> <SUBJECT>What are the information requirements regarding special populations?</SUBJECT> <P>(a)(1) Each local educational agency that receives funds under Title II of the Act shall provide to students who are members of special populations and their parents information concerning—</P> <P>(i) The opportunities available in vocational education;</P> <P>(ii) The requirements for eligibility for enrollment in those vocational education programs;</P> <P>(iii) Special courses that are available;</P> <P>(iv) Special services that are available;</P> <P>(v) Employment opportunities; and</P> <P>(vi) Placement.</P> <P>(2) Each area vocational education school or intermediate educational agency that receives funds under title II of the Act shall provide the information described in paragraph (a)(1) of this section to the students who are members of special populations and their parents in any local educational agency whose allocation was distributed in its entirety under § 403.113 to the area vocational education school or intermediate educational agency.</P> <P>(b) The information described in paragraph (a)(1) of this section must be provided at least one year before the students enter, or are of an appropriate age for, the grade level in which vocational education programs are first generally available in the State, but in no case later than the beginning of the ninth grade.</P> <P>(c) Each eligible institution or consortium of eligible institutions that receives funds under Title II of the Act shall—</P> <P>(1) Provide the information described in paragraph (a)(1) of this section to each individual who requests information concerning, or seeks admission to, vocational education programs offered by the institution or consortium of eligible institutions; and</P> <P>(2) If appropriate, assist in the preparation of applications relating to that admission.</P> <P>(d) Information described under paragraph (a)(1) of this section must, to the extent practicable, be in a language and form that parents and students understand.</P> <P>(e) An eligible recipient is not required by this part to use non-Federal funds to pay the cost of services and activities required by this section and §§ 403.111(a)(2)(i) and (c)(3) and 403.190(b) unless this requirement is imposed by other applicable laws.</P> <SECAUTH>(Authority: 20 U.S.C. 2328(b) and (c) and 2342(a) and (c)(1)(C))</SECAUTH> <CITA>[57 FR 36735, Aug. 14, 1992, as amended at 59 FR 38513, July 28, 1994]</CITA> </SECTION> <SECTION> <SECTNO>§ 403.194</SECTNO> <SUBJECT>What are the comparability requirements?</SUBJECT> <P>(a) A local educational agency may receive an award of Federal funds under the State plan only if—</P> <P>(1) The local educational agency uses State and local funds to provide services in secondary schools or sites served with Federal funds awarded under the State plan that, taken as a whole, are at least comparable to those services being provided in secondary schools or sites that are not being served with Federal funds awarded under the State plan; or</P> <P>(2) In the event that the local educational agency serves all its secondary schools or sites with Federal funds awarded under the State plan, the local educational agency uses State and local funds to provide services that, taken as a whole, are substantially comparable in each secondary school or site.</P> <CROSSREF> <HD SOURCE="HED">Cross-Reference:</HD> <P>See appendix B to part 403.</P> </CROSSREF> <P>(b) The comparability requirements in paragraph (a) of this section do not apply to—</P> <P>(1) A local educational agency with only one secondary school or site; or</P> <P>(2) A consortium composed of more than one local educational agency, except that, within a consortium, each local educational agency itself must meet the comparability requirements <PRTPAGE P="63"/>unless it is exempt under paragraph (b)(1) of this section.</P> <P>(c)(1) A local educational agency shall develop written procedures for complying with the comparability requirements in paragraph (a) of this section, including a process for demonstrating annually that State and local funds are used to provide services in served schools and sites that are at least comparable to the services provided with State and local funds in schools or sites in the local educational agency that are not served with funds awarded under the State plan.</P> <P>(2) In reaching the determination as to whether comparability requirements in paragraph (a) of this section were met, the local educational agency's written procedures—</P> <P>(i) Do not have to take into account unpredictable changes in student enrollment or personnel assignments that occur after the beginning of a school year; and</P> <P>(ii) May not take into account any State and local funds spent in carrying out the following types of programs:</P> <P>(A) Special local programs designed to meet the educational needs of educationally deprived children, including compensatory education for educationally deprived children, that were excluded in the preceding fiscal year from comparability determinations under section 1018(d)(1)(B) of chapter 1 (20 U.S.C. 2728(d)(1)(B)).</P> <P>(B) Bilingual education for children of limited English proficiency.</P> <P>(C) Special education for children with disabilities.</P> <P>(D) State phase-in programs that were excluded in the preceding fiscal year from comparability determinations under section 1018(d)(2)(B) of chapter 1 (20 U.S.C. 2728(d)(2)(B)).</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0030)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2323(b)(19))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.195</SECTNO> <SUBJECT>What are the administrative cost requirements applicable to local recipients?</SUBJECT> <P>(a) Except as provided in paragraphs (b) and (c) of this section, each eligible recipient, including a State corrections educational agency, that receives an award under a basic program listed in § 403.60 or a special program listed in § 403.130, may use no more than the amount of funds from each award that is necessary and reasonable for the proper and efficient administration of the projects, services, and activities for which the award was made.</P> <P>(b) Each eligible recipient that receives an award under § 403.112, § 403.113, or § 403.116 may use no more than five percent of those funds for administrative costs.</P> <P>(c) Each eligible partner that receives an award under the Business-Labor-Education Partnership for Training Program may use no more funds under that award for administrative costs than the amounts prescribed in § 403.173(b).</P> <SECAUTH>(Authority: 20 U.S.C. 2342(c); 2393(a)(1) and (c))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.196</SECTNO> <SUBJECT>What are the requirements regarding supplanting?</SUBJECT> <P>(a) Funds made available under title II of the Act must be used to supplement, and to the extent practicable increase the amount of State and local funds that would in the absence of funds under title II of the Act be made available for the purposes specified in the State plan and the local application.</P> <P>(b) Notwithstanding paragraph (a) of this section and § 403.32(a)(17), funds made available under title II of the Act may be used to pay the costs of vocational education services required by an individualized education program developed pursuant to sections 612(4) and 614(a)(5) of the IDEA (20 U.S.C. 1412(4) and 1414(a)(5)), in a manner consistent with section 614(a)(1) of that Act, and services necessary to meet the requirements of section 504 of the Rehabilitation Act of 1973 with respect to ensuring equal access to vocational education.</P> <P>(c) Any expenditures pursuant to paragraph (b) of this section must increase the amount of funds that would otherwise be available to meet the costs of an individualized education program or to comply with section 504 of the Rehabilitation Act of 1973.</P> <SECAUTH>(Authority: 20 U.S.C. 2468e(a)(1))</SECAUTH> </SECTION> <SECTION> <PRTPAGE P="64"/> <SECTNO>§ 403.197</SECTNO> <SUBJECT>What are the requirements for the use of equipment?</SUBJECT> <P>(a) Equipment purchased with funds under § 403.112, § 403.113, or § 403.116, when not being used to carry out the purposes of the Act for which it was purchased, may be used for other vocational education purposes if the acquisition of the equipment was reasonable and necessary for the purpose of conducting a properly designed project or activity under the Secondary School Vocational Education Program or the Postsecondary and Adult Vocational Education Program.</P> <P>(b) Equipment purchased with funds under § 403.112, § 403.113, or § 403.116, when not being used to carry out the purposes of the Act for which it was purchased or other vocational education purposes, may be used for other instructional purposes if—</P> <P>(1) The acquisition of the equipment was reasonable and necessary for the purpose of conducting a properly designed project or activity under the Secondary School Vocational Education Program or the Postsecondary and Adult Vocational Education Program; and</P> <P>(2) The other use of the equipment is after regular school hours or on weekends.</P> <P>(c) The use of equipment under paragraphs (a) and (b) of this section must—</P> <P>(1) Be incidental to the use of that equipment for the purposes under the Secondary School Vocational Education Program or the Postsecondary and Adult Vocational Education Program for which it was purchased;</P> <P>(2) Not interfere with the use of that equipment for the purposes under the Secondary School Vocational Education Program or the Postsecondary and Adult Vocational Education Program for which it was purchased; and</P> <P>(3) Not add to the cost of using that equipment for the purposes under the Secondary School Vocational Education Program or the Postsecondary and Adult Vocational Education Program for which it was purchased.</P> <SECAUTH>(Authority: 20 U.S.C. 2342(c)(3))</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart I—What Are the Administrative Responsibilities of a State Under the State Vocational and Applied Technology Education Program?</HD> <SECTION> <SECTNO>§ 403.200</SECTNO> <SUBJECT>What are the State's responsibilities for ensuring compliance with the comparability requirements?</SUBJECT> <P>(a) The State board may not make a payment under the Act to a local educational agency unless the LEA is in compliance with § 403.194. As indicated in § 403.194(a), an LEA may demonstrate its compliance with the comparability requirements by filing an appropriate assurance.</P> <P>(b) The State board shall monitor each local educational agency's compliance with the comparability requirements in § 403.194.</P> <P>(c) If, after a local educational agency receives an award of Federal funds under the State plan, the local educational agency is found not to be in compliance with the comparability requirements, the State board shall—</P> <P>(1) Withhold all or a portion of the local educational agency's grant award, but not less than the amount or percentage by which the local educational agency failed to achieve comparability under the local educational agency's procedures established pursuant to § 403.194(c); or</P> <P>(2) Require repayment of the amount or percentage by which the local educational agency failed to achieve comparability if the local educational agency is found not to be in compliance after the period of availability of the funds awarded has ended.</P> <SECAUTH>(Authority: 20 U.S.C. 2323(b)(19))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.201</SECTNO> <SUBJECT>What are the State's responsibilities for developing and implementing a statewide system of core standards and measures of performance?</SUBJECT> <P>(a)(1) Each State board receiving funds under the Act shall develop and implement a statewide system of core standards and measures of performance for secondary, postsecondary, and adult vocational education programs.</P> <P>(2) This system must—</P> <P>(i) Be developed and implemented by September 25, 1992; and<PRTPAGE P="65"/> </P> <P>(ii) Apply to all programs assisted under the Act.</P> <P>(3) The State board must determine whether a recipient of funds under § 403.112, § 403.113, or § 403.116 must evaluate more than the particular projects, services, and activities receiving assistance under a basic program listed in § 403.60 or a special program listed in § 403.130 in order to carry out a valid, reliable, and otherwise meaningful evaluation of the effectiveness of these projects, services, and activities as required by § 403.191(a)(1), using the standards and measures developed pursuant to paragraph (a)(1) of this section.</P> <P>(4) If a State board determines under paragraph (a)(3) of this section that a recipient must evaluate more than the particular projects, services, and activities receiving assistance under a basic or special program, the State board shall—</P> <P>(i) Determine whether the entire local vocational education program—or which projects, services, and activities in addition to the ones assisted under a basic or special program—must be evaluated to assess the effectiveness of the particular projects, services, and activities receiving assistance under a basic program or a special program; and</P> <P>(ii) Require a recipient to conduct an evaluation consistent with the State board's determination under paragraph (a)(4)(i) of this section.</P> <P>(b) To assist in the development and implementation of the Statewide system addressed in paragraph (a) of this section, the State board shall appoint a State Committee of Practitioners (Committee), as prescribed in 34 CFR 400.6.</P> <P>(c) The State board shall convene the Committee on a regular basis to review, comment on, and propose revisions to the State board's draft proposal for a system of core standards and measures of performance for vocational education programs assisted under the Act.</P> <P>(d) To assist the Committee in formulating recommendations for modifying standards and measures of performance, the State board shall provide the Committee with information concerning differing types of standards and measures including—</P> <P>(1) The advantages and disadvantages of each type of standard or measure; and</P> <P>(2) Instances in which those standards and measures—</P> <P>(i) Have been effective; and</P> <P>(ii) Have not been effective.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0030)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2325(a) and (d))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.202</SECTNO> <SUBJECT>What must each State's system of core standards and measures of performance include?</SUBJECT> <P>(a) The statewide system of core standards and measures of performance for vocational education programs must include—</P> <P>(1) Measures of learning and competency gains, including student progress in the achievement of basic and more advanced academic skills;</P> <P>(2) One or more measures of the following:</P> <P>(i) Student competency attainment.</P> <P>(ii) Job or work skill attainment or enhancement including student progress in achieving occupational skills necessary to obtain employment in the field for which the student has been prepared, including occupational skills in the industry the student is preparing to enter.</P> <P>(iii) Retention in school or completion of secondary school or its equivalent.</P> <P>(iv) Placement into additional training or education, military service, or employment;</P> <P>(3) Incentives or adjustments that are—</P> <P>(i) Designed to encourage service to targeted groups or special populations; and</P> <P>(ii) Developed for each student, and, if appropriate, consistent with the student's individualized education program developed under section 614(a)(5) of the IDEA; and</P> <P>(4) Procedures for using existing resources and methods developed in other programs receiving Federal assistance.</P> <P>(b) In developing the standards and measures included in the system developed under paragraph (a) of this section, the State board shall take into consideration and shall provide, to the <PRTPAGE P="66"/>extent appropriate, for consistency with—</P> <P>(1) Standards and measures developed under job opportunities and basic skills training programs established and operated under a plan approved by the Secretary of Health and Human Services that meets the requirements of section 402(a)(19) of the Social Security Act (42 U.S.C. 687); and</P> <P>(2) Standards prescribed by the Secretary of Labor under section 106 of the JTPA.</P> <CROSSREF> <HD SOURCE="HED">Cross-Reference:</HD> <P>See 34 CFR 400.6.</P> </CROSSREF> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0030) </APPRO> <SECAUTH>(Authority: 20 U.S.C. 2325(b), (c))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.203</SECTNO> <SUBJECT>What are the State's responsibilities for a State assessment?</SUBJECT> <P>(a) Each State board receiving assistance under the Act shall conduct an assessment of the quality of vocational education programs throughout the State using measurable objective criteria.</P> <P>(b) In developing the assessment criteria, the State board shall—</P> <P>(1) Consult with representatives of the groups described in 34 CFR 400.6(c); and</P> <P>(2) Use information gathered by the National Occupational Information Coordinating Committee and, if appropriate, other information.</P> <P>(c) Each State board shall—</P> <P>(1) Develop assessment criteria no later than the beginning of the 1991-1992 school year; and</P> <P>(2) Widely disseminate those criteria.</P> <P>(d) Assessment criteria must include at least the following factors, but may include others:</P> <P>(1) Integration of academic and vocational education.</P> <P>(2) Sequential courses of study leading to both academic and occupational competencies.</P> <P>(3) Increased student work skill attainment and job placement.</P> <P>(4) Increased linkages between secondary and postsecondary educational institutions.</P> <P>(5) Instruction and experience, to the extent practicable, in all aspects of an industry the students are preparing to enter.</P> <P>(6) The ability of the eligible recipients to meet the needs of special populations with respect to vocational education.</P> <P>(7) Raising the quality of vocational education programs in schools with a high concentration of poor and low-achieving students.</P> <P>(8) The relevance of programs to the workplace and to the occupations for which students are to be trained, and the extent to which those programs reflect a realistic assessment of current and future labor market needs, including needs in areas of emerging technologies.</P> <P>(9) The ability of the vocational curriculum, equipment, and instructional materials to meet the demands of the work force.</P> <P>(10) Basic and higher order current and future workplace competencies that will reflect the hiring needs of employers.</P> <P>(11) The capability of vocational education programs to meet the needs of individuals who are members of special populations.</P> <P>(12) Other factors considered appropriate by the State board.</P> <P>(e) The assessment must include an analysis of—</P> <P>(1) The relative academic, occupational, training, and retraining needs of secondary, adult, and postsecondary students; and</P> <P>(2) The capability of vocational education programs to provide vocational education students, to the extent practicable, with—</P> <P>(i) Strong experience in, and understanding of, all aspects of the industry the students are preparing to enter (including planning, management, finances, technical and production skills, underlying principles of technology, labor and community issues, and health, safety, and environmental issues); and</P> <P>(ii) Strong development and use of problem-solving skills and basic and advanced academic skills (including skills in the areas of mathematics, reading, writing, science, and social studies) in a technological setting.</P> <P>(f)(1) Each State board shall complete the initial assessment required by paragraph (a) of this section before March 25, 1991, and, therefore, at least <PRTPAGE P="67"/>six months prior to the required submission of a new State plan to the Secretary.</P> <P>(2) Each State board shall conduct an assessment under this section prior to the submission of each new State plan to the Secretary.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0030)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2323(a)(3), (b)(3)(B), and 2326)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.204</SECTNO> <SUBJECT>What are the State's responsibilities for program evaluation and improvement?</SUBJECT> <P>(a) If, one year after an eligible recipient has implemented its program improvement plan described in § 403.192, the State finds that the eligible recipient has not made sufficient progress in meeting the standards and measures developed as required by §§ 403.201 and 403.202, the State shall work jointly with the recipient and with teachers, parents, and students concerned with or affected by the program, to develop a joint plan for program improvement.</P> <P>(b) Each joint plan required by paragraph (a) of this section must contain—</P> <P>(1) A description of the technical assistance and program activities the State will provide to enhance the performance of the eligible recipient;</P> <P>(2) A reasonable timetable to improve school performance under the plan;</P> <P>(3) A description of vocational education strategies designed to improve the performance of the program as measured by the local evaluation; and</P> <P>(4) If necessary, a description of strategies designed to improve supplementary services provided to individuals who are members of special populations.</P> <P>(c) The State, in conjunction with the eligible recipient, shall annually review and revise the joint plan developed under paragraph (a) of this section and provide appropriate assistance until the recipient sustains fulfillment of State and local standards and measures developed under §§ 403.201 and 403.202 for more than one year.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0030)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2327(c), (d))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.205</SECTNO> <SUBJECT>What are the State's responsibilities for members of special populations?</SUBJECT> <P>The State board shall—</P> <P>(a) Establish effective procedures, including an expedited appeals procedure, by which students who are members of special populations and their parents, teachers, and concerned area residents will be able to participate directly in State and local decisions that influence the character of programs under the Act affecting their interests; and</P> <P>(b) Provide technical assistance and design procedures necessary to ensure that those individuals referred to in paragraph (a) of this section are given access to the information needed to use those procedures.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0030)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2328(d))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.206</SECTNO> <SUBJECT>What are the State's responsibilities regarding a State occupational information coordinating committee?</SUBJECT> <P>(a) A State that receives funds under the Act shall establish a State occupational information coordinating committee composed of representatives of the State board, the State employment security agency, the State economic development agency, the State job training coordinating council, and the agency administering the vocational rehabilitation program.</P> <P>(b) With funds made available to it by the National Occupational Information Coordinating Committee, the State occupational information coordinating committee shall—</P> <P>(1) Implement an occupational information system in the State that will meet the common needs for the planning for, and the operation of, programs of the State board assisted under the Act and of the administering agencies under the JTPA; and</P> <P>(2) Use the occupational information system to implement a career information delivery system.</P> <SECAUTH>(Authority: 20 U.S.C. 2422(b))</SECAUTH> </SECTION> <SECTION> <PRTPAGE P="68"/> <SECTNO>§ 403.207</SECTNO> <SUBJECT>What are the State's responsibilities to the National Center or Centers for Research in Vocational Education?</SUBJECT> <P>A State shall forward to the National Center for Research in Vocational Education a copy of an abstract for each new research, curriculum development, or personnel development project it supports, and the final report on each project.</P> <SECAUTH>(Authority: 20 U.S.C. 2404(c))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 403.208</SECTNO> <SUBJECT>What are the requirements regarding supplanting?</SUBJECT> <P>(a) The State board is subject to the prohibition against supplanting in § 403.196.</P> <P>(b) The State board shall monitor each eligible recipient's compliance with the supplanting requirements in § 403.196.</P> <SECAUTH>(Authority: 20 U.S.C. 2468e(a)(1))</SECAUTH> </SECTION> <APPENDIX> <EAR>Pt. 403, App. A</EAR> <HD SOURCE="HED">Appendix A to Part 403—Examples for 34 CFR 403.111(a) and 403.111(c)(3)</HD> <P> <E T="03">Illustration of providing full participation under 34 CFR 403.111(a).</E> An educationally disadvantaged student is enrolled in a course that is part of a vocational education program and is having trouble understanding a math concept (e.g., negative numbers) necessary to succeed in the course. To ensure the student's full participation in the course, a local educational agency may use funds awarded under § 403.112 as needed to provide tutoring in negative numbers to enable the student to understand the concept well enough to complete the vocational education course.</P> <P> <E T="03">Illustrations of providing equitable participation under 34 CFR 403.111(c)(3).</E> <E T="03">Example 1:</E> An area vocational education school conducts an informal meeting to provide the information required in § 403.193(a) regarding the area vocational education school's vocational education programs, to parents of students who are members of special populations in a local educational agency whose allocation was distributed to the area vocational education school under § 403.113. The area vocational education school conducts the meeting at a time and in a location convenient for these parents and students. At the meeting, the area vocational education school provides a staff person to assist students or their parents to complete any forms necessary to enroll in the area vocational education school's vocational education program.</P> <P> <E T="03">Example 2:</E> A hearing-impaired student in a local educational agency could participate in the vocational education program only if an interpreter is provided for that student. The local educational agency cannot refuse to admit the student because of the need for an interpreter.</P> </APPENDIX> <APPENDIX> <EAR>Pt. 403, App. B</EAR> <HD SOURCE="HED">Appendix B to Part 403—Examples for 34 CFR 403.194—Comparability Requirements</HD> <P>Methods by which a local educational agency can demonstrate its compliance with the comparability requirements in 34 CFR 403.194(a) include the following:</P> <P> <E T="03">Example 1:</E> The local educational agency files with the State board a written assurance that it has established and implemented—</P> <P>(a) A district-wide salary schedule;</P> <P>(b) A policy to ensure equivalence among secondary schools or sites in teachers, administrators, and auxiliary personnel; and</P> <P>(c) A policy to ensure equivalency among secondary schools or sites in the provision of curriculum materials and instructional supplies.</P> <P> <E T="03">Example</E> 2: The local educational agency establishes and implements other procedures for ensuring comparability, such as the following:</P> <P>(a) Comparing the average number of students per instructional staff in each secondary school or site served with Federal funds awarded under the State plan with the average number of students per instructional staff in secondary schools or sites not served with Federal funds awarded under the State plan. A served school is considered comparable if its average does not exceed 110 percent of the average of schools or sites in the local educational agency not served with Federal funds awarded under the State plan; or</P> <P>(b) Comparing the average instructional staff salary expenditures per student in each secondary school or site served with Federal funds awarded under the State plan with the average instructional staff salary expenditure per student in schools or sites in the local educational agency not served with Federal funds awarded under the State plan. A served school is considered comparable if its average is at least 90 percent of the average of schools or sites not served with Federal funds awarded under the State plan.</P> </APPENDIX> </SUBPART> </PART> <PART> <EAR>Pt. 406</EAR> <HD SOURCE="HED">PART 406—STATE-ADMINISTERED TECH-PREP EDUCATION PROGRAM</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>406.1</SECTNO> <SUBJECT>What is the State-Administered Tech-Prep Education Program?</SUBJECT> <SECTNO>406.2</SECTNO> <SUBJECT>Who is eligible for an award?<PRTPAGE P="69"/> </SUBJECT> <SECTNO>406.3</SECTNO> <SUBJECT>What activities may the Secretary fund?</SUBJECT> <SECTNO>406.4</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <SECTNO>406.5</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—How Does a State Apply for a Grant?</HD> <SECTNO>406.10</SECTNO> <SUBJECT>What must the State application contain?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does the Secretary Make a Grant to a State?</HD> <SECTNO>406.20</SECTNO> <SUBJECT>How does the Secretary make allotments?</SUBJECT> <SECTNO>406.21</SECTNO> <SUBJECT>How does the Secretary make reallotments?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—What Conditions Must Be Met After a State Receives an Award?</HD> <SECTNO>406.30</SECTNO> <SUBJECT>Who is eligible to apply to a State for an award?</SUBJECT> <SECTNO>406.31</SECTNO> <SUBJECT>How does a State carry out the State-Administered Tech-Prep Education Program?</SUBJECT> <SECTNO>406.32</SECTNO> <SUBJECT>What are the local application requirements?</SUBJECT> <SECTNO>406.33</SECTNO> <SUBJECT>What are the reporting requirements?</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>20 U.S.C. 2394-2394e, unless otherwise noted.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>57 FR 36763, Aug. 14, 1992, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 406.1</SECTNO> <SUBJECT>What is the State-Administered Tech-Prep Education Program?</SUBJECT> <P>If the annual appropriation for tech-prep education exceeds $50,000,000, the State-Administered Tech-Prep Education Program provides financial assistance for—</P> <P>(a) Planning and developing four-year or six-year programs designed to provide a tech-prep education program leading to a two-year associate degree or certificate; and</P> <P>(b) Planning and developing, in a systematic manner, strong, comprehensive links between secondary schools and postsecondary educational institutions.</P> <SECAUTH>(Authority: 20 U.S.C. 2394(b))</SECAUTH> <CITA>[57 FR 36763, Aug. 14, 1992, as amended at 59 FR 38513, July 28, 1994]</CITA> </SECTION> <SECTION> <SECTNO>§ 406.2</SECTNO> <SUBJECT>Who is eligible for an award?</SUBJECT> <P>A State board of vocational education (State board) in the fifty States, Puerto Rico, the District of Columbia, or the Virgin Islands is eligible for an allotment under this program.</P> <SECAUTH>(Authority: 20 U.S.C. 2394a(b))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 406.3</SECTNO> <SUBJECT>What activities may the Secretary fund?</SUBJECT> <P>(a) The Secretary makes allotments to State boards to provide funding for consortia described in § 406.30 for tech-prep education projects.</P> <P>(b) A State board assists projects that must—</P> <P>(1) Be carried out under an articulation agreement between the members of the consortium;</P> <P>(2) Consist of the two years or four years of secondary school preceding graduation and two years of higher education, or an apprenticeship training program of at least two years following secondary instruction, with a common core of required proficiency in mathematics, science, communications, and technologies designed to lead to an associate degree or certificate in a specific career field;</P> <P>(3) Include the development of tech-prep education program curricula appropriate to the needs of the consortium participants;</P> <P>(4) Include in-service training for teachers that—</P> <P>(i) Is designed to train teachers to implement tech-prep education program curricula effectively;</P> <P>(ii) Provides for joint training for teachers from all participants in the consortium; and</P> <P>(iii) May provide training on weekends, evenings, or during the summer in the form of sessions, institutes, or workshops;</P> <P>(5) Include training activities for counselors designed to enable counselors to more effectively—</P> <P>(i) Recruit students for tech-prep education programs;</P> <P>(ii) Ensure that students successfully complete tech-prep education programs; and</P> <P>(iii) Ensure that students are placed in appropriate employment;</P> <P>(6) Provide equal access to the full range of tech-prep education programs to individuals who are members of special populations, including the development of tech-prep education program services appropriate to the needs of <PRTPAGE P="70"/>these individuals so that these individuals have an opportunity to enter tech-prep education that is equal to the opportunity afforded to the general student population; and</P> <P>(7) Provide preparatory services that assist all populations to participate in tech-prep education programs.</P> <P>(c) A project assisted under this part may also—</P> <P>(1) Provide for the acquisition of tech-prep education program equipment; and</P> <P>(2) Acquire, as part of the planning activities of the tech-prep education program, technical assistance from State or local entities that have successfully designed, established, and operated tech-prep education programs.</P> <SECAUTH>(Authority: 20 U.S.C. 2394a, 2394b)</SECAUTH> <CITA>[57 FR 36763, Aug. 14, 1992, as amended at 59 FR 38514, July 28, 1994]</CITA> </SECTION> <SECTION> <SECTNO>§ 406.4</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <P>The following regulations apply to the State-Administered Tech-Prep Education Program:</P> <P>(a) The regulations in this part 406.</P> <P>(b) The regulations in 34 CFR part 400.</P> <SECAUTH>(Authority: 20 U.S.C. 2394-2394e)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 406.5</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> <P>(a) The definitions in 34 CFR 400.4 apply to this part.</P> <P>(b) The following definitions also apply to this part:</P> <P> <E T="03">Articulation agreement</E> means a commitment to a program designed to provide students with a non-duplicative sequence of progressive achievement leading to competencies in a tech-prep education program.</P> <P> <E T="03">Community college</E>—</P> <P>(1) Has the meaning provided in 34 CFR 400.4 for the term <E T="03">Institution of higher education</E> for an institution that provides not less than a two-year program that is acceptable for full credit toward a bachelor's degree; and</P> <P>(2) Includes tribally controlled community colleges.</P> <P> <E T="03">Institution of higher education</E> includes an institution offering apprenticeship programs of at least two years beyond the completion of secondary school, and includes, in addition to the institutions covered by the definition of the term <E T="03">institution of higher education</E> in 34 CFR 400.4, a—</P> <P>(1) Proprietary institution of higher education;</P> <P>(2) Postsecondary vocational institution;</P> <P>(3) Department, division, or other administrative unit in a college or university that provides primarily or exclusively an accredited program of education in professional nursing and allied subjects leading to the degree of bachelor of nursing, or to be an equivalent degree, or to a graduate degree in nursing; and</P> <P>(4) Department, division, or other administrative unit in a junior college, community college, college, or university that provides primarily or exclusively an accredited two-year program of education in professional nursing and allied subjects leading to an associate degree in nursing or an equivalent degree.</P> <P> <E T="03">Tech-prep education program</E> means a combined secondary and postsecondary program that—</P> <P>(1) Leads to an associate degree or two-year certificate;</P> <P>(2) Provides technical preparation in at least one field of engineering technology, applied science, mechanical, industrial, or practical art or trade, or agriculture, health, or business;</P> <P>(3) Builds student competence in mathematics, science, and communications (including through applied academics) through a sequential course of study; and</P> <P>(4) Leads to placement in employment.</P> <SECAUTH>(Authority: 20 U.S.C. 1088 and 2394e)</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—How Does a State Apply for a Grant?</HD> <SECTION> <SECTNO>§ 406.10</SECTNO> <SUBJECT>What must the State application contain?</SUBJECT> <P>To receive a grant under this program, a State board shall submit an application to the Secretary at such time, in such manner, as the Secretary prescribes. The State board may submit an application along with the State plan submitted in accordance with 34 CFR 403.30. The application must include a description of—<PRTPAGE P="71"/> </P> <P>(a) The requirements for State board approval of funding of a local tech-prep education project, including—</P> <P>(1) Whether the State board intends to make awards on a competitive basis or on the basis of a formula; and</P> <P>(2) If a formula is to be used, a description of that formula;</P> <P>(b) How the State board will perform the following:</P> <P>(1) Approve applications based on their potential to create an effective tech-prep education program as described in § 406.3(b).</P> <P>(2) Give special consideration to applicants that—</P> <P>(i) Provide for effective employment placement activities or transfer of students to four-year baccalaureate degree programs;</P> <P>(ii) Are developed in consultation with business, industry, labor unions, and institutions of higher education that award baccalaureate degrees; and</P> <P>(iii) Address effectively the issues of dropout prevention and re-entry and the needs of minority youth of limited English proficiency, youth with disabilities, and disadvantaged youth;</P> <P>(3) Ensure an equitable distribution of assistance between urban and rural consortium participants;</P> <P>(c) How the State board will ensure that local recipients meet the requirements of this program; and</P> <P>(d) How activities under this program will be coordinated with other tech-prep education programs, services, and activities provided under the State plan.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0029)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2394c (b)-(e))</SECAUTH> <CITA>[57 FR 36763, Aug. 14, 1992, as amended at 59 FR 38514, July 28, 1994]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does the Secretary Make a Grant to a State?</HD> <SECTION> <SECTNO>§ 406.20</SECTNO> <SUBJECT>How does the Secretary make allotments?</SUBJECT> <P>The Secretary determines the amount of each State's allotment according to a formula in section 101(a)(2) of the Act.</P> <SECAUTH>(Authority: 20 U.S.C. 2394a(b)(1))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 406.21</SECTNO> <SUBJECT>How does the Secretary make reallotments?</SUBJECT> <P>(a)(1) If the Secretary determines that any amount of a State's allotment under § 406.20 will not be required for any fiscal year for carrying out the program under this part, the Secretary reallots those funds to one or more States that demonstrate a current need for additional funds and the ability to use them promptly and effectively upon reallotment.</P> <P>(2) The Secretary announces in the <E T="04">Federal Register</E> the dates on which funds will be reallotted.</P> <P>(b)(1) No funds reallotted under paragraph (a) of this section may be used for any purpose other than the purposes for which they were appropriated.</P> <P>(2) Any amount reallotted to a State under paragraph (a) of this section remains available for obligation during the succeeding fiscal year and is deemed to be part of the State's allotment for the fiscal year in which the reallotted funds are obligated.</P> <SECAUTH>(Authority: 20 U.S.C. 2311(a) and (d) and 2394a(b)(1))</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—What Conditions Must Be Met After a State Receives an Award?</HD> <SECTION> <SECTNO>§ 406.30</SECTNO> <SUBJECT>Who is eligible to apply to a State for an award?</SUBJECT> <P>(a) A State board shall provide subgrants or contracts to consortia between—</P> <P>(1) A local educational agency, intermediate educational agency, area vocational education school serving secondary school students, or secondary school funded by the Bureau of Indian Affairs; and</P> <P>(2) A nonprofit institution of higher education that—</P> <P>(i) Is qualified as an institution of higher education as defined in § 406.5, including institutions receiving assistance under the Tribally Controlled Community College Assistance Act of 1978 (25 U.S.C. 1801 <E T="03">et seq.</E>);</P> <P>(ii) Is not prohibited from receiving assistance under part B of the Higher Education Act of 1965 pursuant to the provisions of section 435(a)(3) of that Act; and<PRTPAGE P="72"/> </P> <P>(iii) Offers a two-year associate degree program, a two-year certificate program, or a two-year apprenticeship training program that follows secondary instruction; or</P> <P>(3) A proprietary institution of higher education that—</P> <P>(i) Is qualified as an institution of higher education as defined in § 406.5;</P> <P>(ii) Is not subject to a default management plan required by the Secretary; and</P> <P>(iii) Offers a two-year associate degree program.</P> <P>(b) A consortia must include at least one entity from paragraph (a)(1) of this section and at least one entity from either paragraph (a)(2) or (a)(3) of this section, and may include more than one entity from each group.</P> <SECAUTH>(Authority: 20 U.S.C. 2394a)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 406.31</SECTNO> <SUBJECT>How does a State carry out the State-Administered Tech-Prep Education Program?</SUBJECT> <P>(a) A State board carries out the program by—</P> <P>(1) Providing State administration of its grant; and</P> <P>(2) Awarding subgrants or contracts to eligible consortia on a competitive basis or on the basis of a formula determined by the State board.</P> <P>(b) A State board may use funds reserved under 34 CFR 403.180(b)(3) to provide support for the State-administered Tech-Prep Education Program.</P> <P>(c) A State board may use no more than the amount of funds from its award under this part that is necessary and reasonable for—</P> <P>(1) The proper and efficient administration of this program; and</P> <P>(2) Technical assistance to promote or enhance the quality and effectiveness of the State's tech-prep education program.</P> <SECAUTH>(Authority: 20 U.S.C. 2331(c)(2); 2394a(b))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 406.32</SECTNO> <SUBJECT>What are the local application requirements?</SUBJECT> <P>(a) Each consortium that desires to receive an award shall submit an application to the State board.</P> <P>(b) The application must be submitted at the time and contain the information prescribed by the State board, and must contain—</P> <P>(1) An articulation agreement between the participants in the consortium; and</P> <P>(2) A three-year plan for the development and implementation of activities under this part.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0030)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2394c(a)-(b))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 406.33</SECTNO> <SUBJECT>What are the reporting requirements?</SUBJECT> <P>The State board shall, in conjunction with recipients of subgrants and contracts, with respect to assistance received under this part, submit to the Secretary reports as may be required by the Secretary to ensure that grantees are complying with the requirements of this part.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0030)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2394a-2394e)</SECAUTH> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 410</EAR> <HD SOURCE="HED">PART 410—TRIBALLY CONTROLLED POSTSECONDARY VOCATIONAL INSTITUTIONS PROGRAM</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>410.1</SECTNO> <SUBJECT>What is the Tribally Controlled Postsecondary Vocational Institutions Program?</SUBJECT> <SECTNO>410.2</SECTNO> <SUBJECT>Who is eligible for an award?</SUBJECT> <SECTNO>410.3</SECTNO> <SUBJECT>What activities may the Secretary fund?</SUBJECT> <SECTNO>410.4</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <SECTNO>410.5</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—How Does One Apply for an Award?</HD> <SECTNO>410.10</SECTNO> <SUBJECT>What must an application contain?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does the Secretary Make an Award?</HD> <SECTNO>410.20</SECTNO> <SUBJECT>How does the Secretary apply the selection criteria in § 410.21?</SUBJECT> <SECTNO>410.21</SECTNO> <SUBJECT>What selection criteria does the Secretary use for institutional support grants?</SUBJECT> <SECTNO>410.22</SECTNO> <SUBJECT>What additional factors does the Secretary consider?</SUBJECT> <SECTNO>410.23</SECTNO> <SUBJECT>How does the Secretary select grantees for institutional support grants?</SUBJECT> <SECTNO>410.24</SECTNO> <SUBJECT>How does the Secretary award additional grants?</SUBJECT> </SUBPART> <SUBPART> <PRTPAGE P="73"/> <HD SOURCE="HED">Subpart D—What Conditions Must Be Met After an Award?</HD> <SECTNO>410.30</SECTNO> <SUBJECT>What expenses are allowable under an institutional support grant?</SUBJECT> <SECTNO>410.31</SECTNO> <SUBJECT>What other provisions apply to this program?</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>20 U.S.C. 2397-2397h, unless otherwise noted.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>57 FR 36773, Aug. 14, 1992, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 410.1</SECTNO> <SUBJECT>What is the Tribally Controlled Postsecondary Vocational Institutions Program?</SUBJECT> <P>The Tribally Controlled Postsecondary Vocational Institutions Program provides grants for the operation and improvement of tribally controlled postsecondary vocational institutions to ensure continued and expanded educational opportunities for Indian students, and to allow for the improvement and expansion of the physical resources of those institutions.</P> <SECAUTH>(Authority: 20 U.S.C. 2397 and 2397c)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 410.2</SECTNO> <SUBJECT>Who is eligible for an award?</SUBJECT> <P>A tribally controlled postsecondary vocational institution is eligible for assistance under this part if it—</P> <P>(a) Is governed by a board of directors or trustees, a majority of whom are Indians;</P> <P>(b) Demonstrates adherence to stated goals, a philosophy, or a plan of operation that fosters individual Indian economic and self-sufficiency opportunity, including programs that are appropriate to stated tribal goals of developing individual entrepreneurships and self-sustaining economic infrastructures on reservations;</P> <P>(c) Has been in operation for at least three years;</P> <P>(d) Holds accreditation with or is a candidate for accreditation by a nationally recognized accrediting authority for postsecondary vocational education; and</P> <P>(e) Enrolls the full-time equivalency of not fewer than 100 students, of whom a majority are Indians.</P> <SECAUTH>(Authority: 20 U.S.C. 2397b)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 410.3</SECTNO> <SUBJECT>What activities may the Secretary fund?</SUBJECT> <P>The Secretary provides grants for basic support for the education and training of Indian students, including—</P> <P>(a) Training costs;</P> <P>(b) Educational costs;</P> <P>(c) Equipment costs;</P> <P>(d) Administrative costs; and</P> <P>(e) Costs of operation and maintenance of the institution.</P> <SECAUTH>(Authority: 20 U.S.C. 2397a)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 410.4</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <P>The following regulations apply to the Tribally Controlled Postsecondary Vocational Institutions Program:</P> <P>(a) The regulations in this part 410.</P> <P>(b) The regulations in 34 CFR part 400.</P> <SECAUTH>(Authority: 20 U.S.C. 2397-2397h)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 410.5</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> <P>(a) The definitions in 34 CFR 400.4 apply to this part, except for the definition of the term <E T="03">Act</E>.</P> <P>(b) The following definitions also apply to this part:</P> <P> <E T="03">Act</E> means the Tribally Controlled Vocational Institutions Support Act of 1990.</P> <P> <E T="03">Indian</E> means a person who is a member of an Indian tribe.</P> <P> <E T="03">Indian student count</E> means a number equal to the total number of Indian students enrolled in each tribally controlled vocational institution, determined as follows:</P> <P>(1) The registrations of Indian students as in effect on October 1 of each year.</P> <P>(2) Credits or clock hours toward a certificate earned in classes offered during a summer term must be counted toward the computation of the Indian student count in the succeeding fall term.</P> <P>(3) Credits or clock hours toward a certificate earned in classes during a summer term must be counted toward the computation of the Indian student count if the institution at which the student is in attendance has established criteria for the admission of the student on the basis of the student's ability to benefit from the education or <PRTPAGE P="74"/>training offered. The institution is presumed to have established those criteria if the admission procedures for those studies include counseling or testing that measures the student's aptitude to successfully complete the course in which the student has enrolled. Credit earned by the student for purposes of obtaining a high school degree or its equivalent may not be counted toward the computation of the Indian student count.</P> <P>(4) Indian students earning credits in any continuing education program of a tribally controlled vocational institution must be included in determining the sum of all credit or clock hours.</P> <P>(5) Credits or clock hours earned in a continuing education program must be converted to the basis that is in accordance with the institution's system for providing credit for participation in those programs.</P> <P> <E T="03">Indian tribe</E> means any Indian tribe, band, nation, or other organized group or community, including any Alaskan native village or regional or village corporation as defined in or established pursuant to the Alaskan Native Claims Settlement Act (43 U.S.C. 1601 <E T="03">et seq</E>.), that is federally recognized as eligible for the special programs and services provided by the United States to Indians because of their status as Indians.</P> <P> <E T="03">Tribally controlled postsecondary vocational institution</E> means an institution of higher education that is formally controlled, or has been formally sanctioned or chartered by the governing body of an Indian tribe or tribes, and that offers technical degrees or certificate granting programs. This term does not include an institution that is a tribally controlled community college as defined in 34 CFR 400.4. (See Cong. Rec. S4116 (daily ed. April 5, 1990) (Statement of Senator Bingaman); Cong. Rec. H1708 (daily ed. May 9, 1989) (Statement of Rep. Richardson)).</P> <SECAUTH>(Authority: 20 U.S.C. 2397h and 25 U.S.C. 1801 (1) and (2))</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—How Does One Apply for an Award?</HD> <SECTION> <SECTNO>§ 410.10</SECTNO> <SUBJECT>What must an application contain?</SUBJECT> <P>(a) An application for a grant under the Tribally Controlled Postsecondary Vocational Institutions Program must include the following:</P> <P>(1) Documentation showing that the institution is eligible according to the requirements in § 410.2.</P> <P>(2) A description of the fiscal control and fund accounting procedures to be used for all funds received under this program that will allow the Secretary to monitor expenditures and the Education Department Inspector General, the U.S. Comptroller General, or an independent non-Federal auditor to audit the institution's programs.</P> <P>(3) The institution's operating expenses for the preceding fiscal year, including allowable expenses listed in § 410.30.</P> <P>(4) The institution's Indian student count.</P> <P>(b) An application for an institutional support grant must also contain a comprehensive development plan addressing the following:</P> <P>(1) The institutional mission statement, i.e., a broad statement of purpose, that identifies the institution's distinguishing characteristics, including the characteristics of the students the institution serves and plans to serve and the programs of study it offers and proposes to offer.</P> <P>(2) Data for the past three academic years reflecting the number and required qualifications of the teaching and administrative staff, the number of students enrolled, attendance rates, dropout rates, graduation rates, rate of job placement or college enrollment after graduation, and the most significant scholastic problems affecting the student population.</P> <P>(3) A description of how the institution is responsive to the current and projected labor market needs in its geographic area, including the institution's plans for placement of students.</P> <P>(4) Assumptions concerning the institutional environment, the potential number of students to be served, enrollment trends, and economic factors that could affect the institution.</P> <P>(5) Major problems or deficiencies that inhibit the institution from realizing its mission.</P> <P>(6) Long-range and short-range goals that will chart the growth and development of the institution and address the <PRTPAGE P="75"/>problems identified under paragraph (b)(5) of this section.</P> <P>(7) Measurable objectives related to reaching each goal.</P> <P>(8) Time-frames for achieving the goals and objectives described in paragraphs (b)(6) and (7) of this section.</P> <P>(9) Priorities for implementing improvements concerning instructional and student support, capital expenditures, equipment, and other priority areas.</P> <P>(10) Major resource requirements necessary to achieve the institution's goals and objectives, including personnel, finances, equipment, and facilities.</P> <P>(11) A detailed budget identifying the costs to be paid with a grant under this program and resources available from other Federal, State, and local sources that will be used to achieve the institution's goals and objectives. Budget and cost information must be sufficiently detailed to enable the Secretary to determine the amount of payments pursuant to section 386(b)(2) of the Act. The statement must include information on allowable expenses listed in § 410.30.</P> <P>(12) Strategies and resources for objectively evaluating the institution's progress towards, and success in, achieving its goals and objectives.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0013)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2397b, 2397c(a), 2397d(b)(2)(B), and 2397f)</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does the Secretary Make an Award?</HD> <SECTION> <SECTNO>§ 410.20</SECTNO> <SUBJECT>How does the Secretary apply the selection criteria in § 410.21?</SUBJECT> <P>(a) The Secretary evaluates an application on the basis of the criteria in § 410.21.</P> <P>(b) The Secretary may award up to 100 points, including a reserved 15 points to be distributed in accordance with paragraph (d) of this section, based on the criteria in § 410.21.</P> <P>(c) Subject to paragraph (d) of this section, the maximum possible score for each criterion in § 410.21 is indicated in parentheses after the heading for each criterion.</P> <P>(d) For each competition as announced through a notice published in the <E T="04">Federal Register,</E> the Secretary may assign the reserved points among the criteria in § 410.21.</P> <SECAUTH>(Authority: 20 U.S.C. 2397-2397h)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 410.21</SECTNO> <SUBJECT>What selection criteria does the Secretary use for institutional support grants?</SUBJECT> <P>The Secretary uses the following criteria to evaluate an application for an institutional support grant:</P> <P>(a) <E T="03">Institutional goals and objectives.</E> (10 points) The Secretary reviews each application to determine the extent to which the applicant's current and future institutional goals and objectives are—</P> <P>(1) Realistic and defined in terms of measurable results; and</P> <P>(2) Directly related to the problems to be solved.</P> <P>(b) <E T="03">Comprehensive development plan.</E> (25 points) The Secretary reviews each application to determine the extent to which the plan is effectively designed to meet the applicant's current and future institutional goals and objectives, including instructional and student support needs, and equipment and capital requirements.</P> <P>(c) <E T="03">Implementation strategy.</E> (20 points) The Secretary reviews each application to determine the extent to which an applicant's implementation strategy—</P> <P>(1) For each major activity funded under this program, is comprehensive and likely to be effective, taking into account the applicant's past performance and the data for the past three academic years reflecting the number and required qualifications of the teaching and administrative staff, the number of students enrolled, attendance rates, dropout rates, graduation rates, rate of job placement or college enrollment after graduation, and the most significant scholastic problems affecting the student population;</P> <P>(2) Includes a realistic timetable for each such activity; and</P> <P>(3) Includes a staff management plan likely to ensure effective administration of the project activities.</P> <P>(d) <E T="03">Budget and cost effectiveness.</E> (20 points) The Secretary reviews each application to determine the extent to which—<PRTPAGE P="76"/> </P> <P>(1) The budget is adequate to support the proposed activities to be funded under this program, including capital expenditures and acquisition of equipment, if applicable;</P> <P>(2) Costs are necessary and reasonable in relation to similar activities the institution carried out in previous years; and</P> <P>(3) The budget narrative justifies the expenditures.</P> <P>(e) <E T="03">Evaluation plan.</E> (10 points) The Secretary reviews each application to determine the quality of the evaluation plan the institution plans to use to determine its progress towards, and success in, achieving its goals and objectives, including the extent to which—</P> <P>(1) The plan identifies, at a minimum, types of data to be collected, expected outcomes, and how those outcomes will be measured;</P> <P>(2) The methods of evaluation are appropriate and, to the extent possible, are objective and produce data that are quantifiable; and</P> <P>(3) The methods of evaluation provide periodic data that can be used for ongoing program improvement.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0013)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2397-2397h)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 410.22</SECTNO> <SUBJECT>What additional factors does the Secretary consider?</SUBJECT> <P>(a) After evaluating applications according to the criteria in § 410.21 and consulting, to the extent practicable, with boards of trustees and the tribal governments chartering the institutions being considered, the Secretary determines whether the most highly rated applications are equitably distributed among Indian tribes.</P> <P>(b) The Secretary may select other applications for funding if doing so would improve the distribution of projects among Indian tribes.</P> <P>(c) In addition to the criteria in § 410.21, the Secretary considers whether funding a particular applicant duplicates an effort already being made.</P> <SECAUTH>(Authority: 20 U.S.C. 2397-2397h)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 410.23</SECTNO> <SUBJECT>How does the Secretary select grantees for institutional support grants?</SUBJECT> <P>(a) The Secretary selects at least two eligible applicants for funding.</P> <P>(b) If only one or two applicants are eligible, the Secretary selects each eligible applicant. The amount of each grant is determined by the quality of the application, based on the selection criteria in § 410.22, and the respective needs of the applicants.</P> <P>(c) If there are more than two eligible applicants, the Secretary ranks each application using the selection criteria in § 410.22. The Secretary funds two or more applicants. The number of grants made and the amount of each grant is determined by taking into account the quality of the applications and the respective needs of the applicants.</P> <P>(d) For fiscal years subsequent to the first year of funding, the Secretary follows the procedure in paragraphs (a) through (c) of this section, except that if appropriations for that fiscal year are not sufficient to pay in full the total amount that approved applicants are eligible to receive, the Secretary allocates the available grant amounts as required by section 388(a) of the Act.</P> <SECAUTH>(Authority: 20 U.S.C. 2397c(b))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 410.24</SECTNO> <SUBJECT>How does the Secretary award additional grants?</SUBJECT> <P>If funds remain after providing grants to all eligible institutions, the Secretary makes awards as follows:</P> <P>(a) The Secretary allocates funds to institutions receiving their first grant under this part in an amount equal to the training equipment costs necessary to implement training programs.</P> <P>(b) If funds remain after the Secretary makes awards under paragraph (a) of this section, the Secretary reviews training equipment needs at each institution receiving assistance under this part at the end of the five-year period beginning on the first day of the first year for which the institution received a grant under this part, and provides allocations for other training equipment needs if it is demonstrated by the institution that its training equipment has become obsolete for its <PRTPAGE P="77"/>purposes, or that the development of other training programs is appropriate.</P> <SECAUTH>(Authority: 20 U.S.C. 2397d(d))</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—What Conditions Must Be Met After an Award?</HD> <SECTION> <SECTNO>§ 410.30</SECTNO> <SUBJECT>What expenses are allowable under an institutional support grant?</SUBJECT> <P>An institutional support grant may only be used to pay expenses associated with the following:</P> <P>(a) The maintenance and operation of the program, including—</P> <P>(1) Development costs;</P> <P>(2) Costs of basic and special instruction, including special programs for individuals with disabilities and academic instruction;</P> <P>(3) Materials;</P> <P>(4) Student costs;</P> <P>(5) Administrative expenses;</P> <P>(6) Boarding costs;</P> <P>(7) Transportation;</P> <P>(8) Student services;</P> <P>(9) Day care and family support programs for students and their families, including contributions to the costs of education for dependents; and</P> <P>(10) Training equipment costs necessary to implement training programs.</P> <P>(b) Capital expenditures, including operations and maintenance, minor improvements and repair, and physical plant maintenance costs.</P> <P>(c) Costs associated with repair, upkeep, replacement, and upgrading of instructional equipment.</P> <SECAUTH>(Authority: 20 U.S.C. 2397d(a), (d))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 410.31</SECTNO> <SUBJECT>What other provisions apply to this program?</SUBJECT> <P>(a) Except as specifically provided in the Act, eligibility for assistance under this part may not preclude any tribally controlled postsecondary vocational institution from receiving Federal financial assistance under any program authorized under the Higher Education Act of 1965 (20 U.S.C. 1001 <E T="03">et seq.</E>) or any other applicable program for the benefit of institutions of higher education or vocational education.</P> <P>(b) No tribally controlled postsecondary vocational institution for which an Indian tribe has designated a portion of the funds appropriated for the tribe from funds appropriated under the Act of November 2, 1921 (25 U.S.C. 13) may be denied a contract for that portion under the Indian Self-Determination and Education Assistance Act (25 U.S.C. 450 <E T="03">et seq.</E>) (except as provided in that Act), or denied appropriate contract support to administer that portion of the appropriated funds.</P> <SECAUTH>(Authority: 20 U.S.C. 2397e)</SECAUTH> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 411</EAR> <HD SOURCE="HED">PART 411—VOCATIONAL EDUCATION RESEARCH PROGRAM</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>411.1</SECTNO> <SUBJECT>What is the Vocational Education Research Program?</SUBJECT> <SECTNO>411.2</SECTNO> <SUBJECT>Who is eligible for an award?</SUBJECT> <SECTNO>411.3</SECTNO> <SUBJECT>What activities may the Secretary fund?</SUBJECT> <SECTNO>411.4</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <SECTNO>411.5</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> </SUBPART> <SUBPART> <RESERVED>Subpart B [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does the Secretary Make a Grant?</HD> <SECTNO>411.20</SECTNO> <SUBJECT>How does the Secretary evaluate an application?</SUBJECT> <SECTNO>411.21</SECTNO> <SUBJECT>What selection criteria does the Secretary use?</SUBJECT> <SECTNO>411.22</SECTNO> <SUBJECT>What additional factors may the Secretary consider?</SUBJECT> <SECTNO>411.23</SECTNO> <SUBJECT>How does the Secretary evaluate unsolicited applications?</SUBJECT> <SECTNO>411.24</SECTNO> <SUBJECT>How does the Secretary select an unsolicited application for funding?</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>20 U.S.C. 2401 and 2402, unless otherwise noted.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>57 FR 36776, Aug. 14, 1992, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 411.1</SECTNO> <SUBJECT>What is the Vocational Education Research Program?</SUBJECT> <P>The Vocational Education Research Program is designed to—</P> <P>(a) Improve access to vocational educational programs for individuals with disabilities, individuals who are disadvantaged, men and women who are entering nontraditional occupations, adults who are in need of retraining, single parents, displaced homemakers, single pregnant women, individuals with limited English proficiency, and <PRTPAGE P="78"/>individuals who are incarcerated in correctional institutions;</P> <P>(b) Support research and development activities that make the United States more competitive in the world economy by developing more fully the academic and occupational skills of all segments of the population by concentrating resources on improving educational programs leading to academic and occupational skill competencies needed to work in a technologically advanced society;</P> <P>(c) Improve the competitive process by which research projects are awarded;</P> <P>(d) Encourage the dissemination of findings of research projects assisted under the Act to all States; and</P> <P>(e) Support research activities that are readily applicable to the vocational education setting and are of practical application to vocational education administrators, counselors, instructors, and others involved in vocational education.</P> <SECAUTH>(Authority: 20 U.S.C. 2401)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 411.2</SECTNO> <SUBJECT>Who is eligible for an award?</SUBJECT> <P>(a) Any individual or public or private agency, organization, or institution may apply for an award under this part.</P> <P>(b) Any individual researcher, community college, State advisory council, or State or local educator may submit an unsolicited research application.</P> <SECAUTH>(Authority: 20 U.S.C. 2402(a), (b))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 411.3</SECTNO> <SUBJECT>What activities may the Secretary fund?</SUBJECT> <P>The Secretary may directly, or through grants, cooperative agreements, or contracts, conduct applied research on aspects of vocational education that are specially related to the Act, including the following:</P> <P>(a) Applied research on—</P> <P>(1) Effective methods for providing quality vocational education to individuals with disabilities, disadvantaged individuals, men and women in nontraditional fields, adults, single parents, displaced homemakers, single pregnant women, individuals with limited English proficiency, and individuals who are incarcerated in correctional institutions;</P> <P>(2) The development and implementation of performance standards and measures that fit within the needs of State boards of vocational education or eligible recipients as defined in 34 CFR 400.4 in carrying out the provisions of the Act and on the relationship of those standards and measures to the data system established under section 421 of the Act. Research may include an evaluation of existing performance standards and measures and dissemination of that information to State boards of vocational education and eligible recipients;</P> <P>(3) Strategies for coordinating local, State, and Federal vocational education, employment training, and economic development programs to maximize their efficacy and for improving worker training and retraining;</P> <P>(4) The constructive involvement of the private sector in public vocational education;</P> <P>(5) Successful methods of reinforcing and enhancing basic and more advanced academic and problem-solving skills in vocational settings;</P> <P>(6) Successful methods for providing students, to the maximum extent practicable, with experience in and understanding of all aspects of the industry those students are preparing to enter; and</P> <P>(7) The development of effective methods for providing quality vocational education to individuals with limited English proficiency, including research related to bilingual vocational training.</P> <P>(b) An evaluation of the use of performance standards and measures under the Act and the effect of those standards and measures on the participation of students in vocational education programs and on the outcomes of students in those programs, especially students who are members of special populations as defined in 34 CFR 400.4.</P> <SECAUTH>(Authority: 20 U.S.C. 2402(a))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 411.4</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <P>The following regulations apply to the Vocational Education Research Program:</P> <P>(a) The regulations in this part 411.<PRTPAGE P="79"/> </P> <P>(b) The regulations in 34 CFR part 400.</P> <SECAUTH>(Authority: 20 U.S.C. 2401 and 2402)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 411.5</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> <P>The definitions in 34 CFR 400.4 apply to this part.</P> <SECAUTH>(Authority: 20 U.S.C. 2401 and 2402)</SECAUTH> </SECTION> </SUBPART> <SUBPART> <RESERVED>Subpart B [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does the Secretary Make a Grant?</HD> <SECTION> <SECTNO>§ 411.20</SECTNO> <SUBJECT>How does the Secretary evaluate an application?</SUBJECT> <P>(a) The Secretary evaluates an application for a grant or cooperative agreement on the basis of the criteria in § 411.21.</P> <P>(b) The Secretary may award up to 100 points, including a reserved 15 points to be distributed in accordance with paragraph (d) of the section, based on the criteria in § 411.21.</P> <P>(c) Subject to paragraph (d) of this section, the maximum possible score for each criterion is indicated in parentheses after the heading for each criterion.</P> <P>(d) For each competition as announced through a notice published in the <E T="04">Federal Register,</E> the Secretary may assign the reserved points among the criteria in § 411.21.</P> <P>(e) The Secretary awards five points to applications submitted by public or private postsecondary institutions.</P> <SECAUTH>(Authority: 20 U.S.C. 2402)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 411.21</SECTNO> <SUBJECT>What selection criteria does the Secretary use?</SUBJECT> <P>The Secretary uses the following criteria to evaluate an application:</P> <P>(a) <E T="03">National need.</E> (20 points) The Secretary reviews each application to determine the extent to which the project would make a contribution of national significance, as measured by such factors as—</P> <P>(1) The need for the project in relation to any program priority announced in the <E T="04">Federal Register</E>; and</P> <P>(2) The likelihood that the project will make an important contribution to vocational education.</P> <P>(b) <E T="03">Plan of operation.</E> (25 points) The Secretary reviews each application to determine the quality of the plan of operation for the project, including—</P> <P>(1) High quality in the design of the project;</P> <P>(2) An effective plan of management that ensures proper and efficient administration of the project;</P> <P>(3) A clear description of how the objectives of the project relate to the purposes of the program;</P> <P>(4) The quality of the applicant's plans to use its resources and personnel to achieve each objective; and</P> <P>(5) How the applicant will ensure that project participants who are otherwise eligible to participate are selected without regard to race, color, national origin, gender, age, or disability.</P> <P>(c) <E T="03">Key personnel.</E> (15 points) (1) The Secretary reviews each application to determine the quality of key personnel the applicant plans to use on the project, including—</P> <P>(i) The qualifications of the project director;</P> <P>(ii) The qualifications of each of the other key personnel to be used in the project;</P> <P>(iii) The appropriateness of the time that each one of the key personnel, including the project director, will commit to the project; and</P> <P>(iv) How the applicant, as part of its nondiscriminatory employment practices, will ensure that its personnel are selected for employment without regard to race, color, national origin, gender, age, or disability.</P> <P>(2) To determine personnel qualifications under paragraphs (c)(1)(i) and (ii) of this section, the Secretary considers—</P> <P>(i) Experience and training in fields related to the objectives of the project;</P> <P>(ii) Experience and training in project management; and</P> <P>(iii) Any other qualifications that pertain to the quality of the project.</P> <P>(d) <E T="03">Budget and cost effectiveness.</E> (10 points) The Secretary reviews each application to determine the extent to which—</P> <P>(1) The budget for the project is adequate to support the project activities; and<PRTPAGE P="80"/> </P> <P>(2) Costs are reasonable and necessary in relation to the objectives of the project.</P> <P>(e) <E T="03">Evaluation plan.</E> (5 points) The Secretary reviews each application to determine the quality of the evaluation plan for the project, including the extent to which the applicant's methods of evaluation—</P> <P>(1) Are clearly explained and appropriate to the project;</P> <P>(2) To the extent possible, are objective and produce data that are quantifiable;</P> <P>(3) Includes activities during the formative stages of the project to help guide and improve the project, as well as a summative evaluation that includes recommendations for replicating project activities and results;</P> <P>(4) If appropriate, identifies expected outcomes of the project participants and how those outcomes will be measured;</P> <P>(5) If appropriate, will provide a comparison between intended and observed results, and lead to the demonstration of a clear link between the observed results and the specific treatment of project participants; and</P> <P>(6) To the extent possible, include a third party evaluation.</P> <P>(f) <E T="03">Adequacy of resources.</E> (5 points) The Secretary reviews each application to determine the adequacy of the resources that the applicant plans to devote to the project, including facilities, equipment, and supplies.</P> <P>(g) <E T="03">Dissemination plan.</E> (5 points) The Secretary reviews each application to determine the quality of the dissemination plan for the project, including—</P> <P>(1) The extent to which the project is designed to yield outcomes that can be readily disseminated;</P> <P>(2) A clear description of the project outcomes; and</P> <P>(3) A detailed description of how information and materials will be disseminated, including—</P> <P>(i) Provisions for publicizing the project at the local, State, and national levels by conducting or delivering presentations at conferences, workshops, and other professional meetings and by preparing materials for journals articles, newsletters, and brochures;</P> <P>(ii) Provisions for demonstrating the methods and techniques used by the project to others interested in replicating these methods and techniques; and</P> <P>(iii) Provisions for assisting others to adopt and successfully implement the project or methods and techniques used by the project.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0013)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2402)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 411.22</SECTNO> <SUBJECT>What additional factors may the Secretary consider?</SUBJECT> <P>After evaluating the applications according to the criteria in § 411.21 the Secretary may select other than the most highly rated applications for funding if doing so would—</P> <P>(a) Improve the geographical distribution of projects funded under this program; or</P> <P>(b) Contribute to the funding of a variety of approaches for carrying out the activities under this part.</P> <SECAUTH>(Authority: 20 U.S.C. 2401 and 2402)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 411.23</SECTNO> <SUBJECT>How does the Secretary evaluate unsolicited applications?</SUBJECT> <P>(a) At any time during a fiscal year, the Secretary may accept and consider for funding an unsolicited application that has not been submitted under a competition announced in the <E T="04">Federal Register</E> for that fiscal year, if the project proposes activities described in § 411.3.</P> <P>(b) Notwithstanding the provisions of 34 CFR 75.100, the Secretary may fund an unsolicited application without publishing an application notice in the <E T="04">Federal Register</E>.</P> <P>(c) The Secretary may select an unsolicited application for funding in accordance with the procedures in §§ 411.20(e) and 411.24.</P> <P>(d) The Secretary assigns the 15 points reserved under § 411.20(b) as follows:</P> <P>(1) Ten points to the selection criterion in § 411.21(a)—national need.</P> <P>(2) Five points to the selection criterion in § 411.21(b)—plan of operation.</P> <SECAUTH>(Authority: 20 U.S.C. 2402)</SECAUTH> </SECTION> <SECTION> <PRTPAGE P="81"/> <SECTNO>§ 411.24</SECTNO> <SUBJECT>How does the Secretary select an unsolicited application for funding?</SUBJECT> <P>(a) After evaluating an unsolicited research application on the basis of the criteria in § 411.21, the Secretary compares that application to other unsolicited research applications the Secretary has received.</P> <P>(b) The Secretary may fund an unsolicited research application at any time during the fiscal year.</P> <SECAUTH>(Authority: 20 U.S.C. 2402)</SECAUTH> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 412</EAR> <HD SOURCE="HED">PART 412—NATIONAL NETWORK FOR CURRICULUM COORDINATION IN VOCATIONAL AND TECHNICAL EDUCATION</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>412.1</SECTNO> <SUBJECT>What is the National Network for Curriculum Coordination in Vocational and Technical Education?</SUBJECT> <SECTNO>412.2</SECTNO> <SUBJECT>Who is eligible for an award?</SUBJECT> <SECTNO>412.3</SECTNO> <SUBJECT>What activities may the Secretary fund?</SUBJECT> <SECTNO>412.4</SECTNO> <SUBJECT>What is the National Network of Directors Council?</SUBJECT> <SECTNO>412.5</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <SECTNO>412.6</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> </SUBPART> <SUBPART> <RESERVED>Subpart B [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does the Secretary Make an Award?</HD> <SECTNO>412.20</SECTNO> <SUBJECT>How does the Secretary evaluate an application?</SUBJECT> <SECTNO>412.21</SECTNO> <SUBJECT>What selection criteria does the Secretary use?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—What Conditions Must Be Met After an Award?</HD> <SECTNO>412.30</SECTNO> <SUBJECT>What additional activities must be carried out by Curriculum Coordination Centers?</SUBJECT> <SECTNO>412.31</SECTNO> <SUBJECT>What existing dissemination systems must be used?</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>20 U.S.C. 2402(c), unless otherwise noted.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>57 FR 36778, Aug. 14, 1992, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 412.1</SECTNO> <SUBJECT>What is the National Network for Curriculum Coordination in Vocational and Technical Education?</SUBJECT> <P>The National Network for Curriculum Coordination in Vocational and Technical Education (Network) is a system of six curriculum coordination centers that disseminate information resulting from research and development activities carried out under the Act, in order to ensure broad access at the State and local levels to the information being disseminated.</P> <SECAUTH>(Authority: 20 U.S.C. 2402(c))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 412.2</SECTNO> <SUBJECT>Who is eligible for an award?</SUBJECT> <P>State and local educational agencies, postsecondary educational institutions, and other public and private agencies, organizations, and institutions are eligible for an award under this program.</P> <SECAUTH>(Authority: 20 U.S.C. 2402(c))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 412.3</SECTNO> <SUBJECT>What activities may the Secretary fund?</SUBJECT> <P>(a) The Secretary provides grants, cooperative agreements, or contracts to six regional curriculum coordination centers (CCCs).</P> <P>(b) Each CCC must—(1) Provide for national dissemination of information on effective vocational and technical education programs and materials, with particular attention to regional programs;</P> <P>(2) Be accessible by electronic means;</P> <P>(3) Provide leadership and technical assistance in the design, development, and dissemination of curricula for vocational education;</P> <P>(4) Coordinate the sharing of information among the States with respect to vocational and technical education curricula;</P> <P>(5) Reduce duplication of effort in State activities for the development of vocational and technical education curricula; and</P> <P>(6) Promote the use of research findings with respect to vocational education curricula.</P> <P>(c) The six regional CCCs assisted with funds under this program must <PRTPAGE P="82"/>serve States according to the Department of Education's regional alignment as follows:</P> <P>(1) The Northeast Curriculum Coordination Center serves Connecticut, Maine, Massachusetts, New Hampshire, New Jersey, New York, Puerto Rico, Rhode Island, Vermont, and the Virgin Islands.</P> <P>(2) The Southeast Curriculum Coordination Center serves Alabama, Florida, Georgia, Kentucky, Mississippi, North Carolina, South Carolina, and Tennessee.</P> <P>(3) The East Central Curriculum Coordination Center serves Delaware, the District of Columbia, Indiana, Illinois, Maryland, Michigan, Minnesota, Ohio, Pennsylvania, Virginia, West Virginia, and Wisconsin.</P> <P>(4) The Midwest Curriculum Coordination Center serves Arkansas, Iowa, Kansas, Louisiana, Missouri, Nebraska, New Mexico, Oklahoma, and Texas.</P> <P>(5) The Northwest Curriculum Coordination Center serves Alaska, Colorado, Idaho, Montana, North Dakota, Oregon, South Dakota, Utah, Washington, and Wyoming.</P> <P>(6) The Western Curriculum Coordination Center serves American Samoa, Arizona, California, Guam, Hawaii, Nevada, the Northern Mariana Islands, and Palau until the Compact of Free Association with Palau takes effect.</P> <SECAUTH>(Authority: 20 U.S.C. 2402(c))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 412.4</SECTNO> <SUBJECT>What is the National Network of Directors Council?</SUBJECT> <P>(a) The National Network of Directors Council (Council) enhances the effectiveness of the Network by—</P> <P>(1) Planning for inter-center coordination, dissemination, and diffusion activities;</P> <P>(2) Providing leadership to ensure cohesiveness for overall Network functions;</P> <P>(3) Promoting the adoption and adaptation of curriculum materials;</P> <P>(4) Maintaining liaison with dissemination systems described in § 412.32;</P> <P>(5) Convening at least twice a year; and</P> <P>(6) Planning for and participating in an annual meeting of CCCs that includes activities such as displays of current curriculum materials from each CCC, inservice training sessions, and hands-on experience with new technologies in vocational and technical education. This meeting must be held in a different region each year.</P> <P>(b) The Council is composed of the six CCC directors and a liaison from the Department. One of the CCC directors serves as chair for the Council and has responsibilities for submitting minutes of Council meetings to the Secretary.</P> <SECAUTH>(Authority: 20 U.S.C. 2402(c))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 412.5</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <P>The following regulations apply to the National Network for Curriculum Coordination in Vocational and Technical Education:</P> <P>(a) The regulations in this part 412.</P> <P>(b) The regulations in 34 CFR part 400.</P> <SECAUTH>(Authority: 20 U.S.C. 2402(c))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 412.6</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> <P>The definitions in 34 CFR 400.4 apply to this part.</P> <SECAUTH>(Authority: 20 U.S.C. 2402(c))</SECAUTH> </SECTION> </SUBPART> <SUBPART> <RESERVED>Subpart B [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does the Secretary Make an Award?</HD> <SECTION> <SECTNO>§ 412.20</SECTNO> <SUBJECT>How does the Secretary evaluate an application?</SUBJECT> <P>(a) The Secretary evaluates an application for a grant or cooperative agreement on the basis of the criteria in § 412.21.</P> <P>(b) The Secretary may award up to 100 points, including 15 points to be distributed in accordance with paragraph (d) of this section, based on the criteria in § 412.21.</P> <P>(c) Subject to paragraph (d) of this section, the maximum possible score for each criterion is indicated in parentheses after the heading for each criterion.</P> <P>(d) For each competition as announced through a notice published in the <E T="04">Federal Register,</E> the Secretary may assign the reserved points among the criteria in § 412.21.</P> <SECAUTH>(Authority: 20 U.S.C. 2402(c))</SECAUTH> </SECTION> <SECTION> <PRTPAGE P="83"/> <SECTNO>§ 412.21</SECTNO> <SUBJECT>What selection criteria does the Secretary use?</SUBJECT> <P>The Secretary uses the following criteria to evaluate an application:</P> <P>(a) <E T="03">Regional need.</E> (30 points) The Secretary reviews each application to determine the applicant's understanding of and responsiveness to the needs of the region, including the extent to which the applicant—</P> <P>(1) Demonstrates an understanding of the leadership responsibilities associated with serving as a resource center and facilitator for States in a region, including the region's need for inservice training, holding regional meetings, providing technical assistance, coordinating with State directors of vocational education, maintaining a lending library, and disseminating information regularly;</P> <P>(2) Proposes adequate mechanisms and procedures for reporting the results of curriculum networking services and activities of the 50 States, District of Columbia, Puerto Rico, and the Outlying Areas;</P> <P>(3) Demonstrates the capacity to disseminate information on effective vocational education materials, including curriculum materials;</P> <P>(4) Demonstrates an understanding of the operation of the Vocational Education Curriculum Materials and ADVOCNET Systems and the need for establishing a Tech-Prep education clearinghouse; and</P> <P>(5) Demonstrates the capacity to undertake the responsibilities associated with participation as a member of the Network Directors Council described in § 412.4.</P> <P>(b) <E T="03">Plan of operation.</E> (25 points) The Secretary reviews each application to determine the quality of the plan of operation for the project, including—</P> <P>(1) The quality of the design of the project;</P> <P>(2) The extent to which the management plan ensures proper and efficient administration of the project;</P> <P>(3) How well the objectives of the project relate to the purpose of the program;</P> <P>(4) The quality of the applicant's plan to use its resources and personnel to achieve each objective; and</P> <P>(5) How the applicant will ensure that project participants who are otherwise eligible to participate are selected without regard to race, color, national origin, gender, age, or disability.</P> <P>(c) <E T="03">Key personnel.</E> (10 points) (1) The Secretary reviews each application to determine the quality of key personnel the applicant plans to use on the proposed project, including—</P> <P>(i) The qualifications of the project director;</P> <P>(ii) The qualifications of each of the other key personnel to be used in the project;</P> <P>(iii) The appropriateness of the time that each person referred to in paragraphs (c)(1) (i) and (ii) of this section will commit to the project; and</P> <P>(iv) How the applicant, as part of its nondiscriminatory employment practices, will ensure that its personnel are selected for employment without regard to race, color, national origin, gender, age, or disability.</P> <P>(2) To determine the personnel qualifications under paragraphs (c)(1)(i) and (ii) of this section, the Secretary considers—</P> <P>(i) The experience and training of key personnel in project management and in the fields related to the objectives of the project; and</P> <P>(ii) Any other qualifications of key personnel that pertain to the quality of the project.</P> <P>(d) <E T="03">Institutional commitment.</E> (10 points) The Secretary reviews each application to determine the extent to which the applicant—</P> <P>(1) Has experience with vocational education curriculum and dissemination;</P> <P>(2) Will initiate and maintain liaison functions with regional States; and</P> <P>(3) Will provide adequate facilities, equipment, and supplies.</P> <P>(e) <E T="03">Budget and cost effectiveness.</E> (5 points) The Secretary reviews each application to determine the extent to which—</P> <P>(1) The budget is cost effective and adequate to support the project activities; and</P> <P>(2) The budget contains costs that are reasonable in relation to the objectives of the project.</P> <P>(f) <E T="03">Evaluation plan.</E> (5 points) The Secretary reviews each application to determine the quality of the project's <PRTPAGE P="84"/>evaluation plan, including the extent to which the plan—</P> <P>(1) Is clearly explained and is appropriate to the project; and</P> <P>(2) Identifies expected outcomes of the services provided and how those services will be measured.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0013)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2402(c))</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—What Conditions Must Be Met After An Award?</HD> <SECTION> <SECTNO>§ 412.30</SECTNO> <SUBJECT>What additional activities must be carried out by Curriculum Coordination Centers?</SUBJECT> <P>In carrying out the activities described in § 412.3, each CCC must perform the following activities:</P> <P>(a) Assist States in the development, adaptation, adoption, dissemination, and use of curriculum materials and services and other information resulting from research and development activities carried out under the Act, including performing these activities during at least two regional meetings involving States served by the CCC. One of these regional meetings must be conducted jointly with the other five CCCs and their regional States at the meeting described in § 412.4(a)(6).</P> <P>(b) Coordinate with other curriculum coordination centers funded under this part.</P> <P>(c) Coordinate with the State salaried State liaison representative (SLR), who is appointed by the State director of vocational education. The SLR has primary responsibilities for liaison activities within the States, including—</P> <P>(1) Obtaining new curriculum and research and development materials for Network sharing;</P> <P>(2) Informing localities and State agencies of Network services;</P> <P>(3) Disseminating CCC related materials;</P> <P>(4) Arranging for intrastate and interstate development and dissemination activities;</P> <P>(5) Arranging for technical assistance and inservice training workshops;</P> <P>(6) Participating in regional CCC meetings; and</P> <P>(7) Fostering adoption and adaptations of materials available through the CCC.</P> <P>(d) Maintain a lending library with a collection of vocational education curriculum, research, and development materials for use by the States served by the CCC.</P> <P>(e) Each CCC must participate in the Council activities described in § 412.4.</P> <SECAUTH>(Authority: 20 U.S.C. 2402(c))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 412.31</SECTNO> <SUBJECT>What existing dissemination systems must be used?</SUBJECT> <P>In carrying out its activities, each CCC must use existing dissemination systems, including the National Diffusion Network and the National Center or Centers for Research in Vocational Education, in order to ensure broad access at the State and local levels to the information being disseminated.</P> <SECAUTH>(Authority: 20 U.S.C. 2402(c))</SECAUTH> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 413</EAR> <HD SOURCE="HED">PART 413—NATIONAL CENTER OR CENTERS FOR RESEARCH IN VOCATIONAL EDUCATION</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>413.1</SECTNO> <SUBJECT>What is the National Center or Centers for Research in Vocational Education?</SUBJECT> <SECTNO>413.2</SECTNO> <SUBJECT>Who is eligible to apply for the National Center or Centers?</SUBJECT> <SECTNO>413.3</SECTNO> <SUBJECT>What kinds of activities are carried out?</SUBJECT> <SECTNO>413.4</SECTNO> <SUBJECT>How does the Secretary designate a National Center or Centers?</SUBJECT> <SECTNO>413.5</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <SECTNO>413.6</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> </SUBPART> <SUBPART> <RESERVED>Subpart B [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does the Secretary Make an Award?</HD> <SECTNO>413.20</SECTNO> <SUBJECT>How does the Secretary evaluate an application?</SUBJECT> <SECTNO>413.21</SECTNO> <SUBJECT>What selection criteria does the Secretary use to evaluate an application proposing research and development activities?</SUBJECT> <SECTNO>413.22</SECTNO> <SUBJECT>What selection criteria does the Secretary use to evaluate an application proposing dissemination and training activities?</SUBJECT> </SUBPART> <SUBPART> <PRTPAGE P="85"/> <HD SOURCE="HED">Subpart D—What Conditions Must Be Met After an Award?</HD> <SECTNO>413.30</SECTNO> <SUBJECT>What are the restrictions on the use of funds?</SUBJECT> <SECTNO>413.31</SECTNO> <SUBJECT>Must a National Center have a director?</SUBJECT> <SECTNO>413.32</SECTNO> <SUBJECT>What are the requirements for coordination?</SUBJECT> <SECTNO>413.33</SECTNO> <SUBJECT>What substantive studies must the National Center or Centers conduct and submit?</SUBJECT> <SECTNO>413.34</SECTNO> <SUBJECT>What activities must be performed during the final year of an award?</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>20 U.S.C. 2404, unless otherwise noted.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>57 FR 36780, Aug. 14, 1992, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 413.1</SECTNO> <SUBJECT>What is the National Center or Centers for Research in Vocational Education?</SUBJECT> <P>The Secretary supports the establishment of one or two National Centers for Research in Vocational Education (National Center) in the areas of—</P> <P>(a) Applied research and development; and</P> <P>(b) Dissemination and training.</P> <SECAUTH>(Authority: 20 U.S.C. 2404)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 413.2</SECTNO> <SUBJECT>Who is eligible to apply for the National Center or Centers?</SUBJECT> <P>An institution of higher education or consortium of institutions of higher education may apply to be a National Center under this part.</P> <CROSSREF> <HD SOURCE="HED">Cross-Reference:</HD> <P>See 34 CFR 75.127 through 75.129, Group Applications.</P> </CROSSREF> <SECAUTH>(Authority: 20 U.S.C. 2404(a)(5))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 413.3</SECTNO> <SUBJECT>What kinds of activities are carried out?</SUBJECT> <P>The Secretary provides a grant or cooperative agreement to a National Center or Centers that are designed to perform either one or both of the following activities:</P> <P>(a) <E T="03">Applied research and development activities.</E> (1) A major purpose of the National Center is to design and conduct research and development activities that are consistent with the purposes of the Act, including—</P> <P>(i) Longitudinal studies that extend over a period of years;</P> <P>(ii) Supplementary and short-term activities; and</P> <P>(iii) Upon negotiation with the center, and if funds are provided pursuant to section 404(d) of the Act, such other topics as the Secretary may designate.</P> <P>(2) The National Center shall conduct applied research and development activities that include examination of the following:</P> <P>(i) Economic changes that affect the skills that employers seek and entrepreneurs need.</P> <P>(ii) Integration of academic and vocational education.</P> <P>(iii) Efficient and effective practices for addressing the needs of special populations.</P> <P>(iv) Efficient and effective methods for delivering vocational education.</P> <P>(v) Articulation of school and college instruction with high quality work experience.</P> <P>(vi) Recruitment, education, and enhancement of vocational teachers and other professionals in the field.</P> <P>(vii) Accountability processes in vocational education, including identification and evaluation of the use of appropriate performance standards for student, program, and State-level outcomes.</P> <P>(viii) Effective practices that educate students in all aspects of the industry the students are preparing to enter.</P> <P>(ix) Effective methods for identifying and inculcating literacy and other communication skills essential for effective job preparation and job performance.</P> <P>(x) Identification of strategic, high priority occupational skills and skills formation approaches needed to maintain the competitiveness of the United States workforce, sustain high-wage, high-technology jobs, and address national priorities such as technical jobs needed to protect and restore the environment.</P> <P>(xi) Identification of practices and strategies that address entrepreneurial development for minority-owned enterprises.</P> <P>(3) The applied research and development activities must include—</P> <P>(i) An emphasis on the recruitment, education, and enhancement of minority and female vocational teachers and professionals; and<PRTPAGE P="86"/> </P> <P>(ii) Activities that aid in the development of minorities and women for leadership roles in vocational education.</P> <P>(b) <E T="03">Dissemination and training activities.</E> (1) A major purpose of the National Center is to design and conduct dissemination and training activities that are consistent with the purposes of the Act, including—</P> <P>(i) The broad dissemination of the results of the research and development conducted by the National Center;</P> <P>(ii) The development and utilization of a national level dissemination network including functions such as clearinghouses, databases, and telecommunications;</P> <P>(iii) Planning, developing, and conducting training activities; and</P> <P>(iv) Upon negotiation with the Center and if funds are provided pursuant to section 404(d) of the Act, such other topics as the Secretary may designate.</P> <P>(2) The National Center shall conduct dissemination and training activities that include the following:</P> <P>(i) Teacher and administrator training and leadership development.</P> <P>(ii) Technical assistance to ensure that programs serving special populations are effective in delivering well-integrated and appropriately articulated vocational and academic offerings for secondary, postsecondary, and adult students.</P> <P>(iii) Needs assessment, design, and implementation of new and revised programs with related curriculum materials to facilitate vocational-academic integration.</P> <P>(iv) Evaluation and follow-through to maintain and extend quality programs.</P> <P>(v) Assistance in technology transfer and articulation of program offerings from advanced technology centers to minority enterprises.</P> <P>(vi) Assistance to programs and States on the use of accountability indicators, including appropriate and innovative performance standards.</P> <P>(vii) Delivery of information and services using advanced technology, if appropriate, to increase the effectiveness and efficiency of knowledge transfer.</P> <P>(viii) Development of processes for synthesis of research, in cooperation with a broad array of users, including vocational and non-vocational educators, employers and labor organizations.</P> <P>(ix) Dissemination of exemplary curriculum and instructional materials, and development and publication of curriculum materials (in conjunction with vocational and nonvocational constituency groups, if appropriate).</P> <P>(x) Technical assistance in recruiting, hiring, and advancing minorities in vocational education.</P> <P>(3) The training and leadership development activities must include an emphasis on—</P> <P>(i) Training minority and female teachers; and</P> <P>(ii) Programs and activities that aid in the development of minorities and women for leadership roles in vocational education.</P> <P>(4) Advanced technology may include audio-video cassettes, electronic networking, satellite-assisted programming, computer-based conferencing, and interactive video.</P> <SECAUTH>(Authority: 20 U.S.C. 2404 (b) and (c); House Report No. 101-660, 101st Cong. 2nd Sess. p. 143 (1990))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 413.4</SECTNO> <SUBJECT>How does the Secretary designate a National Center or Centers?</SUBJECT> <P>(a) The Secretary designates a National Center or Centers once every five years.</P> <P>(b) In designating the National Center or Centers for Research in Vocational Education, the Secretary may support—</P> <P>(1) One National Center that conducts both research and development activities and dissemination and training activities; or</P> <P>(2) Two National Centers: one that conducts research and development activities and one that conducts dissemination and training activities.</P> <SECAUTH>(Authority: 20 U.S.C. 2404)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 413.5</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <P>The following regulations apply to the National Center or Centers:</P> <P>(a) The regulations in this part 413.</P> <P>(b) The regulations in 34 CFR part 400.</P> <SECAUTH>(Authority: 20 U.S.C. 2404)</SECAUTH> </SECTION> <SECTION> <PRTPAGE P="87"/> <SECTNO>§ 413.6</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> <P>The definitions in 34 CFR 400.4 apply to this part, except that the term “institution of higher education” has the same meaning as provided in 34 CFR 403.117(b).</P> <SECAUTH>(Authority: 20 U.S.C. 1085(b) and 2404)</SECAUTH> </SECTION> </SUBPART> <SUBPART> <RESERVED>Subpart B [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does the Secretary Make an Award?</HD> <SECTION> <SECTNO>§ 413.20</SECTNO> <SUBJECT>How does the Secretary evaluate an application?</SUBJECT> <P>(a) The Secretary evaluates an application on the basis of the criteria in §§ 413.21 and 413.22.</P> <P>(b) The Secretary may award up to 100 points to each set of criteria in §§ 413.21 and 413.22, including a reserved 10 points for each set of criteria to be distributed in accordance with paragraph (d) of this section.</P> <P>(c) Subject to paragraph (d) of this section, the maximum possible score for each criterion is indicated in parentheses after the heading for each criterion.</P> <P>(d) For each competition as announced through a notice published in the <E T="04">Federal Register,</E> the Secretary may assign the reserved points among the criteria in §§ 413.21 and 413.22.</P> <P>(e) The Secretary may hold two separate competitions, with the same closing date, for the National Center or Centers. One competition will be held for research and development activities and the second competition will be held for dissemination and training activities. An institution of higher education or consortium of higher education institutions may submit a research and development application; a dissemination and training application; or both as separate applications under separate covers.</P> <P>(f) The Secretary evaluates applications for the research and development center and the dissemination and training center independently against the criteria in §§ 413.21 and 413.22 whether an institution or consortium of institutions is competing for either or both sets of activities.</P> <P>(g) In accordance with section 404(a)(5) of the Act, the Secretary will give preference in grant selection to institutions or consortia of institutions that demonstrate the ability to carry out both the research and development and the dissemination and training activities effectively, either directly or by contract.</P> <P>(h) An institution or consortium of institutions that has submitted two applications and applied for a single grant for the purpose of carrying out both activities and that has earned 80 points or higher on each of its two applications, will be deemed by the Secretary to have demonstrated the ability to carry out both activities effectively.</P> <P>(i) The Secretary will award a single grant to an institution or consortium of institutions that has both—</P> <P>(1) Demonstrated the ability to carry out both program activities effectively, in accordance with paragraph (h) of this section; and</P> <P>(2) Earned the highest combined score among those institutions or consortia of institutions that have demonstrated the ability to carry out both activities effectively.</P> <P>(j) If no institution or consortium of institutions is selected for a single grant award, the institution or consortia of institutions ranking highest in each of the two competitions will each receive a grant award.</P> <SECAUTH>(Authority: 20 U.S.C. 2404)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 413.21</SECTNO> <SUBJECT>What selection criteria does the Secretary use to evaluate an application proposing research and development activities?</SUBJECT> <P>The Secretary uses the following selection criteria in evaluating each research and development application:</P> <P>(a) <E T="03">Program factors.</E> (20 points) The Secretary reviews each application to determine the extent to which each of the required research and development activities described in § 413.3(a)(2) will be of high quality and effective.</P> <P>(b) <E T="03">Plan of operation.</E> (35 points) The Secretary reviews each application to determine the quality of the plan of operation for the proposed center, including—</P> <P>(1) The applicant's plan for managing the National Center;</P> <P>(2) The procedures the applicant will use to implement the National Center <PRTPAGE P="88"/>particularly with regard to the public or private nonprofit institution of higher education with which it is associated and, in the case of a consortium, with the other member institutions of the consortium;</P> <P>(3) The applicant's plan for managing the National Center's activities and personnel, including—</P> <P>(i) Quality control procedures for its activities;</P> <P>(ii) Procedures for assuring compliance with timelines;</P> <P>(iii) Coordination procedures for communicating among staff, subcontractors, members of the consortium, if any, and the Department of Education;</P> <P>(iv) Procedures for ensuring that adequate progress is being made toward achieving the goals of the grantee by subcontractors, and members of a consortium; and</P> <P>(v) Procedures for ensuring that adequate budget, accounting, and recordkeeping procedures will be used;</P> <P>(4) The quality of the applicant's detailed plans for year one of the National Center, including—</P> <P>(i) Methodology and plan of operation;</P> <P>(ii) Tasks and timelines;</P> <P>(iii) Deliverables; and</P> <P>(iv) Dissemination plans for each project; and</P> <P>(5) The quality of the applicant's general plans for developing appropriate, coherent, and effective vocational education research and development activities, or dissemination and training activities, or both, for years two through five.</P> <P>(c) <E T="03">Key personnel.</E> (10 points) The Secretary reviews each application to determine the qualifications of the key personnel the applicant plans to use for the National Center, including—</P> <P>(1) The extent to which the Director of the National Center has—</P> <P>(i) Appropriate professional qualifications, relevant project management experience, and administrative skills;</P> <P>(ii) A commitment to work full-time at the National Center;</P> <P>(iii) A clear commitment to the goals of the project; and</P> <P>(iv) Sufficient authority to effectively manage the activities of the National Center;</P> <P>(2) How the applicant, as part of its nondiscriminatory employment practices, will ensure that its personnel are selected for employment without regard to race, color, national origin, gender, age, or disability; and</P> <P>(3) The extent to which other key personnel to be used for the National Center—</P> <P>(i) Have experience and training in project management and in fields related to the proposed activities they will be carrying out; and</P> <P>(ii) Will commit sufficient time to the project.</P> <P>(d) <E T="03">Vocational education experience.</E> (10 points) The Secretary reviews each application to determine the extent to which the applicant understands the state of knowledge and practice related to vocational education, including—</P> <P>(1) The applicant's experience in conducting applied research and development activities, dissemination and training activities, or both, in the field of vocational education of the type described in § 413.3;</P> <P>(2) The applicant's capacity for conducting applied research and development activities, dissemination and training activities, or both, in the field of vocational education of the type described in § 413.3; and</P> <P>(3) How the activities of the National Center will contribute to the advancement of relevant theory and practice in vocational education.</P> <P>(e) <E T="03">Budget and cost effectiveness.</E> (10 points) The Secretary reviews each application to determine the extent to which—</P> <P>(1) The Center has an adequate budget that is cost effective;</P> <P>(2) The budget is adequate to support the Center's activities; and</P> <P>(3) Costs are reasonable in relation to the objectives of the Center.</P> <P>(f) <E T="03">Coordination activities.</E> (5 points) The Secretary reviews each application to determine the extent to which there is an effective plan for the coordination of activities described in § 413.3 (a) and (b), and whether these activities are carried out between two institutions or within one institution.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0013)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2404)</SECAUTH> </SECTION> <SECTION> <PRTPAGE P="89"/> <SECTNO>§ 413.22</SECTNO> <SUBJECT>What selection criteria does the Secretary use to evaluate an application proposing dissemination and training activities?</SUBJECT> <P>The Secretary uses the following selection criteria in evaluating each dissemination and training application:</P> <P>(a) <E T="03">Program factors.</E> (20 points) The Secretary reviews each application to determine the extent to which each of the required dissemination and training activities, described in § 413.3(b), will be of high quality and effective.</P> <P>(b) The selection criteria and points in § 413.21 (b), (c), (d), (e), and (f).</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0013)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2404)</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—What Conditions Must Be Met After an Award?</HD> <SECTION> <SECTNO>§ 413.30</SECTNO> <SUBJECT>What are the restrictions on the use of funds?</SUBJECT> <P>(a) A National Center that performs both research and development activities and dissemination and training activities shall use at least two-thirds of its award for applied research and development.</P> <P>(b) Not more than 10 percent of each year's budget for a National Center may be used to respond to field-initiated needs unanticipated prior to the annual funding period and that are in the mission of the National Center, but not part of the scope of work of the grant or cooperative agreement.</P> <SECAUTH>(Authority: 20 U.S.C. 2404(a)(3) and (b))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 413.31</SECTNO> <SUBJECT>Must a National Center have a director?</SUBJECT> <P>A National Center must have a full-time director who is appointed by the institution serving as the grantee.</P> <SECAUTH>(Authority: 20 U.S.C. 2404)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 413.32</SECTNO> <SUBJECT>What are the requirements for coordination?</SUBJECT> <P>If the Secretary designates two National Centers, the two centers must coordinate their activities.</P> <SECAUTH>(Authority: 20 U.S.C. 2404)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 413.33</SECTNO> <SUBJECT>What substantive studies must the National Center or Centers conduct and submit?</SUBJECT> <P>(a) The National Center conducting research and development activities shall annually prepare a study on the research conducted on approaches that lead to effective articulation for the education-to-work transition, including tech-prep programs, cooperative education or other work-based programs, such as innovative apprenticeship or mentoring approaches.</P> <P>(b) The National Center conducting dissemination and training activities shall annually prepare a study of its dissemination and training activities.</P> <P>(c) Annual studies described in paragraphs (a) and (b) of this section must be submitted to the Secretary of Education, the Secretary of Labor, the Secretary of Health and Human Services, the Committee on Labor and Human Resources of the Senate, and the Committee on Education and Labor of the House of Representatives.</P> <SECAUTH>(Authority: 20 U.S.C. 2404 (b)(2) and (c)(2))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 413.34</SECTNO> <SUBJECT>What activities must be performed during the final year of an award?</SUBJECT> <P>During the fifth year of the award cycle, the National Center or Centers shall develop and remain prepared to implement a contingency plan for completing all substantive work by the end of the eleventh month of that year and transferring all projects, services, and activities to a successor during the twelfth month of that year.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0013)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2404)</SECAUTH> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 415</EAR> <HD SOURCE="HED">PART 415—DEMONSTRATION CENTERS FOR THE TRAINING OF DISLOCATED WORKERS PROGRAM</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>415.1</SECTNO> <SUBJECT>What is the Demonstration Centers for the Training of Dislocated Workers Program?</SUBJECT> <SECTNO>415.2</SECTNO> <SUBJECT>Who is eligible for an award?</SUBJECT> <SECTNO>415.3</SECTNO> <SUBJECT>What activities may the Secretary fund?</SUBJECT> <SECTNO>415.4</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <SECTNO>415.5</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> </SUBPART> <SUBPART> <PRTPAGE P="90"/> <RESERVED>Subpart B [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does the Secretary Make an Award?</HD> <SECTNO>415.20</SECTNO> <SUBJECT>How does the Secretary evaluate an application?</SUBJECT> <SECTNO>415.21</SECTNO> <SUBJECT>What selection criteria does the Secretary use?</SUBJECT> <SECTNO>415.22</SECTNO> <SUBJECT>What additional factors may the Secretary consider?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—What Conditions Must Be Met After an Award?</HD> <SECTNO>415.30</SECTNO> <SUBJECT>What are the evaluation requirements?</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>20 U.S.C. 2413, unless otherwise noted.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>57 FR 36784, Aug. 14, 1992, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 415.1</SECTNO> <SUBJECT>What is the Demonstration Centers for the Training of Dislocated Workers Program?</SUBJECT> <P>The Demonstration Centers for the Training of Dislocated Workers Program provides financial assistance for establishing one or more demonstration centers for the retraining of dislocated workers.</P> <SECAUTH>(Authority: 20 U.S.C. 2413(a))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 415.2</SECTNO> <SUBJECT>Who is eligible for an award?</SUBJECT> <P>A private nonprofit organization that is eligible to receive funding under title III of the Job Training Partnership Act (29 U.S.C. 1651 <E T="03">et seq.</E>) is eligible to receive an award under this program.</P> <SECAUTH>(Authority: 20 U.S.C. 2413(d))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 415.3</SECTNO> <SUBJECT>What activities may the Secretary fund?</SUBJECT> <P>(a) The Secretary provides grants or cooperative agreements for one or more centers that demonstrate the retraining of dislocated workers.</P> <P>(b) Each center funded by the Secretary must be designed and operated to provide for the use of appropriate existing Federal, State, and local programs and resources.</P> <P>(c) Each center may use funds to provide for—</P> <P>(1) The recruitment of unemployed workers;</P> <P>(2) Vocational evaluation;</P> <P>(3) Assessment and counseling services;</P> <P>(4) Vocational and technical training;</P> <P>(5) Support services; or</P> <P>(6) Job placement assistance.</P> <SECAUTH>(Authority: 20 U.S.C. 2413(a))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 415.4</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <P>The following regulations apply to the Demonstration Centers for the Training of Dislocated Workers Program:</P> <P>(a) The regulations in this part 415.</P> <P>(b) The regulations in 34 CFR part 400.</P> <SECAUTH>(Authority: 20 U.S.C. 2413)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 415.5</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> <P>The definitions in 34 CFR 400.4 apply to this part.</P> <SECAUTH>(Authority: 20 U.S.C. 2413)</SECAUTH> </SECTION> </SUBPART> <SUBPART> <RESERVED>Subpart B [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does the Secretary Make an Award?</HD> <SECTION> <SECTNO>§ 415.20</SECTNO> <SUBJECT>How does the Secretary evaluate an application?</SUBJECT> <P>(a) The Secretary evaluates an application on the basis of the criteria in § 415.21.</P> <P>(b) The Secretary may award up to 100 points, including a reserved 15 points to be distributed in accordance with paragraph (d) of this section, based on the criteria in § 415.21.</P> <P>(c) Subject to paragraph (d) of this section, the maximum possible score for each criterion is indicated in parentheses after the heading for each criterion.</P> <P>(d) For each competition, as announced in a notice published in the <E T="04">Federal Register,</E> the Secretary may assign the reserved 15 points among the criteria in § 415.21.</P> <SECAUTH>(Authority: 20 U.S.C. 2413)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 415.21</SECTNO> <SUBJECT>What selection criteria does the Secretary use?</SUBJECT> <P>The Secretary uses the following criteria to evaluate an application:</P> <P>(a) <E T="03">Program factors.</E> (10 points) The Secretary reviews each application to assess the extent to which the proposed <PRTPAGE P="91"/>demonstration center for the training of dislocated workers will—</P> <P>(1) Be located in a service area with a high concentration of dislocated workers, as supported by specific evidence of the need for the proposed demonstration center;</P> <P>(2) Provide vocational education and technical training to meet current and projected occupational needs;</P> <P>(3) Provide trainees with appropriate vocational evaluation, assessment, and counseling, support services, and job placement assistance;</P> <P>(4) Result in trainees becoming employed in jobs related to their training upon completion of their training; and</P> <P>(5) Use other appropriate Federal, State, and local programs to retrain, or provide services to, dislocated workers.</P> <P>(b) <E T="03">Educational significance.</E> (10 points) The Secretary reviews each application to determine the extent to which the applicant—</P> <P>(1) Bases the proposed demonstration center for the training of dislocated workers on successful model vocational education programs that include components similar to the components required by this program, as evidenced by empirical data from those programs, in such factors as—</P> <P>(i) Student performance and achievement in vocational and technical training;</P> <P>(ii) High school graduation;</P> <P>(iii) Placement of students in jobs, including military service; and</P> <P>(iv) Successful transfer of students to a variety of postsecondary education programs;</P> <P>(2) Proposes project objectives that contribute to the improvement of education; and</P> <P>(3) Proposes to use innovative techniques to address educational problems and needs that are of national significance.</P> <P>(c) <E T="03">Plan of operation.</E> (15 points) The Secretary reviews each application to determine the quality of the plan of operation for the project, including—</P> <P>(1) The quality of the project design, especially the establishment of measurable objectives for the project that are based on the project's overall goals;</P> <P>(2) The extent to which the plan of management is effective and ensures proper and efficient administration of the project over the award period;</P> <P>(3) How well the objectives of the project relate to the purpose of the program;</P> <P>(4) The quality of the applicant's plan to use its resources and personnel to achieve each objective including the use of appropriate existing Federal, State, and local programs; and</P> <P>(5) How the applicant will ensure that project participants who are otherwise eligible to participate are selected without regard to race, color, national origin, gender, age, or disability.</P> <P>(d) <E T="03">Evaluation plan.</E> (15 points) The Secretary reviews each application to determine the quality of the project's evaluation plan, including the extent to which the plan—</P> <P>(1) Is clearly explained and is appropriate to the project;</P> <P>(2) To the extent possible, is objective and will produce data that are quantifiable;</P> <P>(3) Identifies expected outcomes of the participants and how those outcomes will be measured;</P> <P>(4) Includes activities during the formative stages of the project to help guide and improve the project, as well as a summative evaluation that includes recommendations for replicating project activities and results;</P> <P>(5) Will provide a comparison between intended and observed results, and lead to the demonstration of a clear link between the observed results and the specific treatment of project participants; and</P> <P>(6) Will yield results that can be summarized and submitted to the Secretary for review by the Department's Program Effectiveness Panel as defined in 34 CFR 400.4(b).</P> <P>(e) <E T="03">Demonstration and dissemination.</E> (10 points) The Secretary reviews each application for information to determine the effectiveness and efficiency of the plan for demonstrating and disseminating information about project activities and results throughout the project period, including—</P> <P>(1) High quality in the design of the dissemination plan and procedures for evaluating the effectiveness of the dissemination plan;<PRTPAGE P="92"/> </P> <P>(2) Provisions for publicizing the project at the local, State, and national levels by conducting or delivering presentations at conferences, workshops, and other professional meetings and by preparing materials for journal articles, newsletters, and brochures;</P> <P>(3) Identification of target groups and provisions for demonstrating the methods and techniques used by the project to others interested in replicating these methods and techniques, such as by inviting them to observe project activities;</P> <P>(4) A description of the types of materials the applicant plans to make available to help others replicate project activities and the methods for making the materials available; and</P> <P>(5) Provisions for assisting others to adopt and successfully implement the project or methods and techniques used by the project.</P> <P>(f) <E T="03">Key personnel.</E> (10 points) (1) The Secretary reviews each application to determine the quality of key personnel the applicant plans to use on the project, including—</P> <P>(i) The qualifications, in relation to project requirements, of the project director;</P> <P>(ii) The qualifications, in relation to project requirements, of each of the other key personnel to be used in the project;</P> <P>(iii) The appropriateness of the time that each person referred to in paragraphs (f)(1) (i) and (ii) of this section will commit to the project; and</P> <P>(iv) How the applicant, as part of its nondiscriminatory employment practices, will ensure that its personnel are selected for employment without regard to race, color, national origin, gender, age, or disability.</P> <P>(2) To determine personnel qualifications under paragraphs (f)(1) (i) and (ii) of this section, the Secretary considers—</P> <P>(i) The experience and training of key personnel in project management and in fields related to the objectives of the project; and</P> <P>(ii) Any other qualifications of key personnel that pertain to the quality of the project.</P> <P>(g) <E T="03">Budget and cost effectiveness.</E> (10 points) The Secretary reviews each application to determine the extent to which—</P> <P>(1) The budget is cost effective and adequate to support the project activities;</P> <P>(2) The budget contains costs that are reasonable and necessary in relation to the objectives of the project; and</P> <P>(3) The budget proposes using non-Federal resources available from appropriate employment, training, and education agencies in the State to provide project services and activities and to acquire demonstration center equipment and facilities.</P> <P>(h) <E T="03">Adequacy of resources and commitment.</E> (5 points) (1) The Secretary reviews each application to determine the extent to which the applicant plans to devote adequate resources to the project. The Secretary considers the extent to which—</P> <P>(i) The facilities that the applicant plans to use are adequate; and</P> <P>(ii) The equipment and supplies that the applicant plans to use are adequate.</P> <P>(2) The Secretary reviews each application to determine the commitment to the project, including whether the—</P> <P>(i) Uses of non-Federal resources are adequate to provide project services and activities, especially resources of community organizations and State and local educational agencies; and</P> <P>(ii) Applicant has the capacity to continue, expand, and build upon the project when Federal assistance under this part ends.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0013)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2413)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 415.22</SECTNO> <SUBJECT>What additional factors may the Secretary consider?</SUBJECT> <P>After evaluating the applications according to the criteria in § 415.21, the Secretary may select applications other than the most highly rated applications if doing so would improve the geographical distribution of projects funded under this program.</P> <SECAUTH>(Authority: U.S.C. 2413)</SECAUTH> </SECTION> </SUBPART> <SUBPART> <PRTPAGE P="93"/> <HD SOURCE="HED">Subpart D—What Conditions Must Be Met After an Award?</HD> <SECTION> <SECTNO>§ 415.30</SECTNO> <SUBJECT>What are the evaluation requirements?</SUBJECT> <P>(a) Each grantee shall provide and budget for an independent evaluation of grant activities.</P> <P>(b) The evaluation must be both formative and summative in nature.</P> <P>(c) The evaluation must be based on student achievement, completion, and placement rates and project and product spread and transportability.</P> <P>(d) A proposed project evaluation design must be submitted to the Secretary for review and approval prior to the end of the first year of the project period.</P> <P>(e) A summary of evaluation activities and results that can be reviewed by the Department's Program Effectiveness Panel, as defined in 34 CFR 400.4(b), must be submitted to the Secretary during the last year of the project period.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0013)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2413)</SECAUTH> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 421</EAR> <HD SOURCE="HED">PART 421—BUSINESS AND EDUCATION STANDARDS PROGRAM</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>421.1</SECTNO> <SUBJECT>What is the Business and Education Standards Program?</SUBJECT> <SECTNO>421.2</SECTNO> <SUBJECT>Who is eligible for an award?</SUBJECT> <SECTNO>421.3</SECTNO> <SUBJECT>What activities may the Secretary fund?</SUBJECT> <SECTNO>421.4</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <SECTNO>421.5</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> </SUBPART> <SUBPART> <RESERVED>Subpart B [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does the Secretary Make an Award?</HD> <SECTNO>421.20</SECTNO> <SUBJECT>How does the Secretary evaluate an application?</SUBJECT> <SECTNO>421.21</SECTNO> <SUBJECT>What selection criteria does the Secretary use?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—What Conditions Must Be Met After an Award?</HD> <SECTNO>421.30</SECTNO> <SUBJECT>What is the cost-sharing requirement?</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>20 U.S.C. 2416, unless otherwise noted.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>57 FR 36796, Aug. 14, 1992, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 421.1</SECTNO> <SUBJECT>What is the Business and Education Standards Program?</SUBJECT> <P>The Business and Education Standards Program provides financial assistance for organizing and operating business-education-labor technical committees that will develop national standards for competencies in industries and trades.</P> <SECAUTH>(Authority: 20 U.S.C. 2416)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 421.2</SECTNO> <SUBJECT>Who is eligible for an award?</SUBJECT> <P>The following entities are eligible for an award under this program:</P> <P>(a) Industrial trade associations.</P> <P>(b) Labor organizations.</P> <P>(c) National joint apprenticeship committees.</P> <P>(d) Comparable national organizations, such as educational associations, industry councils, business and industry organizations, and associations of private or national research organizations.</P> <SECAUTH>(Authority: 20 U.S.C. 2416)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 421.3</SECTNO> <SUBJECT>What activities may the Secretary fund?</SUBJECT> <P>The Secretary provides grants and cooperative agreements for projects that organize and operate business-labor-education technical committees that propose national standards for competencies in industries and trades, including standards for—</P> <P>(a) Major divisions or specialty areas identified within occupations studied;</P> <P>(b) Minimum hours of study to be competent in those divisions or specialty areas;</P> <P>(c) Minimum tools and equipment required in those divisions or specialty areas;</P> <P>(d) Minimum qualifications for instructional staff; and</P> <P>(e) Minimum tasks to be included in any course of study purporting to prepare individuals for work in those divisions or specialty areas.</P> <SECAUTH>(Authority: 20 U.S.C. 2416)</SECAUTH> </SECTION> <SECTION> <PRTPAGE P="94"/> <SECTNO>§ 421.4</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <P>The following regulations apply to the Business and Education Standards Program:</P> <P>(a) The regulations in this part 421.</P> <P>(b) The regulations in 34 CFR part 400.</P> <SECAUTH>(Authority: 20 U.S.C. 2416)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 421.5</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> <P>The definitions in 34 CFR 400.4 apply to this part.</P> <SECAUTH>(Authority: 20 U.S.C. 2416)</SECAUTH> </SECTION> </SUBPART> <SUBPART> <RESERVED>Subpart B [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does the Secretary Make an Award?</HD> <SECTION> <SECTNO>§ 421.20</SECTNO> <SUBJECT>How does the Secretary evaluate an application?</SUBJECT> <P>(a) The Secretary evaluates an application for a grant or cooperation agreement on the basis of the criteria in § 421.21.</P> <P>(b) The Secretary may award up to 100 points, including a reserved 15 points to be distributed in accordance with paragraph (d) of this section, based on the criteria in § 421.21.</P> <P>(c) Subject to paragraph (d) of this section, the maximum possible score for each criterion is indicated in parentheses after the heading for each criterion.</P> <P>(d) For each competition as announced through a notice published in the <E T="04">Federal Register,</E> the Secretary may assign the reserved points among the criteria in § 421.21.</P> <SECAUTH>(Authority: 20 U.S.C. 2416)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 421.21</SECTNO> <SUBJECT>What selection criteria does the Secretary use?</SUBJECT> <P>The Secretary uses the following criteria to evaluate an application:</P> <P>(a) <E T="03">Program factors.</E> (15 points) The Secretary reviews each application to assess the quality and effectiveness of the applicant's approach to developing national standards for competencies in industries and trades, including the extent to which the application proposes—</P> <P>(1) To develop standards for—</P> <P>(i) The competencies required for actual jobs, including the increased competency requirements created by the changing workplace;</P> <P>(ii) Major divisions or specialty areas identified within the occupations the applicant proposes to study;</P> <P>(iii) The minimum hours of study needed to be competent in those divisions or specialty areas;</P> <P>(iv) Minimum tools and equipment required in those divisions or specialty areas;</P> <P>(v) Minimum tasks to be included in any course of study purporting to prepare individuals for work in those divisions or specialty areas; and</P> <P>(vi) Minimum qualifications for instructional staff in those divisions or specialty areas; and</P> <P>(2) An adequate needs assessment of the program factors described in paragraph (a)(1) of this section as a part of the project.</P> <P>(b) <E T="03">Extent of need for the project.</E> (15 points) The Secretary reviews each application to determine the extent to which the project meets specific needs, including—</P> <P>(1) The extent of the need for national standards for competencies in the major division or specialty areas identified within the occupations that the applicant proposes to study;</P> <P>(2) How the applicant identified and documented those needs;</P> <P>(3) How the standards to be developed will meet those needs, including the need of business for competent entry-level workers in the occupations to be studied; and</P> <P>(4) The benefits to business, labor, and education that will result from meeting those needs.</P> <P>(c) <E T="03">Plan of operation.</E> (15 points) The Secretary reviews each application to determine the quality of the plan of operation for the project, including the extent to which—</P> <P>(1) The plan of management will be effective, will ensure proper and efficient administration of the program, and includes timelines that show starting and ending dates for all tasks;</P> <P>(2) The specific procedures proposed will accomplish the project's objectives, including how the procedures for selecting the business-labor-education technical committees will ensure that the members are knowledgeable about <PRTPAGE P="95"/>the occupations to be studied and include representatives of business, labor, and education;</P> <P>(3) The applicant plans to organize and operate the business-labor-education technical committees effectively in developing national standards for competencies in industries and trades;</P> <P>(4) The development of proposed competencies for major divisions or specialty areas within occupations will be coordinated with education and industrial trade associations, labor organizations, and businesses;</P> <P>(5) The methods the applicant proposes to use to select project participants, if applicable, will ensure that project participants who are otherwise eligible to participate are selected without regard to race, color, national origin, gender, age, or disability.</P> <P>(d) <E T="03">Evaluation plan.</E> (10 points) The Secretary reviews each application to determine the quality of the evaluation plan for the project, including the extent to which the plan includes specific procedures for—</P> <P>(1) A formative evaluation to help assess and improve the accuracy of standards for competencies; and</P> <P>(2) A summative evaluation conducted by an independent evaluator.</P> <P>(e) <E T="03">Key personnel.</E> (10 points) (1) The Secretary reviews each application to determine the extent of the applicant's experience in fields related to the objectives of the project.</P> <P>(2) The Secretary reviews each application to determine the quality of key personnel the applicant plans to use including—</P> <P>(i) The qualifications, in relation to project requirements, of the project director, if one is to be used;</P> <P>(ii) The qualifications, in relation to project requirements, of each of the other key personnel to be used in the project;</P> <P>(iii) The appropriateness of the time that each person referred to in paragraphs (e)(2) (i) and (ii) of this section will commit to the project; and</P> <P>(iv) The experience and training of the project director and key personnel in project management.</P> <P>(f) <E T="03">Budget and cost effectiveness.</E> (10 points) The Secretary reviews each application to determine the extent to which—</P> <P>(1) The budget is adequate to support the project; and</P> <P>(2) Costs are reasonable in relation to the objectives of the project.</P> <P>(g) <E T="03">Dissemination plan.</E> (10 points) The Secretary reviews each application to determine the quality of the dissemination plan for the project, including—</P> <P>(1) A clear description of the dissemination procedures;</P> <P>(2) A description of the types of materials the applicant plans to make available;</P> <P>(3) Provisions for publicizing the proposed national standards for competencies in industries and trades; and</P> <P>(4) Provisions for encouraging the adoption and use of the proposed standards by education and training programs.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0013)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2416)</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—What Conditions Must Be Met After an Award?</HD> <SECTION> <SECTNO>§ 421.30</SECTNO> <SUBJECT>What is the cost-sharing requirement?</SUBJECT> <P>(a) The Secretary pays no more than 50 percent of the cost of a project.</P> <P>(b) Each recipient of an award under this part shall provide at least 50 percent of the cost of the business-labor-education technical committees established under the award.</P> <SECAUTH>(Authority: 20 U.S.C. 2416(c))</SECAUTH> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 425</EAR> <HD SOURCE="HED">PART 425—DEMONSTRATION PROJECTS FOR THE INTEGRATION OF VOCATIONAL AND ACADEMIC LEARNING PROGRAM</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>425.1</SECTNO> <SUBJECT>What is the Demonstration Projects for the Integration of Vocational and Academic Learning Program?</SUBJECT> <SECTNO>425.2</SECTNO> <SUBJECT>Who is eligible for an award?</SUBJECT> <SECTNO>425.3</SECTNO> <SUBJECT>What activities may the Secretary fund?</SUBJECT> <SECTNO>425.4</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <SECTNO>425.5</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> </SUBPART> <SUBPART> <RESERVED>Subpart B [Reserved]</RESERVED> </SUBPART> <SUBPART> <PRTPAGE P="96"/> <HD SOURCE="HED">Subpart C—How Does the Secretary Make an Award?</HD> <SECTNO>425.20</SECTNO> <SUBJECT>How does the Secretary evaluate an application?</SUBJECT> <SECTNO>425.21</SECTNO> <SUBJECT>What selection criteria does the Secretary use?</SUBJECT> <SECTNO>425.22</SECTNO> <SUBJECT>What additional factors does the Secretary consider?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—What Conditions Must Be Met After an Award?</HD> <SECTNO>425.30</SECTNO> <SUBJECT>What are the evaluation requirements?</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>20 U.S.C. 2420, unless otherwise noted.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>57 FR 36803, Aug. 14, 1992, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 425.1</SECTNO> <SUBJECT>What is the Demonstration Projects for the Integration of Vocational and Academic Learning Program?</SUBJECT> <P>The Demonstration Projects for the Integration of Vocational and Academic Learning Program provides financial assistance to projects that develop, implement, and operate programs using different models of curricula that integrate vocational and academic learning.</P> <SECAUTH>(Authority: 20 U.S.C. 2420(a))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 425.2</SECTNO> <SUBJECT>Who is eligible for an award?</SUBJECT> <P>(a) The following entities are eligible for an award under the Demonstration Projects for the Integration of Vocational and Academic Learning Program:</P> <P>(1) An institution of higher education.</P> <P>(2) An area vocational education school.</P> <P>(3) A secondary school funded by the Bureau of Indian Affairs.</P> <P>(4) A State board of vocational education.</P> <P>(5) A public or private nonprofit organization.</P> <P>(6) A local educational agency.</P> <P>(b) Consortia composed of the entities described in paragraph (a) of this section also are eligible for awards under this program.</P> <SECAUTH>(Authority: 20 U.S.C. 2420(a))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 425.3</SECTNO> <SUBJECT>What activities may the Secretary fund?</SUBJECT> <P>(a) The Secretary provides grants or cooperative agreements to projects that develop, implement, and operate programs using different models of curricula that integrate vocational and academic learning by—</P> <P>(1) Designing integrated curricula and courses;</P> <P>(2) Providing inservice training for teachers of vocational education students and administrators in integrated curricula; and</P> <P>(3) Disseminating information regarding effective integrative strategies to other school districts through the National Diffusion Network (NDN) under section 1562 of the Elementary and Secondary Education Act of 1965, as amended (20 U.S.C. 2962), or, in the case of projects that will be funded for less than three years, disseminating information about the design of a project necessary for effective integrative strategies to be supported, so that they may be disseminated through the NDN.</P> <P>(b) Each project supported under this part must serve—</P> <P>(1) Individuals who are members of special populations;</P> <P>(2) Vocational students in secondary schools;</P> <P>(3) Vocational students at postsecondary institutions;</P> <P>(4) Individuals enrolled in adult programs; or</P> <P>(5) Single parents, displaced homemakers, and single pregnant women.</P> <SECAUTH>(Authority: 20 U.S.C. 2420(a), (b)(3) and (4))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 425.4</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <P>The following regulations apply to the Demonstration Projects for the Integration of Vocational and Academic Learning Program:</P> <P>(a) The regulations in this part 425.</P> <P>(b) The regulations in 34 CFR part 400.</P> <SECAUTH>(Authority: 20 U.S.C. 2420)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 425.5</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> <P>The definitions in 34 CFR 400.4 apply to this part.</P> <SECAUTH>(Authority: 20 U.S.C. 2420)</SECAUTH> </SECTION> </SUBPART> <SUBPART> <RESERVED>Subpart B [Reserved]</RESERVED> </SUBPART> <SUBPART> <PRTPAGE P="97"/> <HD SOURCE="HED">Subpart C—How Does the Secretary Make an Award?</HD> <SECTION> <SECTNO>§ 425.20</SECTNO> <SUBJECT>How does the Secretary evaluate an application?</SUBJECT> <P>(a) The Secretary evaluates an application on the basis of the criteria in § 425.21.</P> <P>(b) The Secretary may award up to 100 points, including a reserved 15 points to be distributed in accordance with paragraph (d) of this section, based on the criteria in § 425.21.</P> <P>(c) Subject to paragraph (d) of this section, the maximum possible score for each criterion is indicated in parentheses.</P> <P>(d) For each competition, as announced in a notice published in the <E T="04">Federal Register,</E> the Secretary may assign the reserved 15 points among the criteria in § 425.21.</P> <SECAUTH>(Authority: 20 U.S.C. 2420)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 425.21</SECTNO> <SUBJECT>What selection criteria does the Secretary use?</SUBJECT> <P>The Secretary uses the following criteria to evaluate an application:</P> <P>(a) <E T="03">Program factors.</E> (10 points) The Secretary reviews each application to assess the quality of the proposed project, including—</P> <P>(1) The extent to which the project involves creative or innovative methods for integrating vocational and academic learning; and</P> <P>(2) The quality of the services that the project will provide to—</P> <P>(i) Individuals who are members of special populations;</P> <P>(ii) Vocational students in secondary schools and at postsecondary institutions;</P> <P>(iii) Individuals enrolled in adult programs; or</P> <P>(iv) Single parents, displaced homemakers, and single pregnant women.</P> <P>(b) <E T="03">Educational significance.</E> (10 points) The Secretary reviews each application to determine the extent to which the applicant—</P> <P>(1) Bases the proposed project on successful model vocational education programs that include components similar to the components required by this program, as evidenced by empirical data from those programs in such factors as—</P> <P>(i) Student performance and achievement;</P> <P>(ii) High school graduation;</P> <P>(iii) Placement of students in jobs, including military service; and</P> <P>(iv) Successful transfer of students to a variety of postsecondary education programs;</P> <P>(2) Proposes project objectives that contribute to the improvement of education; and</P> <P>(3) Proposes to use unique and innovative techniques that address the need to integrate vocational and academic learning, and produce benefits that are of national significance.</P> <P>(c) <E T="03">Plan of operation.</E> (15 points) The Secretary reviews each application to determine the quality of the plan of operation for the project, including—</P> <P>(1) The quality of the project design, especially the establishment of measurable objectives for the project that are based on the project's overall goals;</P> <P>(2) The extent to which the plan of management is effective and ensures proper and efficient administration of the project over the award period;</P> <P>(3) How well the objectives of the project relate to the purpose of the program;</P> <P>(4) The quality of the applicant's plan to use its resources and personnel to achieve each objective; and</P> <P>(5) How the applicant will ensure that project participants who are otherwise eligible to participate are selected without regard to race, color, national origin, gender, age, or disability.</P> <P>(d) <E T="03">Evaluation plan.</E> (15 points) The Secretary reviews each application to determine the quality of the project's evaluation plan, including the extent to which the plan—</P> <P>(1) Carries out the requirements in § 425.30;</P> <P>(2) Is clearly explained and is appropriate to the project;</P> <P>(3) To the extent possible, is objective and will produce data that are quantifiable;</P> <P>(4) Includes quality measures to assess the effectiveness of the curricular developed by the project;</P> <P>(5) Identifies expected outcomes of the participants and how those outcomes will be measured;<PRTPAGE P="98"/> </P> <P>(6) Includes activities during the formative stages of the project to help guide and improve the project, as well as a summative evaluation that includes recommendations for replicating project activities and results;</P> <P>(7) Will provide a comparison between intended and observed results, and lead to the demonstration of a clear link between the observed results and the specific treatment of project participants; and</P> <P>(8) Will yield results that can be summarized and submitted to the Secretary for review by the Department's Program Effectiveness Panel as defined in 34 CFR 400.4(b).</P> <P>(e) <E T="03">Demonstration and dissemination.</E> (10 points) The Secretary reviews each application for information to determine the effectiveness and efficiency of the plan for demonstrating and disseminating information about project activities and results throughout the project period, including—</P> <P>(1) High quality in the design of the dissemination plan and procedures for evaluating the effectiveness of the dissemination plan;</P> <P>(2) Identification of the audience to which the project activities will be disseminated and provisions for publicizing the project at the local, State, and national levels by conducting, or delivering presentations at, conferences, workshops, and other professional meetings and by preparing materials for journal articles, newsletters, and brochures;</P> <P>(3) Provisions for demonstrating the methods and techniques used by the project to others interested in replicating these methods and techniques, such as by inviting them to observe project activities;</P> <P>(4) A description of the types of materials the applicant plans to make available to help others replicate project activities and the methods for making the materials available; and</P> <P>(5) Provisions for assisting others to adopt and successfully implement the methods, approaches, and techniques developed by the project.</P> <P>(f) <E T="03">Key personnel.</E> (10 points) (1) The Secretary reviews each application to determine the quality of key personnel the applicant plans to use on the project, including—</P> <P>(i) The qualifications, in relation to project requirements, of the project director;</P> <P>(ii) The qualifications, in relation to project requirements, of each of the other key personnel to be used in the project;</P> <P>(iii) The appropriateness of the time that each person referred to in paragraphs (f)(1) (i) and (ii) of this section will commit to the project; and</P> <P>(iv) How the applicant, as part of its nondiscriminatory employment practices, will ensure that its personnel are selected for employment without regard to race, color, national origin, gender, age, or disability.</P> <P>(2) To determine personnel qualifications under paragraphs (f)(1) (i) and (ii) of this section, the Secretary considers—</P> <P>(i) The experience and training of key personnel in project management and in fields related to the objectives of the project; and</P> <P>(ii) Any other qualifications of key personnel that pertain to the quality of the project.</P> <P>(g) <E T="03">Budget and cost effectiveness.</E> (10 points) The Secretary reviews each application to determine the extent to which the budget—</P> <P>(1) Is cost effective and adequate to support the project activities;</P> <P>(2) Contains costs that are reasonable and necessary in relation to the objectives of the project; and</P> <P>(3) Proposes using non-Federal resources available from appropriate employment, training, and education agencies in the State to provide project services and activities and to acquire project equipment and facilities, to ensure that funds awarded under this part are used to provide instructional services.</P> <P>(h) <E T="03">Adequacy of resources and commitment.</E> (5 points) (1) The Secretary reviews each application to determine the extent to which the applicant plans to devote adequate resources to the project. The Secretary considers the extent to which—</P> <P>(i) The facilities that the applicant plans to use are adequate; and</P> <P>(ii) The equipment and supplies that the applicant plans to use are adequate.<PRTPAGE P="99"/> </P> <P>(2) The Secretary reviews each application to determine the commitment to the project including whether the—</P> <P>(i) Uses of non-Federal resources are adequate to provide project services and activities, especially resources of community organizations and State and local educational agencies; and</P> <P>(ii) Applicant has the capacity to continue, expand, and build upon the project when Federal assistance under this part ends.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0013)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2420)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 425.22</SECTNO> <SUBJECT>What additional factors does the Secretary consider?</SUBJECT> <P>(a) After evaluating the applications according to the criteria in § 425.21, the Secretary determines whether the most highly rated applications—</P> <P>(1) Are equitably distributed throughout the Nation;</P> <P>(2) Offer significantly different approaches to integrating vocational and academic curricula; and</P> <P>(3) Serve individuals described in § 425.3(b).</P> <P>(b) The Secretary may select other applications for funding if doing so would improve the geographical distribution of, diversity of approaches in, or the diversity of populations to be served by projects funded under this program.</P> <SECAUTH>(Authority: 20 U.S.C. 2420(b))</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—What Conditions Must Be Met After an Award?</HD> <SECTION> <SECTNO>§ 425.30</SECTNO> <SUBJECT>What are the evaluation requirements?</SUBJECT> <P>(a) Each grantee shall provide and budget for an independent evaluation of grant activities.</P> <P>(b) The evaluation must be both formative and summative in nature.</P> <P>(c) Each grantee shall employ adequate measures to evaluate the effectiveness of the curriculum approaches supported by the project.</P> <P>(d) The evaluation must be based on student achievement, completion, and placement rates and project and product spread and transportability.</P> <P>(e) A proposed project evaluation design must be submitted to the Secretary for review and approval prior to the end of the first year of the project period.</P> <P>(f) A summary of evaluation activities and results that can be reviewed by the Department's Program Effectiveness Panel, as defined in 34 CFR 400.4(b), must be submitted to the Secretary during the last year of the project period.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0013)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2420(b)(5))</SECAUTH> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 426</EAR> <HD SOURCE="HED">PART 426—COOPERATIVE DEMONSTRATION PROGRAM</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>426.1</SECTNO> <SUBJECT>What is the Cooperative Demonstration Program?</SUBJECT> <SECTNO>426.2</SECTNO> <SUBJECT>Who is eligible for an award?</SUBJECT> <SECTNO>426.3</SECTNO> <SUBJECT>What activities may the Secretary fund?</SUBJECT> <SECTNO>426.4</SECTNO> <SUBJECT>What activities does the Secretary fund under the Demonstration Projects?</SUBJECT> <SECTNO>426.5</SECTNO> <SUBJECT>What activities does the Secretary fund under the Program for Model Consumer and Homemaking Education Projects?</SUBJECT> <SECTNO>426.6</SECTNO> <SUBJECT>What activities does the Secretary fund under the Community-Based Organization Projects?</SUBJECT> <SECTNO>426.7</SECTNO> <SUBJECT>What activities does the Secretary fund under the Agriculture Action Centers?</SUBJECT> <SECTNO>426.8</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <SECTNO>426.9</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> </SUBPART> <SUBPART> <RESERVED>Subpart B [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does the Secretary Make an Award?</HD> <SECTNO>426.20</SECTNO> <SUBJECT>How does the Secretary evaluate an application?</SUBJECT> <SECTNO>426.21</SECTNO> <SUBJECT>What selection criteria does the Secretary use for the Demonstration Projects?</SUBJECT> <SECTNO>426.22</SECTNO> <SUBJECT>What selection criteria does the Secretary use for the Program for Model Consumer and Homemaking Education Projects?</SUBJECT> <SECTNO>426.23</SECTNO> <SUBJECT>What selection criteria does the Secretary use for the Community-Based Organization Projects?</SUBJECT> <SECTNO>426.24</SECTNO> <SUBJECT>What selection criteria does the Secretary use for Agriculture Action Centers?</SUBJECT> <SECTNO>426.25</SECTNO> <SUBJECT>What additional factors may the Secretary consider?</SUBJECT> </SUBPART> <SUBPART> <PRTPAGE P="100"/> <HD SOURCE="HED">Subpart D—What Conditions Must Be Met After an Award?</HD> <SECTNO>426.30</SECTNO> <SUBJECT>What is the requirement regarding cost-sharing?</SUBJECT> <SECTNO>426.31</SECTNO> <SUBJECT>What is the requirement regarding dissemination?</SUBJECT> <SECTNO>426.32</SECTNO> <SUBJECT>What are the evaluation requirements?</SUBJECT> <SECTNO>426.33</SECTNO> <SUBJECT>May the Secretary restrict the use of funds for equipment?</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>20 U.S.C. 2420a, unless otherwise noted.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>57 FR 36805, Aug. 14, 1992, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 426.1</SECTNO> <SUBJECT>What is the Cooperative Demonstration Program?</SUBJECT> <P>The Cooperative Demonstration Program provides financial assistance for—</P> <P>(a) Model projects providing improved access to quality vocational education programs for individuals who are members of special populations and for men and women seeking nontraditional occupations;</P> <P>(b) Projects that are examples of successful cooperation between the private sector and public agencies in vocational education;</P> <P>(c) Projects to overcome national skill shortages;</P> <P>(d) Projects that develop consumer and homemaking education programs, including child growth and development centers;</P> <P>(e) Projects that assist disadvantaged youths in preparing for technical and professional health careers; and</P> <P>(f) Model projects providing access to vocational education programs through agriculture action centers.</P> <SECAUTH>(Authority: 20 U.S.C. 2420a(a))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 426.2</SECTNO> <SUBJECT>Who is eligible for an award?</SUBJECT> <P>(a) The following entities are eligible to apply for an award for activities described in §§ 426.4, 426.5, and 426.7:</P> <P>(1) State educational agencies.</P> <P>(2) Local educational agencies.</P> <P>(3) Postsecondary educational institutions.</P> <P>(4) Institutions of higher education.</P> <P>(5) Other public and private agencies, organizations, and institutions.</P> <P>(b)(1) Awards for activities described in § 426.6 are provided to partnerships between—</P> <P>(i) Community-based organizations; and</P> <P>(ii) Local schools, institutions of higher education, and businesses.</P> <P>(2) A partnership formed for the purpose of receiving an award under § 426.6 shall include as partners at least one community-based organization and at least one entity from the groups listed in paragraph (b)(1)(ii) of this section, and may include more than one entity from each group.</P> <P>(3) The partners shall apply jointly to the Secretary for an award under this part.</P> <P>(4) The partners shall enter into an agreement, in the form of a single document signed by all partners, designating one member of the partnership as the applicant and the grantee. The agreement must also detail the role each partner plans to perform, and must bind each partner to every statement and assurance made in the application.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0013)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2420a(a))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 426.3</SECTNO> <SUBJECT>What activities may the Secretary fund?</SUBJECT> <P>(a) The Secretary supports, directly or through grants, cooperative agreements, or contracts, the following types of projects:</P> <P>(1) <E T="03">Demonstration Projects.</E> The Secretary supports model projects providing improved access to high quality vocational education for members of special populations and men and women seeking to enter non-traditional occupations, projects that are models of successful cooperation between the private sector and public agencies in vocational education, and projects to overcome national skill shortages, as described in § 426.4.</P> <P>(2) <E T="03">Program for Model Consumer and Homemaking Education Projects.</E> The Secretary supports model projects that improve instruction and curricula related to consumer and homemaking skills, as described in § 426.5.<PRTPAGE P="101"/> </P> <P>(3) <E T="03">Community-Based Organization Projects.</E> The Secretary supports community-based organizations in partnerships with entities listed in § 426.2(b)(1)(ii), to operate projects that assist disadvantaged youths in preparing for technical and professional health careers, as described in § 426.6.</P> <P>(4) <E T="03">Agriculture Action Centers.</E> The Secretary supports model projects providing improved access to vocational education programs through agriculture action centers, as described in § 426.7.</P> <P>(b) All projects assisted under the Cooperative Demonstration Program must be—</P> <P>(1) Of direct service to the individuals enrolled; and</P> <P>(2) Capable of wide replication by service providers.</P> <SECAUTH>(Authority: 20 U.S.C. 2420a(a))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 426.4</SECTNO> <SUBJECT>What activities does the Secretary fund under the Demonstration Projects?</SUBJECT> <P>The Secretary supports the following types of projects:</P> <P>(a) Model projects providing improved access to quality vocational education programs for—</P> <P>(1) Individuals with disabilities;</P> <P>(2) Educationally and economically disadvantaged individuals (including foster children);</P> <P>(3) Individuals of limited English proficiency;</P> <P>(4) Individuals who participate in programs designed to eliminate sex bias;</P> <P>(5) Individuals in correctional institutions; and</P> <P>(6) Men and women seeking to enter nontraditional occupations.</P> <P>(b)(1) Projects that are examples of successful cooperation between the private sector (including employers, consortia of employers, labor organizations, building trade councils, and private agencies, organizations, and institutions) and public agencies in vocational education (including State boards of vocational education and eligible recipients as defined in 34 CFR 400.4).</P> <P>(2) The projects described in paragraph (b)(1) of this section must be designed to demonstrate ways in which vocational education and the private sector of the economy can work together effectively to assist vocational education students to attain the advanced level of skills needed to make the transition from school to productive employment, including—</P> <P>(i) Work experience and apprenticeship projects;</P> <P>(ii) Transitional work site job training for vocational education students that is related to their occupational goals and closely linked to classroom and laboratory instruction provided by an eligible recipient;</P> <P>(iii) Placement services in occupations that the students are preparing to enter;</P> <P>(iv) If practical, projects that will benefit the public, such as the rehabilitation of public schools or housing in inner cities or economically depressed rural areas; or</P> <P>(v) Employment-based learning programs.</P> <P>(3) The projects described in paragraphs (b) (1) and (2) of this section may include institutional and on-the-job training, supportive services authorized by the Act, and other assistance as the Secretary determines to be necessary for the successful completion of the project.</P> <P>(c) Projects to overcome national skill shortages, as designated by the Secretary in cooperation with the Secretary of Labor, Secretary of Defense, and Secretary of Commerce.</P> <SECAUTH>(Authority: 20 U.S.C. 2420a(a) (1)-(3) and (b)(1))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 426.5</SECTNO> <SUBJECT>What activities does the Secretary fund under the Program for Model Consumer and Homemaking Education Projects?</SUBJECT> <P>The Secretary supports model projects that develop programs and improve instruction and curricula related to—</P> <P>(a) Managing individual and family resources;</P> <P>(b) Making consumer choices;</P> <P>(c) Balancing work and family;</P> <P>(d) Improving responses to individual and family crises, including family violence and child abuse;</P> <P>(e) Strengthening parenting skills, especially among teenage parents;</P> <P>(f) Preventing teenage pregnancy;<PRTPAGE P="102"/> </P> <P>(g) Assisting aged individuals with disabilities, and members of at-risk populations, including the homeless;</P> <P>(h) Conserving limited resources;</P> <P>(i) Improving individual, child, and family nutrition and wellness;</P> <P>(j) Understanding the impact of new technology on life and work;</P> <P>(k) Applying consumer and homemaking education skills to jobs and careers;</P> <P>(l) Other needs to be determined by the State board of vocational education; and</P> <P>(m) Developing child growth and development centers.</P> <SECAUTH>(Authority: 20 U.S.C. 2420a(4))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 426.6</SECTNO> <SUBJECT>What activities does the Secretary fund under the Community-Based Organization Projects?</SUBJECT> <P>(a) The Secretary supports projects that assist disadvantaged youths in preparing for technical and professional health careers.</P> <P>(b) The Secretary may require partnerships described in § 426.2(b)(1) to provide in-kind contributions from participating schools, institutions, and businesses and to involve health professionals serving as instructors and counselors.</P> <SECAUTH>(Authority: 20 U.S.C. 2420a(5))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 426.7</SECTNO> <SUBJECT>What activities does the Secretary fund under the Agriculture Action Centers?</SUBJECT> <P>The Secretary supports model Agriculture Action Centers that provide improved access to vocational education programs and that—</P> <P>(a) Assist individuals—</P> <P>(1) Who are adversely affected by farm and rural economic downturns;</P> <P>(2) Who are dislocated from farming; and</P> <P>(3) Who are dislocated from agriculturally related businesses and industries that are adversely affected by farm and rural economic downturns;</P> <P>(b) Provide services, including—</P> <P>(1) Crisis management counseling and outreach counseling that would include members of the family of the affected individual;</P> <P>(2) Evaluation of vocational skills and counseling on enhancement of these skills;</P> <P>(3) Assistance in obtaining training in basic, remedial, and literacy skills;</P> <P>(4) Assistance in seeking employment and training in employment-seeking skills; and</P> <P>(5) Assistance in obtaining training related to operating a business or enterprise;</P> <P>(c) Provide for formal and on-the-job training to the extent practicable; and</P> <P>(d) Are coordinated with activities and discretionary programs under title III of the Job Training Partnership Act (29 U.S.C. 1651 <E T="03">et seq.</E>).</P> <SECAUTH>(Authority: 20 U.S.C. 2420a(6))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 426.8</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <P>The following regulations apply to the Cooperative Demonstration Program:</P> <P>(a) The regulations in this part 426.</P> <P>(b) The regulations in 34 CFR part 400.</P> <SECAUTH>(Authority: 20 U.S.C. 2420a)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 426.9</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> <P>The definitions in 34 CFR 400.4 apply to this part.</P> <SECAUTH>(Authority: 20 U.S.C. 2420a)</SECAUTH> </SECTION> </SUBPART> <SUBPART> <RESERVED>Subpart B [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does the Secretary Make an Award?</HD> <SECTION> <SECTNO>§ 426.20</SECTNO> <SUBJECT>How does the Secretary evaluate an application?</SUBJECT> <P>(a) The Secretary evaluates an application on the basis of the criteria in § 426.21, § 426.22, § 426.23, or § 426.24.</P> <P>(b) The Secretary may award up to 100 points, including a reserved 15 points to be distributed in accordance with paragraph (d) of this section, based on the criteria in § 426.21, § 426.22, § 426.23, or § 426.24.</P> <P>(c) Subject to paragraph (d) of this section, the maximum possible score for each criterion is indicated in parentheses after the heading for each criterion.</P> <P>(d) For each competition, as announced in a notice published in the <E T="04">Federal Register,</E> the Secretary may assign the reserved 15 points among the <PRTPAGE P="103"/>criteria in § 426.21, § 426.22, § 426.23, or § 426.24.</P> <SECAUTH>(Authority: 20 U.S.C. 2420a)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 426.21</SECTNO> <SUBJECT>What selection criteria does the Secretary use for the Demonstration Projects?</SUBJECT> <P>The Secretary uses the following criteria to evaluate an application for a demonstration project:</P> <P>(a) <E T="03">Program factors.</E> (10 points) The Secretary reviews the application to assess the quality of the proposed project, including the extent to which the project will provide—</P> <P>(1) Vocational education to meet current and projected occupational needs; and</P> <P>(2) For adequate and appropriate involvement and cooperation of the public and private sectors in the project, including—</P> <P>(i) A clear identification of the public and private sector entities involved in the project;</P> <P>(ii) A description of public and private sector involvement in the planning of the project; and</P> <P>(iii) A description of public and private sector involvement in the operation of the project.</P> <P>(b) <E T="03">Educational significance.</E> (10 points) The Secretary reviews each application to determine the extent to which the applicant—</P> <P>(1) Bases the proposed project on successfully designed, established, and operated model vocational education programs that include components similar to the components required by this program, as evidenced by empirical data from those programs in such factors as—</P> <P>(i) Student performance and achievement;</P> <P>(ii) High school graduation;</P> <P>(iii) Placement of students in jobs, including military service; and</P> <P>(iv) Successful transfer of students to a variety of postsecondary education programs;</P> <P>(2) Proposes project objectives that contribute to the improvement of education; and</P> <P>(3) Proposes to use unique and innovative techniques to produce benefits that address educational problems and needs that are of national significance.</P> <P>(c) <E T="03">Plan of operation.</E> (15 points) The Secretary reviews each application to determine the quality of the plan of operation for the project, including—</P> <P>(1) The quality of the project design, especially the establishment of measurable objectives for the project that are based on the project's overall goals;</P> <P>(2) The extent to which the plan of management is effective and ensures proper and efficient administration of the project over the award period;</P> <P>(3) How well the objectives of the project relate to the purpose of the program;</P> <P>(4) The quality of the applicant's plan to use its resources and personnel to achieve each objective; and</P> <P>(5) How the applicant will ensure that project participants who are otherwise eligible to participate are selected without regard to race, color, national origin, gender, age, or disability.</P> <P>(d) <E T="03">Evaluation plan.</E> (15 points) The Secretary reviews each application to determine the quality of the project's evaluation plan, including the extent to which the plan—</P> <P>(1) Is clearly explained and is appropriate to the project;</P> <P>(2) To the extent possible, is objective and will produce data that are quantifiable;</P> <P>(3) Identifies expected outcomes of the participants and how those outcomes will be measured;</P> <P>(4) Includes activities during the formative stages of the project to help guide and improve the project, as well as a summative evaluation that includes recommendations for replicating project activities and results;</P> <P>(5) Will provide a comparison between intended and observed results, and lead to the demonstration of a clear link between the observed results and the specific treatment of project participants; and</P> <P>(6) Will yield results that can be summarized and submitted to the Secretary for review by the Department's Program Effectiveness Panel as defined in 34 CFR 400.4(b).</P> <P>(e) <E T="03">Demonstration and dissemination.</E> (10 points) The Secretary reviews each application for information to determine the effectiveness and efficiency of <PRTPAGE P="104"/>the plan for demonstrating and disseminating information about project activities and results throughout the project period, including—</P> <P>(1) High quality in the design of the demonstration and dissemination plan and procedures for evaluating the effectiveness of the dissemination plan;</P> <P>(2) Disseminating the results of the project in a manner that would meet the requirement in § 426.31;</P> <P>(3) Identification of target groups and provisions for publicizing the project at the local, State, and national levels by conducting or delivering presentations at conferences, workshops, and other professional meetings and by preparing materials for journal articles, newsletters, and brochures;</P> <P>(4) Provisions for demonstrating the methods and techniques used by the project to others interested in replicating these methods and techniques, such as by inviting them to observe project activities;</P> <P>(5) A description of the types of materials the applicant plans to make available to help others replicate project activities and the methods for making the materials available; and</P> <P>(6) Provisions for assisting others to adopt and successfully implement the project or methods and techniques used by the project.</P> <P>(f) <E T="03">Key personnel.</E> (10 points) (1) The Secretary reviews each application to determine the quality of key personnel the applicant plans to use on the project, including—</P> <P>(i) The qualifications, in relation to project requirements, of the project director;</P> <P>(ii) The qualifications, in relation to project requirements, of each of the other key personnel to be used in the project. For the Community-Based Organization Projects, the Secretary determines the qualifications, in relation to project requirements, of health professionals serving as preceptors and counselors and of each of the other key personnel to be used in the project;</P> <P>(iii) The appropriateness of the time that each person referred to in paragraphs (f)(1) (i) and (ii) of this section will commit to the project; and</P> <P>(iv) How the applicant, as part of its nondiscriminatory employment practices, will ensure that its personnel are selected for employment without regard to race, color, national origin, gender, age, or disability.</P> <P>(2) To determine personnel qualifications under paragraphs (f)(1) (i) and (ii) of this section, the Secretary considers—</P> <P>(i) The experience and training of key personnel in project management and in fields related to the objectives of the project. For the Program for Model Consumer and Homemaking Education Projects, the Secretary also considers the experience and training of key personnel in consumer and homemaking education; and</P> <P>(ii) Any other qualifications of key personnel that pertain to the quality of the project.</P> <P>(g) <E T="03">Budget and cost effectiveness.</E> (10 points) The Secretary reviews each application to determine the extent to which the budget—</P> <P>(1) Is cost effective and adequate to support the project activities;</P> <P>(2) Contains costs that are reasonable and necessary in relation to the objectives of the project; and</P> <P>(3) Proposes using non-Federal resources available from appropriate employment, training, and education agencies in the State to provide project services and activities and to acquire project equipment and facilities. For the Community-Based Organization Projects, the Secretary also determines the extent to which the budget includes in-kind contributions from partnership members.</P> <P>(h) <E T="03">Adequacy of resources and commitment.</E> (5 points) (1) The Secretary reviews each application to determine the extent to which the applicant plans to devote adequate resources to the project. The Secretary considers the extent to which the—</P> <P>(i) Facilities that the applicant plans to use are adequate; and</P> <P>(ii) Equipment and supplies that the applicant plans to use are adequate.</P> <P>(2) The Secretary reviews each application to determine the commitment to the project, including whether the—</P> <P>(i) Uses of non-Federal resources are adequate to provide project services and activities, especially resources of community organizations and State and local educational agencies; and<PRTPAGE P="105"/> </P> <P>(ii) Applicant has the capacity to continue, expand, and build upon the project when Federal assistance under this part ends.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0013)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2420a)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 426.22</SECTNO> <SUBJECT>What selection criteria does the Secretary use for the Program for Model Consumer and Homemaking Education Projects?</SUBJECT> <P>(a) The Secretary uses the following criteria to evaluate an application for a model consumer and homemaking education project:</P> <P>(1) <E T="03">Program factors.</E> (10 points) The Secretary reviews the quality of the proposed project to assess the extent to which project activities will improve, expand, and update programs that will—</P> <P>(i) Be conducted for residents of economically depressed areas or areas with high rates of unemployment;</P> <P>(ii) Encourage participation of traditionally underserved populations;</P> <P>(iii) Encourage the elimination of sex bias and sex stereotyping; and</P> <P>(iv) Address priorities and emerging concerns at the local, State, and national levels, such as the articulation of secondary and postsecondary consumer and homemaking education programs and the integration of basic skills in consumer and homemaking education programs.</P> <P>(2) <E T="03">Demonstration program design.</E> (10 points) The Secretary reviews each application to determine the extent to which the applicant—</P> <P>(i) Bases the proposed consumer and homemaking education project on successful model education programs that include components similar to the components required by this program, as evidenced by empirical data from those programs in such factors as—</P> <P>(A) Student performance and achievement;</P> <P>(B) Placement of students in jobs, including the preparation of students for the occupation of homemaking; and</P> <P>(C) Successful transfer of students to a wide variety of postsecondary educational programs;</P> <P>(ii) Proposes project objectives that contribute to the improvement of consumer and homemaking education; and</P> <P>(iii) Proposes to use unique and innovative techniques to produce benefits that address educational problems and needs that are of national significance.</P> <P>(b) The Secretary also uses the criteria and points in § 426.21 (c) through (h) to evaluate an application.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0013)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2420a)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 426.23</SECTNO> <SUBJECT>What selection criteria does the Secretary use for the Community-Based Organization Projects?</SUBJECT> <P>The Secretary uses the following criteria to evaluate an application for a community-based organization project:</P> <P>(a) <E T="03">Program factors.</E> (10 points) The Secretary reviews the quality of a proposed community-based organization project to assess the extent to which the proposed project—</P> <P>(1) Will assist disadvantaged youths in preparing for technical and professional health careers;</P> <P>(2) Provides for adequate and appropriate involvement of local schools, institutions of higher education, and businesses in the project, including—</P> <P>(i) Clear identification of partnership members;</P> <P>(ii) Involvement of partnership members in the planning of the project;</P> <P>(iii) Involvement of partnership members in the operation of the project; and</P> <P>(3) Will coordinate activities to ensure that the project will help meet current and projected occupational needs in the area.</P> <P>(b) <E T="03">Other criteria.</E> The Secretary also uses the criteria and points in § 426.21 (b) through (h) to evaluate an application.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0013)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2420a)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 426.24</SECTNO> <SUBJECT>What selection criteria does the Secretary use for Agriculture Action Centers?</SUBJECT> <P>The Secretary uses the following criteria to evaluate an application for an Agriculture Action Center:</P> <P>(a) <E T="03">Program factors.</E> (10 points) The Secretary reviews each application for <PRTPAGE P="106"/>an Agriculture Action Center to determine the extent to which the proposed center will—</P> <P>(1) Provide vocational education to meet current and projected occupational needs; and</P> <P>(2) Be located in a service area that includes a high concentration of individuals who are—</P> <P>(i) Adversely affected by farm and rural economic downturns;</P> <P>(ii) Dislocated from farming; and</P> <P>(iii) Dislocated from agriculturally-related businesses and industries that are adversely affected by farm and rural economic downturns.</P> <P>(b) <E T="03">Other criteria.</E> The Secretary also uses the criteria and points in § 426.21 (b) through (h) to evaluate an application.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0013)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2420a)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 426.25</SECTNO> <SUBJECT>What additional factors may the Secretary consider?</SUBJECT> <P>After evaluating applications according to criteria in § 426.21, § 426.22, § 426.23, or § 426.24, the Secretary may fund other than the most highly rated applications if doing so would improve the geographical distribution of projects funded under this part.</P> <SECAUTH>(Authority: 20 U.S.C. 2420a)</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—What Conditions Must Be Met After an Award?</HD> <SECTION> <SECTNO>§ 426.30</SECTNO> <SUBJECT>What is the requirement regarding cost-sharing?</SUBJECT> <P>(a) A recipient of an award under this part shall provide not less than 25 percent of the total cost (the sum of the Federal and non-Federal shares) of the project it conducts under this program.</P> <P>(b) In accordance with subpart G of 34 CFR part 74, the non-Federal share may be in the form of cash or in-kind contributions, including the fair market value of facilities, overhead, personnel, and equipment.</P> <SECAUTH>(Authority: 20 U.S.C. 2420a(b)(2))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 426.31</SECTNO> <SUBJECT>What is the requirement regarding dissemination?</SUBJECT> <P>Recipients must disseminate the results of projects assisted under this part in a manner designed to improve the training of teachers, other instructional personnel, counselors, and administrators who are needed to carry out the purposes of the Act.</P> <SECAUTH>(Authority: 20 U.S.C. 2420a(d))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 426.32</SECTNO> <SUBJECT>What are the evaluation requirements?</SUBJECT> <P>(a) Each grantee shall provide and budget for an independent evaluation of grant activities.</P> <P>(b) The evaluation must be both formative and summative in nature.</P> <P>(c) The evaluation must be based on student achievement, completion, and placement rates and project and product spread and transportability.</P> <P>(d) A proposed project evaluation design must be submitted to the Secretary for review and approval prior to the end of the first year of the project period.</P> <P>(e) A summary of evaluation activities and results that can be reviewed by the Department's Program Effectiveness Panel, as defined in 34 CFR 400.4(b), must be submitted to the Secretary during the last year of the project period.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0013)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2420a)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 426.33</SECTNO> <SUBJECT>May the Secretary restrict the use of funds for equipment?</SUBJECT> <P>The Secretary may restrict the amount of Federal funds made available for equipment purchases to a certain percentage of the total grant for a project. The Secretary may announce through a notice published in the <E T="04">Federal Register</E> the percentage of Federal funds that may be used for the purchase of equipment.</P> <SECAUTH>(Authority: 20 U.S.C. 2420a)</SECAUTH> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 427</EAR> <HD SOURCE="HED">PART 427—BILINGUAL VOCATIONAL TRAINING PROGRAM</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>427.1</SECTNO> <SUBJECT>What is the Bilingual Vocational Training Program?</SUBJECT> <SECTNO>427.2</SECTNO> <SUBJECT>Who is eligible for an award?</SUBJECT> <SECTNO>427.3</SECTNO> <SUBJECT>What activities may the Secretary fund?</SUBJECT> <SECTNO>427.4</SECTNO> <SUBJECT>What regulations apply?<PRTPAGE P="107"/> </SUBJECT> <SECTNO>427.5</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—How Does One Apply for an Award?</HD> <SECTNO>427.10</SECTNO> <SUBJECT>What must an application contain?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does the Secretary Make an Award?</HD> <SECTNO>427.20</SECTNO> <SUBJECT>How does the Secretary evaluate an application?</SUBJECT> <SECTNO>427.21</SECTNO> <SUBJECT>What selection criteria does the Secretary use?</SUBJECT> <SECTNO>427.22</SECTNO> <SUBJECT>What additional factors does the Secretary consider?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—What Conditions Must Be Met After an Award?</HD> <SECTNO>427.30</SECTNO> <SUBJECT>What are the evaluation requirements?</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>20 U.S.C. 2441(a), unless otherwise noted.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>57 FR 36810, Aug. 14, 1992, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 427.1</SECTNO> <SUBJECT>What is the Bilingual Vocational Training Program?</SUBJECT> <P>The Bilingual Vocational Training Program provides financial assistance for bilingual vocational education and training for limited English proficient out-of-school youth and adults, to prepare these individuals for jobs in recognized occupations and new and emerging occupations.</P> <SECAUTH>(Authority: 20 U.S.C. 2441(a))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 427.2</SECTNO> <SUBJECT>Who is eligible for an award?</SUBJECT> <P>(a) The following entities are eligible for an award under this program:</P> <P>(1) State agencies.</P> <P>(2) Local educational agencies (LEAs).</P> <P>(3) Postsecondary educational institutions.</P> <P>(4) Private nonprofit vocational training institutions.</P> <P>(5) Other nonprofit organizations specially created to serve or currently serving individuals who normally use a language other than English.</P> <P>(b) Private for-profit agencies and organizations are eligible only for contracts under this program.</P> <SECAUTH>(Authority: 20 U.S.C. 2441(a))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 427.3</SECTNO> <SUBJECT>What activities may the Secretary fund?</SUBJECT> <P>(a) The Secretary provides grants, cooperative agreements, or contracts for—</P> <P>(1) Bilingual vocational training projects for limited English proficient out-of-school youth and adults who are available for training and employment;</P> <P>(2) Bilingual vocational education and training projects for limited English proficient out-of-school youth and adults who have already entered the labor market but who desire or need English language skills and job skills training or retraining to achieve employment in a recognized occupation or new and emerging occupations, adjust to changing work force needs, expand their range of skills, or advance in employment; and</P> <P>(3) Training stipends for participants in bilingual vocational training projects.</P> <P>(b) Bilingual vocational training projects must include instruction in the English language to ensure that participants in that training will be equipped to pursue occupations in an English language environment.</P> <P>(c) In the Commonwealth of Puerto Rico, the Bilingual Vocational Training Program may provide for the needs of students of limited Spanish proficiency.</P> <SECAUTH>(Authority: 20 U.S.C. 2441(a), (e)(2))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 427.4</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <P>The following regulations apply to the Bilingual Vocational Training Program:</P> <P>(a) The regulations in 34 CFR part 400.</P> <P>(b) The regulations in this part 427.</P> <SECAUTH>(Authority: 20 U.S.C. 2441(a))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 427.5</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> <P>The definitions in 34 CFR 400.4 apply to this program.</P> <SECAUTH>(Authority: 20 U.S.C. 2441(a))</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—How Does One Apply for an Award?</HD> <SECTION> <SECTNO>§ 427.10</SECTNO> <SUBJECT>What must an application contain?</SUBJECT> <P>(a) An application must—<PRTPAGE P="108"/> </P> <P>(1) Provide an assurance that the activities and services for which assistance is sought will be administered by or under the supervision of the applicant;</P> <P>(2) Propose a project of a size, scope, and design that will make a substantial contribution toward carrying out the purpose of the Bilingual Vocational Training Program;</P> <P>(3) Contain measurable goals for the enrollment, completion, and placement of program participants;</P> <P>(4) Include a comparison of how the applicant's goals take into consideration any related standards and measures in the geographic area for the Job Opportunities and Basic Skills Training (JOBS) program (42 U.S.C. 681 <E T="03">et seq.</E>) and any Job Training Partnership Act (JTPA) programs (29 U.S.C. 1501 <E T="03">et seq.</E>) and any standards set by the State Board for Vocational Education for the occupational and geographic area;</P> <P>(5) Describe, for each occupation for which training is to be provided, how successful program completion will be determined and reported to the Secretary in terms of the academic and vocational competencies to be demonstrated by enrollees prior to successful completion and any academic or work credentials expected to be acquired upon completion; and</P> <P>(6) Be submitted to the State board for vocational education (State board) established under section 111 of the Act for review and comment, including comment on the relationship of the proposed project to the State's vocational education program.</P> <P>(b) An applicant shall include any comments received under paragraph (a)(6) of this section with the application.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0013)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2441(a), (d)(1) and (2))</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does the Secretary Make an Award?</HD> <SECTION> <SECTNO>§ 427.20</SECTNO> <SUBJECT>How does the Secretary evaluate an application?</SUBJECT> <P>(a) The Secretary evaluates an application for a grant or cooperative agreement on the basis of the criteria in § 427.21.</P> <P>(b) The Secretary may award up to 100 points, including a reserved 15 points to be distributed in accordance with paragraph (d) of this section, based on the criteria in § 427.21.</P> <P>(c) Subject to paragraph (d) of this section, the maximum possible points for each criterion is indicated in parentheses after the heading for each criterion.</P> <P>(d) For each competition as announced through a notice published in the <E T="04">Federal Register,</E> the Secretary may assign the reserved points among the criteria in § 427.21.</P> <SECAUTH>(Authority: 20 U.S.C. 2441(a))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 427.21</SECTNO> <SUBJECT>What selection criteria does the Secretary use?</SUBJECT> <P>The Secretary uses the following selection criteria to evaluate an application:</P> <P>(a) <E T="03">Need.</E> (15 points) The Secretary reviews each application for specific information that shows the need for the proposed bilingual vocational training project in the local geographic area, including—</P> <P>(1) The employment training need of limited English proficient individuals to be met;</P> <P>(2) The labor market need to be met; and</P> <P>(3) The relationship of the proposed project to other employment training programs in the community.</P> <P>(b) <E T="03">Plan of operation.</E> (15 points) (1) The Secretary reviews each application to determine the extent to which the project proposes measurable goals for student enrollment, completion, and placement and describes how the applicant sets the goals taking into consideration the standards and measures for JOBS programs and JTPA programs and any standards set by the State Board established under section 111 of the Act for the occupation and geographic area.</P> <P>(2) The Secretary reviews each application to determine the extent to which the project defines successful program completion (or describes how successful program completion will be defined and reported to the Secretary) in a way consistent with the goals of the program for each occupation for which training is to be provided.<PRTPAGE P="109"/> </P> <P>(3)(i) The Secretary reviews each application for specific information that, upon completion of their training, more than 65 percent of the trainees will be employed in jobs (including military specialties) related to their training, or will be enrolled for further training related to their training under this program. This information must correspond to the information described in paragraph (a) of this section.</P> <P>(ii) The estimated job placement rate must be supported by past records, actual employer job commitments, anticipated job openings, or other pertinent information.</P> <P>(4) The Secretary reviews each application for an effective plan of management that ensures proper and efficient administration of the project, including—</P> <P>(i) Clearly defined project objectives that relate to the purpose of the Bilingual Vocational Training Program;</P> <P>(ii) For each objective, the specific tasks to be performed in order to achieve the specified project objective;</P> <P>(iii) How the applicant plans to use its resources and personnel to achieve each objective; and</P> <P>(iv) If the applicant plans to use a project advisory committee, a clear plan for using a project advisory committee to assist in project development, to review curriculum materials, and to make recommendations about job placements.</P> <P>(c) <E T="03">Program factors.</E> (20 points) (1) The Secretary reviews each application to determine the quality of training to be provided, including—</P> <P>(i) Provision of vocational skills instruction in English and the trainees’ native languages;</P> <P>(ii) Provision of job-related English-as-a-second language instruction;</P> <P>(iii) Coordination of the job-related English-as-a-second language instruction with the vocational skills instruction;</P> <P>(iv) Recruitment procedures that are targeted towards limited English proficient out-of-school youth and adults who have the greatest need for bilingual vocational training;</P> <P>(v) Assessment procedures that evaluate the language and vocational training needs of the trainees;</P> <P>(vi) Provision of counseling activities and employability skills instruction that prepare trainees for employment in an English language environment; and</P> <P>(vii) Job development and job placement procedures that provide opportunities for career advancement or entrepreneurship.</P> <P>(2) The Secretary reviews each application to determine the project's potential to have a lasting impact in the local geographic area, including the potential impact of the project on—</P> <P>(i) Program participants;</P> <P>(ii) The agency or agencies responsible for administering the bilingual vocational training program;</P> <P>(iii) Other employment training services in the local area; and</P> <P>(iv) The community.</P> <P>(d) <E T="03">Key personnel.</E> (10 points) (1) The Secretary reviews each application to determine the quality of key personnel the applicant plans to use on the project, including—</P> <P>(i) The qualifications of the director and other key personnel to be used in the project;</P> <P>(ii) The appropriateness of the time that each person referred to in paragraph (d)(1)(i) of this section will commit to the project; and</P> <P>(iii) How the applicant, as part of its nondiscriminatory employment practices, will ensure that personnel will be selected without regard to race, color, national origin, gender, age, or disability.</P> <P>(2) To determine personnel qualifications under paragraph (d)(1)(i) of this section, the Secretary considers—</P> <P>(i) Experience and training in fields related to the objectives of the project;</P> <P>(ii) Experience and training in project management; and</P> <P>(iii) Any other qualifications that pertain to the quality of the project.</P> <P>(e) <E T="03">Budget and cost effectiveness.</E> (5 points) The Secretary reviews each application to determine the extent to which—</P> <P>(1) The budget is sufficient to support the proposed project, and that it represents a cost effective use of Bilingual Vocational Training Program funds;</P> <P>(2) Costs are necessary and reasonable in relation to the objectives of the proposed project; and<PRTPAGE P="110"/> </P> <P>(3) The facilities, equipment, and supplies that the applicant plans to use are adequate for the proposed project.</P> <P>(f) <E T="03">Evaluation plan.</E> (10 points) The Secretary reviews each application to determine the quality of the project's evaluation plan, including the extent to which the plan—</P> <P>(1) Is clearly explained and appropriate for the project;</P> <P>(2) Identifies at a minimum, types of data to be collected and reported with respect to the English-language competencies and academic and vocational competencies demonstrated by participants and the number and kinds of academic and work credentials acquired by individuals who complete the training;</P> <P>(3) Identifies at a minimum, types of data to be collected and reported with respect to enrollment, completion, and placement of participants by sex, racial or ethnic group, socio-economic status, and if appropriate, by level of English proficiency, for each occupation for which training is provided;</P> <P>(4) Includes activities during the formative stages of the project to help guide and improve the project, as well as a summative evaluation that includes recommendations for replicating project activities and results; and</P> <P>(5) Makes use of an external evaluator.</P> <P>(g) <E T="03">Demonstration and dissemination.</E> (10 points) The Secretary reviews each application for information to determine the effectiveness and efficiency of the plan for demonstrating and disseminating information about project activities and results throughout the project period, including—</P> <P>(1) High quality in the design of the demonstration and dissemination plan and procedures for evaluating the effectiveness of the dissemination plan;</P> <P>(2) Provisions for publicizing the project at the local, State, and national levels by conducting or delivering presentations at conferences, workshops, and other professional meetings and by preparing materials for journal articles, newsletters, and brochures;</P> <P>(3) Provisions for making available the methods and techniques used by the project to others interested in replicating these methods and techniques, such as by inviting them to observe project activities;</P> <P>(4) A description of the types of materials the applicant plans to make available to help others replicate project activities and the methods for making the materials available; and</P> <P>(5) Provisions for assisting others to adopt and successfully implement the project or methods and techniques used by the project.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0013)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2441(a))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 427.22</SECTNO> <SUBJECT>What additional factors does the Secretary consider?</SUBJECT> <P>(a) After evaluating the applications according to the criteria in § 427.21 and consulting with the appropriate State board established under section 111 of the Act, the Secretary determines whether the most highly rated applications are equitably distributed among populations of individuals with limited English proficiency within the affected State.</P> <P>(b) The Secretary may select other applications for funding if doing so would improve the—</P> <P>(1) Equitable distribution of assistance among populations of individuals with limited English proficiency within a State; or</P> <P>(2) Geographical distribution of projects funded under this program.</P> <SECAUTH>(Authority: 20 U.S.C. 2441(d)(5))</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—What Conditions Must Be Met After an Award?</HD> <SECTION> <SECTNO>§ 427.30</SECTNO> <SUBJECT>What are the evaluation requirements?</SUBJECT> <P>(a) Each grantee shall annually provide and budget for an independent evaluation of its activities.</P> <P>(b) The evaluation must be both formative and summative in nature.</P> <P>(c) The annual evaluation must include descriptions and analyses of the accuracy of records and validity of measures by the project to establish and report on the English-language competencies and academic and vocational competencies demonstrated and <PRTPAGE P="111"/>the academic and work credentials acquired.</P> <P>(d) The annual evaluation must contain descriptions and analyses of the accuracy of records and validity of measures used by the project to establish and report on participant enrollment, completion, and placement by sex, racial or ethnic group, socio-economic status, and, if appropriate, by level of English proficiency for each occupation for which training has been provided.</P> <P>(e) The annual evaluation must also include—</P> <P>(1) The grantee's progress in achieving the objectives in its approved application, including any approved revisions of the application;</P> <P>(2) If applicable, actions taken by the grantee to address significant barriers impeding progress; and</P> <P>(3) The effectiveness of the project in promoting key elements for participants’ job readiness, including—</P> <P>(i) Coordination of services; and</P> <P>(ii) Improved English-language, academic, and vocational skills competencies.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0013)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2441(a))</SECAUTH> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 428</EAR> <HD SOURCE="HED">PART 428—BILINGUAL VOCATIONAL INSTRUCTOR TRAINING PROGRAM</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>428.1</SECTNO> <SUBJECT>What is the Bilingual Vocational Instructor Training Program?</SUBJECT> <SECTNO>428.2</SECTNO> <SUBJECT>Who is eligible for an award?</SUBJECT> <SECTNO>428.3</SECTNO> <SUBJECT>What activities may the Secretary fund?</SUBJECT> <SECTNO>428.4</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <SECTNO>428.5</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—How Does One Apply for an Award?</HD> <SECTNO>428.10</SECTNO> <SUBJECT>What must an application contain?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does the Secretary Make an Award?</HD> <SECTNO>428.20</SECTNO> <SUBJECT>How does the Secretary evaluate an application?</SUBJECT> <SECTNO>428.21</SECTNO> <SUBJECT>What selection criteria does the Secretary use?</SUBJECT> <SECTNO>428.22</SECTNO> <SUBJECT>What additional factors does the Secretary consider?</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>20 U.S.C. 2441(b), unless otherwise noted.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>57 FR 36812, Aug. 14, 1992, ubless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 428.1</SECTNO> <SUBJECT>What is the Bilingual Vocational Instructor Training Program?</SUBJECT> <P>The Bilingual Vocational Instructor Training Program provides financial assistance for preservice and inservice training for personnel participating in or preparing to participate in bilingual vocational education and training programs for limited English proficient individuals.</P> <SECAUTH>(Authority: 20 U.S.C. 2441(b))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 428.2</SECTNO> <SUBJECT>Who is eligible for an award?</SUBJECT> <P>(a) The following entities are eligible for grants, contracts, or cooperative agreements under this program:</P> <P>(1) State agencies.</P> <P>(2) Public and private nonprofit educational institutions.</P> <P>(b) Private for-profit educational institutions are eligible only for contracts under this program.</P> <SECAUTH>(Authority: 20 U.S.C. 2441(b)(1))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 428.3</SECTNO> <SUBJECT>What activities may the Secretary fund?</SUBJECT> <P>(a) The Secretary provides assistance through grants, contracts, or cooperative agreements for—</P> <P>(1) Preservice and inservice training for instructors, aides, counselors, or other ancillary personnel participating in or preparing to participate in bilingual vocational training programs; and</P> <P>(2) Fellowships and traineeships for individuals participating in preservice or inservice training.</P> <P>(b) The Secretary does not make an award under this program unless the Secretary determines that the applicant has an ongoing vocational education program in the field in which participants will be trained, and can provide instructors with adequate language capabilities in the language other than English to be used in the bilingual vocational training project.</P> <SECAUTH>(Authority: 20 U.S.C. 2441(b))</SECAUTH> </SECTION> <SECTION> <PRTPAGE P="112"/> <SECTNO>§ 428.4</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <P>The following regulations apply to the Bilingual Vocational Training Program:</P> <P>(a) The regulations in 34 CFR part 400.</P> <P>(b) The regulations in this part 428.</P> <SECAUTH>(Authority: 20 U.S.C. 2441(b))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 428.5</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> <P>The definitions in 34 CFR 400.4 apply to this program.</P> <SECAUTH>(Authority: 20 U.S.C. 2441(b))</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—How Does One Apply for an Award?</HD> <SECTION> <SECTNO>§ 428.10</SECTNO> <SUBJECT>What must an application contain?</SUBJECT> <P>An application must—</P> <P>(a) Provide an assurance that the activities and services for which assistance is sought will be administered by or under the supervision of the applicant;</P> <P>(b) Propose a project of a size, scope and design that will make a substantial contribution toward carrying out the purpose of the Bilingual Vocational Instructor Training Program;</P> <P>(c) Describe the capabilities of the applicant, including vocational training or education courses offered by the applicant, accreditation, and any certification of courses by appropriate State agencies;</P> <P>(d) Describe the qualifications of principal staff to be used in the bilingual vocational instructor training project;</P> <P>(e) Describe the number of participants to be served, the minimum qualifications for project participants, and the selection process for project participants;</P> <P>(f) Include the projected amount of the fellowships or traineeships, if any;</P> <P>(g) Contain sufficient information for the Secretary to make the determination required by § 428.3(b); and</P> <P>(h) Provide an assurance that preservice training will be provided to individuals who have indicated their intent to engage as personnel in a vocational education program that serves limited English proficient individuals.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0013)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2441(d)(1), (4))</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does the Secretary Make an Award?</HD> <SECTION> <SECTNO>§ 428.20</SECTNO> <SUBJECT>How does the Secretary evaluate an application?</SUBJECT> <P>(a) The Secretary evaluates an application for a grant or cooperative agreement on the basis of the criteria in § 428.21.</P> <P>(b) The Secretary may award up to 100 points, including a reserved 15 points to be distributed in accordance with paragraph (d) or this section, based on the criteria in § 428.21.</P> <P>(c) Subject to paragraph (d) of this section, the maximum possible points for each criterion is indicated in parentheses after the heading for each criterion.</P> <P>(d) For each competition, in a notice published in the <E T="04">Federal Register,</E> the Secretary may assign the reserved 15 points among the criteria in § 428.21.</P> <SECAUTH>(Authority: 20 U.S.C. 2441(b), (d)(5))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 428.21</SECTNO> <SUBJECT>What selection criteria does the Secretary use?</SUBJECT> <P>The Secretary uses the following selection criteria in evaluating each application:</P> <P>(a) <E T="03">Need.</E> (15 points) (1) The Secretary reviews each application to determine the need for the proposed bilingual vocational instructor training project, including—</P> <P>(i) The need for the project in the specific geographic area or areas to be served by the proposed project;</P> <P>(ii) The training needs of program participants to be served by the proposed project;</P> <P>(iii) How these needs will be met through the proposed project; and</P> <P>(iv) The relationship of the proposed project to other ongoing personnel development programs in the geographic area or areas to be served by the proposed project.</P> <P>(2) The Secretary reviews each application to determine the extent to which, upon completion of their training, program participants will work <PRTPAGE P="113"/>with programs that provide vocational education to limited English proficient individuals.</P> <P>(b) <E T="03">Program design.</E> (20 points) The Secretary reviews each application to determine the quality of the program design and the potential of the project to have a lasting impact on the geographic area or areas to be served by the proposed project, including—</P> <P>(1) Potential to increase the skill level of program participants, with particular regard to the following areas:</P> <P>(i) Knowledge of the needs of limited English proficient individuals enrolled in vocational education programs, and how those needs should influence teaching strategies and program design.</P> <P>(ii) Understanding of bilingual vocational training methodologies.</P> <P>(iii) Techniques for preparing limited English proficient individuals for employment; and</P> <P>(2) Potential to increase access to vocational education for limited English proficient individuals.</P> <P>(c) <E T="03">Plan of operation.</E> (15 points) The Secretary reviews each application for an effective plan of management that ensures proper and efficient administration of the project, including—</P> <P>(1) Clearly defined project objectives that relate to the purpose of the Bilingual Vocational Instructor Training Program;</P> <P>(2) For each objective, the specific tasks to be performed in order to achieve the specified project objective; and</P> <P>(3) How the applicant plans to use its resources and personnel to achieve each objective.</P> <P>(d) <E T="03">Key personnel.</E> (10 points) (1) The Secretary reviews each application to determine the quality of key personnel the applicant plans to use on the project, including—</P> <P>(i) The qualifications of the director and other key personnel to be used in the project;</P> <P>(ii) The appropriateness of the time that each person referred to in paragraph (d)(1)(i) of this section will commit to the project; and</P> <P>(iii) How the applicant, as part of its nondiscriminatory employment practices, will ensure that personnel will be selected without regard to race, color, national origin, gender, age, or disability.</P> <P>(2) To determine personnel qualifications under paragraph (d)(1)(i) of this section, the Secretary considers—</P> <P>(i) Experience and training in fields related to the objectives of the project;</P> <P>(ii) Experience and training in project management; and</P> <P>(iii) Any other qualifications that pertain to the quality of the project.</P> <P>(e) <E T="03">Budget and cost effectiveness.</E> (5 points) The Secretary reviews each application to determine the extent to which—</P> <P>(1) The budget is sufficient to support the proposed project, and that it represents a cost effective use of Bilingual Vocational Instructor Training Program funds;</P> <P>(2) Costs are necessary and reasonable in relation to the objectives of the proposed project; and</P> <P>(3) The facilities that the applicant plans to use are adequate for the proposed project;</P> <P>(f) <E T="03">Evaluation plan.</E> (10 points) The Secretary reviews each application to determine the quality of the project's evaluation plan, including the extent to which the plan—</P> <P>(1) Is clearly explained and appropriate for the bilingual vocational instructor training project;</P> <P>(2) To the extent possible, is objective and will produce data that are quantifiable;</P> <P>(3) Identifies outcomes of the project in terms of enrollment, completion and after-training work commitments of participants by sex, racial or ethnic group, and by level and kinds of language proficiency;</P> <P>(4) Identifies expected learning and skills outcomes for participants and how those outcomes will be measured; and</P> <P>(5) Includes activities during the formative stages of the project to help guide and improve the project, as well as a summative evaluation that includes recommendations for replicating project activities and results.</P> <P>(g) <E T="03">Dissemination plan.</E> (10 points) The Secretary reviews each application to <PRTPAGE P="114"/>determine the effectiveness and efficiency of the plan to disseminate information about the project and demonstrate project activities and results, including—</P> <P>(1) High quality in its design and procedures for evaluating the effectiveness of the dissemination plan; and</P> <P>(2) A description of the types of materials the applicant plans to develop and make available to help others replicate project activities, and the methods to be used to make the materials available.</P> <APPRO>(Approved by the Office of Management and Budget under Control No. 1830-0013)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 2441(b))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 428.22</SECTNO> <SUBJECT>What additional factors does the Secretary consider?</SUBJECT> <P>(a) After evaluating the applications according to the criteria in § 428.21, and consulting with the appropriate State board established under section 111 of the Act, the Secretary determines whether the most highly rated applications are equitably distributed among populations of individuals with limited English proficiency within the affected State.</P> <P>(b) The Secretary may select other applications for funding if doing so would improve the—</P> <P>(1) Equitable distribution of assistance among populations of individuals with limited English proficiency within the affected State; or</P> <P>(2) Geographical distribution of projects funded under this program.</P> <SECAUTH>(Authority: 20 U.S.C. 2441(d)(5))</SECAUTH> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 429</EAR> <HD SOURCE="HED">PART 429—BILINGUAL VOCATIONAL MATERIALS, METHODS, AND TECHNIQUES PROGRAM</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>429.1</SECTNO> <SUBJECT>What is the Bilingual Vocational Materials, Methods, and Techniques Program?</SUBJECT> <SECTNO>429.2</SECTNO> <SUBJECT>Who is eligible to apply for assistance under this program?</SUBJECT> <SECTNO>429.3</SECTNO> <SUBJECT>What regulations apply to this program?</SUBJECT> <SECTNO>429.4</SECTNO> <SUBJECT>What definitions apply to this program?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—What Kinds of Activities Does the Secretary Assist Under This Program?</HD> <SECTNO>429.10</SECTNO> <SUBJECT>What types of projects may be funded?</SUBJECT> <SECTNO>429.11</SECTNO> <SUBJECT>How does the Secretary establish priorities for this program?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does One Apply for a Grant?</HD> <SECTNO>429.20</SECTNO> <SUBJECT>What must an application include?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—How Does the Secretary Make a Grant?</HD> <SECTNO>429.30</SECTNO> <SUBJECT>How does the Secretary evaluate an application?</SUBJECT> <SECTNO>429.31</SECTNO> <SUBJECT>What selection criteria does the Secretary use?</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>Sec. 441(c) of the Carl D. Perkins Vocational Education Act, 20 U.S.C. 2441(c), as enacted by Pub. L. 98-524, unless otherwise noted.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>50 FR 33255, Aug. 16, 1985, unless otherwise noted. Redesignated at 57 FR 36771, Aug. 14, 1992.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 429.1</SECTNO> <SUBJECT>What is the Bilingual Vocational Materials, Methods, and Techniques Program?</SUBJECT> <P>The Bilingual Vocational Materials, Methods, and Techniques Program provides financial assistance for the development of instructional and curriculum materials, methods, or techniques for bilingual vocational training for individuals with limited English proficiency.</P> <SECAUTH>(Authority: Sec. 441(c)(1); 20 U.S.C. 2441(c)(1))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 429.2</SECTNO> <SUBJECT>Who is eligible to apply for assistance under this program?</SUBJECT> <P>(a) The following are eligible to apply for grants, contracts, or cooperative agreements under this program:</P> <P>(1) State agencies.</P> <P>(2) Educational institutions.</P> <P>(3) Nonprofit organizations.</P> <P>(b) The following are eligible for contracts under this program:</P> <P>(1) Private for-profit organizations.</P> <P>(2) Individuals.</P> <SECAUTH>(Authority: Sec. 441(c)(1); 20 U.S.C. 2441(c)(1))</SECAUTH> </SECTION> <SECTION> <PRTPAGE P="115"/> <SECTNO>§ 429.3</SECTNO> <SUBJECT>What regulations apply to this program?</SUBJECT> <P>The following regulations apply to the Bilingual Vocational Materials, Methods, and Techniques Program:</P> <P>(a) The regulations in 34 CFR part 400.</P> <P>(b) The regulations in this part.</P> <SECAUTH>(Authority: Sec. 441(c); 20 U.S.C. 2441(c))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 429.4</SECTNO> <SUBJECT>What definitions apply to this program?</SUBJECT> <P>The definitions in 34 CFR 400.4 apply to this program.</P> <SECAUTH>(Authority: Sec. 441(c); 20 U.S.C. 2441(c))</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—What Kinds of Activities Does the Secretary Assist Under This Program?</HD> <SECTION> <SECTNO>§ 429.10</SECTNO> <SUBJECT>What types of projects may be funded?</SUBJECT> <P>The Secretary provides assistance through grants, contracts, or cooperative agreements for—</P> <P>(a) Research in bilingual vocational training;</P> <P>(b) The development of instructional and curriculum materials, methods, or techniques;</P> <P>(c) Training projects to familiarize State agencies and training institutions with research findings and with successful pilot and demonstration projects in bilingual vocational education and training; and</P> <P>(d) Experimental, developmental, pilot, and demonstration projects.</P> <SECAUTH>(Authority: Sec. 441.(c)(2); 20 U.S.C. 2441(c)(2))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 429.11</SECTNO> <SUBJECT>How does the Secretary establish priorities for this program?</SUBJECT> <P>(a) The Secretary may announce, through one or more notices published in the <E T="04">Federal Register,</E> the priorities for this program, if any, from the types of projects described in § 429.10.</P> <P>(b) The Secretary may establish a separate competition for one or more of the priorities selected. If a separate competition is established for one or more priorities, the Secretary may reserve all applications that relate to those priorities for review as part of the separate competition.</P> <SECAUTH>(Authority: Sec. 441(c)(2); 20 U.S.C. 2441(c)(2))</SECAUTH> <CITA>[50 FR 33255, Aug. 16, 1985. Redesignated at 57 FR 36771, Aug. 14, 1992, and amended at 59 FR 1652, Jan. 12, 1994]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does One Apply for a Grant?</HD> <SECTION> <SECTNO>§ 429.20</SECTNO> <SUBJECT>What must an application include?</SUBJECT> <P>An application under this part must—</P> <P>(a) Describe the qualifications of staff responsible for the project; and</P> <P>(b) Provide that the activities and services for which assistance is sought will be administered by or under the supervision of the applicant.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1830-0013)</APPRO> <SECAUTH>(Authority: Sec. 441(d)(1), (3); 20 U.S.C. 2441(d)(1), (3))</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—How Does the Secretary Make a Grant?</HD> <SECTION> <SECTNO>§ 429.30</SECTNO> <SUBJECT>How does the Secretary evaluate an application?</SUBJECT> <P>(a) The Secretary evaluates an application for a grant or cooperative agreement on the basis of the criteria in § 429.31.</P> <P>(b) The Secretary may award up to 100 points, including a reserved 15 points to be distributed in accordance with paragraph (d) of this section, based on the criteria in § 429.31.</P> <P>(c) Subject to paragraph (d) of this section, the maximum possible points for each criterion is indicated in parentheses after the heading for each criterion.</P> <P>(d) For each competition, as announced in a notice published in the <E T="04">Federal Register,</E> the Secretary may assign the reserved 15 points among the criteria in § 429.31.</P> <SECAUTH>(Authority: Sec. 441(c), 20 U.S.C. 2441(c))</SECAUTH> <CITA>[50 FR 33255, Aug. 16, 1985. Redesignated at 57 FR 36771, Aug. 14, 1992, and amended at 59 FR 1652, Jan. 12, 1994]</CITA> </SECTION> <SECTION> <PRTPAGE P="116"/> <SECTNO>§ 429.31</SECTNO> <SUBJECT>What selection criteria does the Secretary use?</SUBJECT> <P>The Secretary uses the following selection criteria in evaluating each application:</P> <P>(a) <E T="03">Need.</E> (20 points) (1) The Secretary reviews each application for information that shows the need for the proposed services and activities for individuals with limited English proficiency.</P> <P>(2) The Secretary looks for information that shows—</P> <P>(i) Specific evidence of the need; and</P> <P>(ii) Specific information about how the need will be met.</P> <P>(b) <E T="03">Plan of operation.</E> (20 points)</P> <P>(1) The Secretary reviews each application for information that shows the quality of the plan of operation for the project.</P> <P>(2) The Secretary looks for information that shows—</P> <P>(i) High quality in the design of the project;</P> <P>(ii) An effective plan of management that ensures proper and efficient administration of the project;</P> <P>(iii) A clear description of how the objectives of the project relate to the purpose of the program;</P> <P>(iv) The way the applicant plans to use its resources and personnel to achieve each objective; and</P> <P>(v) A clear description of how the applicant will provide equal access and treatment for eligible project participants who are members of groups that have been traditionally underrepresented, such as—</P> <P>(A) Members of racial or ethnic minority groups;</P> <P>(B) Women;</P> <P>(C) Handicapped persons; and</P> <P>(D) The elderly.</P> <P>(c) <E T="03">Quality of key personnel.</E> (20 points)</P> <P>(1) The Secretary reviews each application for information that shows the qualifications of the key personnel the applicant plans to use on the project.</P> <P>(2) The Secretary looks for information that shows—</P> <P>(i) The qualifications of the project director (if one is to be used);</P> <P>(ii) The qualifications of each of the other key personnel to be used in the project;</P> <P>(iii) The time that each person referred to in paragraphs (c)(2) (i) and (ii) of this section will commit to the project; and</P> <P>(iv) The extent to which the applicant, as part of its nondiscriminatory employment practices, encourages applications for employment from persons who are members of groups that have been traditionally underrepresented, such as—</P> <P>(A) Members of racial or ethnic minority groups;</P> <P>(B) Women;</P> <P>(C) Handicapped persons; and</P> <P>(D) The elderly.</P> <P>(3) To determine personnel qualifications, the Secretary considers experience and training, in fields related to the objectives of the project, as well as other information that the applicant provides.</P> <P>(d) <E T="03">Budget and cost effectiveness.</E> (10 points)</P> <P>(1) The Secretary reviews each application for information that shows that the project has an adequate budget and is cost effective.</P> <P>(2) The Secretary looks for information that shows—</P> <P>(i) The budget for the project is adequate to support the project activities; and</P> <P>(ii) Costs are reasonable in relation to the objectives of the project.</P> <P>(e) <E T="03">Evaluation plan.</E> (10 points)</P> <P>(1) The Secretary reviews each application for information that shows the quality of the evaluation plan for the project.</P> <CROSSREF> <HD SOURCE="HED">Cross-Reference:</HD> <P>See 34 CFR 75.590 (Evaluation by the grantee).</P> </CROSSREF> <P>(2) The Secretary looks for information that shows methods of evaluation that are appropriate for the project and, to the extent possible, are objective and produce data that are quantifiable.</P> <P>(f) <E T="03">Adequacy of resources.</E> (5 points)</P> <P>(1) The Secretary reviews each application for information that shows that the applicant plans to devote adequate resources to the project.</P> <P>(2) The Secretary looks for information that shows—</P> <P>(i) The facilities that the applicant plans to use are adequate; and<PRTPAGE P="117"/> </P> <P>(ii) The equipment and supplies that the applicant plans to use are adequate.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1830-0013)</APPRO> <SECAUTH>(Authority: Sec. 441(c); 20 U.S.C. 2441(c))</SECAUTH> <CITA>[50 FR 33255, Aug. 16, 1985; 50 FR 38802, Sept. 25, 1985]</CITA> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 460</EAR> <HD SOURCE="HED">PART 460—ADULT EDUCATION—GENERAL PROVISIONS</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>460.1</SECTNO> <SUBJECT>What is the purpose of the Adult Education Act?</SUBJECT> <SECTNO>460.2</SECTNO> <SUBJECT>What programs are authorized by the Adult Education Act?</SUBJECT> <SECTNO>460.3</SECTNO> <SUBJECT>What regulations apply to the adult education programs?</SUBJECT> <SECTNO>460.4</SECTNO> <SUBJECT>What definitions apply to the adult education programs?</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>20 U.S.C. 1201 <E T="03">et seq</E>., unless otherwise noted.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>54 FR 34409, Aug. 18, 1989, unless otherwise noted. Redesignated at 57 FR 24091, June 5, 1992.</P> </SOURCE> <SECTION> <SECTNO>§ 460.1</SECTNO> <SUBJECT>What is the purpose of the Adult Education Act?</SUBJECT> <P>The purpose of the Adult Education Act (the Act) is to assist the States to—</P> <P>(a) Improve educational opportunities for adults who lack the level of literacy skills requisite to effective citizenship and productive employment;</P> <P>(b) Expand and improve the current system for delivering adult education services, including delivery of these services to educationally disadvantaged adults; and</P> <P>(c) Encourage the establishment of adult education programs that will—</P> <P>(1) Enable adults to acquire the basic educational skills necessary for literate functioning;</P> <P>(2) Provide adults with sufficient basic education to enable them to benefit from job training and retraining programs and obtain and retain productive employment so that they might more fully enjoy the benefits and responsibilities of citizenship; and</P> <P>(3) Enable adults who so desire to continue their education to at least the level of completion of secondary school.</P> <SECAUTH>(Authority: 20 U.S.C. 1201)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 460.2</SECTNO> <SUBJECT>What programs are authorized by the Adult Education Act?</SUBJECT> <P>The following programs are authorized by the Act:</P> <P>(a) Adult Education State-administered Basic Grant Program (34 CFR part 426).</P> <P>(b) State-administered Workplace Literacy Program (34 CFR part 433).</P> <P>(c) State-administered English Literacy Program (34 CFR part 434).</P> <P>(d) State Literacy Resource Centers Program (34 CFR part 464).</P> <P>(e) National Workplace Literacy Program (34 CFR part 432).</P> <P>(f) National Workforce Literacy Strategies Program (34 CFR part 473).</P> <P>(g) National English Literacy Demonstration Program for Individuals of Limited English Proficiency (34 CFR part 435).</P> <P>(h) Adult Migrant Farmworker and Immigrant Education Program (34 CFR part 436).</P> <P>(i) National Adult Literacy Volunteer Training Program (34 CFR part 437).</P> <P>(j) State Program Analysis Assistance and Policy Studies Program (34 CFR part 438).</P> <P>(k) Functional Literacy for State and Local Prisoners Program (34 CFR part 489).</P> <P>(l) Life Skills for State and Local Prisoners Program (34 CFR part 490).</P> <SECAUTH>(Authority: 20 U.S.C. 1201 <E T="03">et seq.</E>)</SECAUTH> <CITA>[54 FR 34409, Aug. 18, 1989. Redesignated and amended at 57 FR 24091, June 5, 1992]</CITA> </SECTION> <SECTION> <SECTNO>§ 460.3</SECTNO> <SUBJECT>What regulations apply to the adult education programs?</SUBJECT> <P>The following regulations apply to the adult education programs:</P> <P>(a) The Education Department General Administrative Regulations (EDGAR) as follows:</P> <P>(1) 34 CFR part 74 (Administration of Grants to Institutions of Higher Education, Hospitals, and Nonprofit Organizations).</P> <P>(2) 34 CFR part 75 (Direct Grant Programs) applies to parts 472, 473, 474, 475, 476, 477, 489, and 490, except that 34 CFR 75.720(b), regarding the frequency of certain reports, does not apply.</P> <P>(3) 34 CFR part 76 (State-Administered Programs) applies to parts 461, 462, 463, and 464, except that 34 CFR <PRTPAGE P="118"/>76.101 (The general State application) does not apply.</P> <P>(4) 34 CFR part 77 (Definitions that Apply to Department Regulations).</P> <P>(5) 34 CFR part 79 (Intergovernmental Review of Department of Education Programs and Activities).</P> <P>(6) 34 CFR part 80 (Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments).</P> <P>(7) 34 CFR part 81 (General Education Provisions Act—Enforcement).</P> <P>(8) 34 CFR part 82 (New Restrictions on Lobbying).</P> <P>(9) 34 CFR part 85 (Governmentwide Debarment and Suspension (Nonprocurement) and Governmentwide Requirements for Drug-Free Workplace (Grants)).</P> <P>(10) 34 CFR part 86 (Drug-Free Schools and Campuses).</P> <P>(b) The regulations in this part 460.</P> <P>(c) The regulations in 34 CFR parts 461, 462, 463, 464, 472, 473, 474, 475, 476, 477, 489, and 490.</P> <SECAUTH>(Authority: 20 U.S.C. 1201 <E T="03">et seq.</E>)</SECAUTH> <CITA>[57 FR 24091, June 5, 1992]</CITA> </SECTION> <SECTION> <SECTNO>§ 460.4</SECTNO> <SUBJECT>What definitions apply to the adult education programs?</SUBJECT> <P>(a) <E T="03">Definitions in the Act.</E> The following terms used in regulations for adult education programs are defined in sections 312 and 326(b) of the Act: </P> <EXTRACT> <FP SOURCE="FP-1">Academic education</FP> <FP SOURCE="FP-1">Adult</FP> <FP SOURCE="FP-1">Adult education</FP> <FP SOURCE="FP-1">Community-based organization</FP> <FP SOURCE="FP-1">Community school program</FP> <FP SOURCE="FP-1">Correctional institution</FP> <FP SOURCE="FP-1">Criminal offender</FP> <FP SOURCE="FP-1">Educationally disadvantaged adult</FP> <FP SOURCE="FP-1">English literacy program</FP> <FP SOURCE="FP-1">Institution of higher education</FP> <FP SOURCE="FP-1">Local educational agency</FP> <FP SOURCE="FP-1">Out-of-school youth</FP> <FP SOURCE="FP-1">Private industry council</FP> <FP SOURCE="FP-1">State</FP> <FP SOURCE="FP-1">State educational agency</FP> </EXTRACT> <P>(b) <E T="03">Definitions in EDGAR.</E> The following terms used in regulations for adult education programs are defined in 34 CFR 77.1: </P> <EXTRACT> <SCOL2> <LI>Applicant</LI> <LI>Application</LI> <LI>Award</LI> <LI>Budget</LI> <LI>Budget period</LI> <LI>Contract</LI> <LI>ED</LI> <LI>EDGAR</LI> <LI>Fiscal year</LI> <LI>Grant</LI> <LI>Grantee</LI> <LI>Nonprofit</LI> <LI>Private</LI> <LI>Project</LI> <LI>Project period</LI> <LI>Public</LI> <LI>Secretary</LI> <LI>Subgrant</LI> <LI>Subgrantee</LI> </SCOL2> </EXTRACT> <P>(c) <E T="03">Other definitions.</E> The following definitions also apply to regulations for adult education programs:</P> <P> <E T="03">Act</E> means the Adult Education Act (20 U.S.C. 1201 <E T="03">et seq.</E>).</P> <P> <E T="03">Adult basic education</E> means instruction designed for an adult who—</P> <P>(1) Has minimal competence in reading, writing, and computation;</P> <P>(2) Is not sufficiently competent to meet the educational requirements of adult life in the United States; or</P> <P>(3) Is not sufficiently competent to speak, read, or write the English language to allow employment commensurate with the adult's real ability.</P> <FP>If grade level measures are used, adult basic education includes grades 0 through 8.9.</FP> <P> <E T="03">Adult secondary education</E> means instruction designed for an adult who—</P> <P>(1) Is literate and can function in everyday life, but is not proficient; or</P> <P>(2) Does not have a certificate of graduation (or its equivalent) from a school providing secondary education.</P> <FP>If using grade level measures, adult secondary education includes grades 9 through 12.9.</FP> <P> <E T="03">Adults with Limited English proficiency, persons with limited English proficiency, individuals of limited English proficiency,</E> and <E T="03">limited English proficient adults</E> mean individuals who—</P> <P>(1) Were not born in the United States or whose native language is a language other than English;</P> <P>(2) Come from environments where a language other than English is dominant; or</P> <P>(3) Are American Indian or Alaska Natives and who come from environments where a language other than English has had a significant impact on their level of English language proficiency; and</P> <P>(4) Who, by reason thereof, have sufficient difficulty speaking, reading, writing, or understanding the English language to deny these individuals the opportunity to learn successfully in <PRTPAGE P="119"/>classrooms where the language of instruction is English or to participate fully in our society.</P> <SECAUTH>(Authority: 20 U.S.C. 3283(a)(1))</SECAUTH> <P> <E T="03">Governor</E> includes the chief executive officer of a State that does not have a Governor.</P> <P> <E T="03">Homeless</E> or <E T="03">homeless adult:</E> </P> <P>(1) The terms mean an adult lacking a fixed, regular, and adequate nighttime residence as well as an individual having a primary nighttime residence that is—</P> <P>(i) A supervised publicly or privately operated shelter designed to provide temporary living accommodations (including welfare hotels, congregate shelters, and transitional housing for the mentally ill);</P> <P>(ii) An institution that provides a temporary residence for individuals intended to be institutionalized; or</P> <P>(iii) A public or private place not designed for, or ordinarily used as, a regular sleeping accommodation for human beings.</P> <P>(2) The terms do not include any adult imprisoned or otherwise detained pursuant to an Act of the Congress or a State law.</P> <SECAUTH>(Authority: 42 U.S.C. 11301)</SECAUTH> <P> <E T="03">Immigrant</E> means any refugee admitted or paroled into this country or any alien except one who is exempt under the provisions of the Immigration and Nationality Act, as amended.</P> <SECAUTH>(Authority: 8 U.S.C. 1101(a)(15))</SECAUTH> <P> <E T="03">Institutionalized individual</E> means an adult, as defined in the Act, who is an inmate, patient, or resident of a correctional, medical, or special institution.</P> <P> <E T="03">Literacy</E> means an individual's ability to read, write, and speak in English, compute, and solve problems, at levels of proficiency necessary to function on the job and in society, to achieve one's goals, and to develop one's knowledge and potential.</P> <P> <E T="03">Migrant farmworker</E> means a person who has moved within the past 12 months from one school district to another—or, in a State that is comprised of a single school district, has moved from one school administrative area to another— to enable him or her to obtain temporary or seasonal employment in any activity directly related to—</P> <P>(1) The production or processing of crops, dairy products, poultry, or livestock for initial commercial sale or as a principal means of personal subsistence;</P> <P>(2) The cultivation or harvesting of trees; or</P> <P>(3) Fish farms.</P> <P> <E T="03">Outreach</E> means activities designed to—</P> <P>(1) Inform educationally disadvantaged adult populations of the availability and benefits of the adult education program;</P> <P>(2) Actively recruit these adults to participate in the adult education program; and</P> <P>(3) Assist these adults to participate in the adult education program by providing reasonable and convenient access and support services to remove barriers to their participation in the program.</P> <P> <E T="03">Program year</E> means the twelve-month period during which a State operates its adult education program.</P> <P> <E T="03">State administrative costs</E> means costs for those management and supervisory activities necessary for direction and control by the State educational agency responsible for developing the State plan and overseeing the implementation of the adult education program under the Act. The term includes those costs incurred for State advisory councils under section 332 of the Act, but does not include costs incurred for such additional activities as evaluation, teacher training, dissemination, technical assistance, and curriculum development.</P> <SECAUTH>(Authority: 20 U.S.C. 1201 <E T="03">et seq.</E>)</SECAUTH> <CITA>[54 FR 34409, Aug. 18, 1989. Redesignated and amended at 57 FR 24091, 24092, June 5, 1992]</CITA> </SECTION> </PART> <PART> <EAR>Pt. 461</EAR> <HD SOURCE="HED">PART 461—ADULT EDUCATION STATE-ADMINISTERED BASIC GRANT PROGRAM</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>461.1</SECTNO> <SUBJECT>What is the Adult Education State-administered Basic Grant Program?</SUBJECT> <SECTNO>461.2</SECTNO> <SUBJECT>Who is eligible for an award?</SUBJECT> <SECTNO>461.3</SECTNO> <SUBJECT>What are the general responsibilities of the State educational agency?<PRTPAGE P="120"/> </SUBJECT> <SECTNO>461.4</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <SECTNO>461.5</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—How Does a State Apply for a Grant?</HD> <SECTNO>461.10</SECTNO> <SUBJECT>What documents must a State submit to receive a grant?</SUBJECT> <SECTNO>461.11</SECTNO> <SUBJECT>How is the State plan developed?</SUBJECT> <SECTNO>461.12</SECTNO> <SUBJECT>What must the State plan contain?</SUBJECT> <SECTNO>461.13</SECTNO> <SUBJECT>What procedures does a State use to submit its State plan?</SUBJECT> <SECTNO>461.14</SECTNO> <SUBJECT>When are amendments to a State plan required?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does the Secretary Make a Grant to a State?</HD> <SECTNO>461.20</SECTNO> <SUBJECT>How does the Secretary make allotments?</SUBJECT> <SECTNO>461.21</SECTNO> <SUBJECT>How does the Secretary make reallotments?</SUBJECT> <SECTNO>461.22</SECTNO> <SUBJECT>What criteria does the Secretary use in approving a State's description of efforts relating to program reviews and evaluations?</SUBJECT> <SECTNO>461.23</SECTNO> <SUBJECT>How does the Secretary approve State plans and amendments?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—How Does a State Make an Award to an Eligible Recipient?</HD> <SECTNO>461.30</SECTNO> <SUBJECT>Who is eligible for a subgrant or contract?</SUBJECT> <SECTNO>461.31</SECTNO> <SUBJECT>How does a State award funds?</SUBJECT> <SECTNO>461.32</SECTNO> <SUBJECT>What are programs for corrections education and education for other institutionalized adults?</SUBJECT> <SECTNO>461.33</SECTNO> <SUBJECT>What are special experimental demonstration projects and teacher training projects?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—What Conditions Must Be Met by a State?</HD> <SECTNO>461.40</SECTNO> <SUBJECT>What are the State and local administrative costs requirements?</SUBJECT> <SECTNO>461.41</SECTNO> <SUBJECT>What are the cost-sharing requirements?</SUBJECT> <SECTNO>461.42</SECTNO> <SUBJECT>What is the maintenance of effort requirement?</SUBJECT> <SECTNO>461.43</SECTNO> <SUBJECT>Under what circumstances may the Secretary waive the maintenance of effort requirement?</SUBJECT> <SECTNO>461.44</SECTNO> <SUBJECT>How does a State request a waiver of the maintenance of effort requirement?</SUBJECT> <SECTNO>461.45</SECTNO> <SUBJECT>How does the Secretary compute maintenance of effort in the event of a waiver?</SUBJECT> <SECTNO>461.46</SECTNO> <SUBJECT>What requirements for program reviews and evaluations must be met by a State?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—What Are the Administrative Responsibilities of a State?</HD> <SECTNO>461.50</SECTNO> <SUBJECT>What are a State's responsibilities regarding a State advisory council on adult education and literacy?</SUBJECT> <SECTNO>461.51</SECTNO> <SUBJECT>What are the membership requirements of a State advisory council?</SUBJECT> <SECTNO>461.52</SECTNO> <SUBJECT>What are the responsibilities of a State advisory council?</SUBJECT> <SECTNO>461.53</SECTNO> <SUBJECT>May a State establish an advisory body other than a State advisory council?</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>20 U.S.C. 1201 <E T="03">et seq</E>., unless otherwise noted.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>57 FR 24092, June 5, 1992, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 461.1</SECTNO> <SUBJECT>What is the Adult Education State-administered Basic Grant Program?</SUBJECT> <P>The Adult Education State-administered basic Grant Program (the program) is a cooperative effort between the Federal Government and the States to provide adult education. Federal funds are granted to the States on a formula basis. Based on need and resources available, States fund local programs of adult basic education, programs of adult secondary education, and programs for adults with limited English proficiency.</P> <SECAUTH>(Authority: 20 U.S.C. 1203)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 461.2</SECTNO> <SUBJECT>Who is eligible for an award?</SUBJECT> <P>State educational agencies (SEAs) are eligible for awards under this part.</P> <SECAUTH>(Authority: 20 U.S.C. 1203)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 461.3</SECTNO> <SUBJECT>What are the general responsibilities of the State educational agency?</SUBJECT> <P>(a) A State that desires to participate in the program shall designate the SEA as the sole State agency responsible for the administration and supervision of the program under this part.</P> <P>(b) The SEA has the following general responsibilities:</P> <P>(1) Development, submission, and implementation of the State application and plan, and any amendments to these documents.</P> <P>(2) Evaluation of activities, as described in section 352 of the Act and § 461.46.<PRTPAGE P="121"/> </P> <P>(3) Consultation with the State advisory council, if a State advisory council has been established under section 332 of the Act and § 461.50.</P> <P>(4) Consultation with other appropriate agencies, groups, and individuals involved in the planning, administration, evaluation, and coordination of programs funded under the Act.</P> <P>(5)(i) Assignment of personnel as may be necessary for State administration of programs under the Act.</P> <P>(ii) The SEA must ensure that—</P> <P>(A) These personnel are sufficiently qualified by education and experience; and</P> <P>(B) There is a sufficient number of these personnel to carry out the responsibilities of the State.</P> <P>(6) If the State imposes any rule or policy relating to the administration and operation of programs under the Act (including any rule or policy based on State interpretation of any Federal law, regulation, or guidance), the SEA shall identify the rule or policy as a State-imposed requirement.</P> <P>(7) By July 25, 1993, development and implementation, in consultation with a widely representative group of appropriate experts, educators, and administrators, of indicators of program quality to be used to evaluate programs assisted under this part, as required by section 352 of the Act and § 461.46, to determine whether those programs are effective, including whether those programs are successfully recruiting, retaining, and improving the literacy skills of the individuals served under those programs.</P> <SECAUTH>(Authority: 20 U.S.C. 1205 (a) and (b)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 461.4</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <P>The following regulations apply to the program:</P> <P>(a) The regulations in this part 461.</P> <P>(b) The regulations in 34 CFR part 460.</P> <SECAUTH>(Authority: 20 U.S.C. 1201 <E T="03">et seq.</E>)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 461.5</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> <P>(a) The definitions in 34 CFR 460.4 apply to this part.</P> <P>(b) For the purposes of this part, “State” includes the Federated States of Micronesia and the Republic of the Marshall Island.</P> <SECAUTH>(Authority: 20 U.S.C. 1201 <E T="03">et seq.</E>)</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—How Does a State Apply for a Grant?</HD> <SECTION> <SECTNO>§ 461.10</SECTNO> <SUBJECT>What documents must a State submit to receive a grant?</SUBJECT> <P>An SEA shall submit the following to the Secretary as one document:</P> <P>(a) A State plan, developed once every four years, that meets the requirements of the Act and contains the information required in § 461.12.</P> <P>(b) A State application consisting of program assurances, signed by an authorized official of the SEA, to provide that—</P> <P>(1) The SEA will provide such methods of administration as are necessary for the proper and efficient administration of the Act;</P> <P>(2) Federal funds granted to the State under the Act will be used to supplement, and not supplant, the amount of State and local funds available for uses specified in the Act;</P> <P>(3) Programs, services, and activities funded in accordance with the uses specified in section 322 of the Act are designed to expand or improve the quality of adult education programs, including programs for educationally disadvantaged adults, to initiate new programs of high quality, or, if necessary, to maintain programs;</P> <P>(4) The SEA will provide such fiscal control and fund accounting procedures as may be necessary to ensure proper disbursement of, and accounting for, Federal funds paid to the State (including Federal funds paid by the State to eligible recipients under the Act);</P> <P>(5) The SEA has instituted policies and procedures to ensure that copies of the State plan and all statements of general policy, rules, regulations, and procedures will be made available to the public;</P> <P>(6) The SEA will comply with the maintenance of effort requirements in section 361(b) of the Act;</P> <CROSSREF> <HD SOURCE="HED">Cross-Reference:</HD> <P>See § 461.42 What is the maintenance of effort requirement?</P> </CROSSREF> <P>(7) Adults enrolled in adult basic education programs, including programs <PRTPAGE P="122"/>for adults with limited English proficiency, will not be charged tuition, fees, or any other charges, or be required to purchase any books or any other materials that are needed for participation in the program;</P> <P>(8) The SEA may use not more than 20 percent of the funds granted to the State under the Act for programs of equivalency for a certificate of graduation from secondary school;</P> <P>(9) As may be required by the Secretary, the SEA will report information concerning special experimental demonstration projects and teacher training projects supported under section 353 of the Act; and</P> <P>(10) The SEA annually will report information abut the State's adult education students, programs, expenditures, and goals, as may be required by the Secretary. (Approved by the Office of Management and Budget under control number 1830-0026.)</P> <SECAUTH>(Authority: 20 U.S.C. 1203a(b)(2), 1206(a), 1206b, 1207a, 1208, and 1209(b))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 461.11</SECTNO> <SUBJECT>How is the State plan developed?</SUBJECT> <P>In formulating the State plan, the SEA shall—</P> <P>(a) Meet with and utilize the State advisory council, if a council is established under section 332 of the Act and § 461.50;</P> <P>(b) After providing appropriate and sufficient notice to the public, conduct at least two public hearings in the State for the purpose of affording all segments of the public, including groups serving educationally disadvantaged adults, and interested organizations and groups, an opportunity to present their views and make recommendations regarding the State plan;</P> <P>(c) Make a thorough assessment of —</P> <P>(1) The needs of adults, including educationally disadvantaged adults, eligible to be served as well as adults proposed to be served and those currently served by the program; and</P> <P>(2) The capability of existing programs and institutions to meet those needs; and</P> <P>(d) State the changes and improvements required in adult education to fulfill the purposes of the Act and the options for implementing these changes and improvements. (Approved by the Office of Management and Budget under control number 1830-0026.)</P> <SECAUTH>(Authority: 20 U.S.C. 1206a(a)(1) and (2), (b))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 461.12</SECTNO> <SUBJECT>What must the State plan contain?</SUBJECT> <P>(a) Consistent with the assessment described in § 461.11(c), a State plan must, for the four-year period covered by the plan—</P> <P>(1) Describe the adult education needs of all segments of the adult population in the State identified in the assessment, including the needs of those adults who are educationally disadvantaged:</P> <P>(2) Describe and provide for the fulfillment of the literacy needs of individuals in the State;</P> <P>(3) Set forth measurable goals for improving literacy levels, retention in literacy programs, and long-term learning gains of individuals in the State and describe a comprehensive approach for achieving those goals, including the development of indicators of program quality as required by section 331(a)(2) of the Act and § 461.3(b)(7).</P> <P>(4) Describe the curriculum, equipment, and instruments that are being used by instructional personnel in programs and indicate how current these elements are;</P> <P>(5) Describe the means by which the delivery of adult education services will be significantly expanded (including efforts to reach typically underserved groups such as educationally disadvantaged adults, individuals of limited English proficiency, and adults with disabilities) through coordination by agencies, institutions, and organizations including the public school system, businesses, labor unions, libraries, institutions of higher education, public health authorities, employment or training programs, antipoverty programs, organizations providing assistance to the homeless, and community and voluntary organizations;</P> <P>(6) Describe the means by which representatives of the public and private sectors were involved in the development of the State plan and how they will continue to be involved in the implementation of the plan, especially in the expansion of the delivery of adult education services by cooperation and <PRTPAGE P="123"/>collaboration with those public and private agencies, institutions, and organizations;</P> <P>(7) Describe the capability of existing programs and institutions to meet the needs described in paragraph (a)(1) of this section, including the other Federal and non-Federal resources available to meet those needs;</P> <P>(8) Describe the outreach activities that the State intends to carry out during the period covered by the plan, including specialized efforts—such as flexible course schedules, auxiliary aids and services, convenient locations, adequate transportation, and child care services—to attract and assist meaningful participation in adult education programs;</P> <P>(9)(i) Describe the manner in which the SEA will provide for the needs of adults of limited English proficiency or no English proficiency by providing programs designed to teach English and, as appropriate, to allow these adults to progress effectively through the adult education program or to prepare them to enter the regular program of adult education as quickly as possible.</P> <P>(ii) These programs may, to the extent necessary, provide instruction in the native language of these adults or may provide instruction exclusively in English.</P> <P>(iii) These programs must be carried out in coordination with programs assisted under the Bilingual Education Act and with bilingual vocational education programs under the Carl D. Perkins Vocational and Applied Technology Education Act;</P> <P>(10) Describe how the particular education needs of adult immigrants, the incarcerated, adults with disabilities, the chronically unemployed, homeless adults, the disadvantaged, and minorities in the State will be addressed;</P> <P>(11)(i) Describe the progress the SEA has made in achieving the goals set forth in each State plan subsequent to the initial State plan filed in 1989; and</P> <P>(ii) Describe how the assessment of accomplishments and the findings of program reviews and evaluations required by section 352 of the Act and § 461.46 were considered in establishing the State's goals for adult education in the plan being submitted;</P> <P>(12) Describe the criteria the SEA will use in approving applications by eligible recipients and allocating funds made available under the Act to those recipients;</P> <P>(13) Describe the methods proposed for joint planning and coordination of programs carried out under the Act with programs conducted under applicable Federal and State programs, including the Carl D. Perkins Vocational and Applied Technology Education Act, the Job Training Partnership Act, the Rehabilitation Act of 1973, the Individuals with Disabilities Education Act, the Immigration Reform and Control Act of 1986, the Higher Education Act of 1965, and the Domestic Volunteer Service Act, to ensure maximum use of funds and to avoid duplication of services;</P> <P>(14) Describe the steps taken to utilize volunteers, particularly volunteers assigned to the Literacy Corps established under the Domestic Volunteer Service Act and volunteers trained in programs carried out under section 382 of the Act and 34 CFR part 476, but only to the extent that those volunteers supplement and do not supplant salaried employees;</P> <P>(15) Describe the measures to be taken to ensure that adult education programs, services, and activities under the Act will take into account the findings of program reviews and evaluations required by section 352 of the Act and § 461.46;</P> <CROSSREF> <HD SOURCE="HED">Cross-Reference:</HD> <P>See § 461.22. What criteria does the Secretary use in approving a State's description of efforts relating to program reviews and evaluation?</P> </CROSSREF> <P>(16) Report the amount of administrative funds to be spent on program improvements;</P> <P>(17) Contain assurances that financial assistance provided under this part is used to assist and expand existing programs and to develop new programs for—</P> <P>(i) Adults whose lack of basic skills renders them unemployable;</P> <P>(ii) Adults whose lack of basic skills keeps them, whether employed or unemployed, from functioning independently in society; and</P> <P>(iii) Adults whose lack of basic skills severely reduces their ability to have a <PRTPAGE P="124"/>positive effect on the literacy of their children;</P> <P>(18) Describe the SEA's policies, procedures, and activities for carrying out special experimental demonstration projects and teacher training projects that meet the requirements of § 461.33;</P> <P>(19) Describe the SEA's policies, procedures, and activities for carrying out corrections education and education for other institutionalized adults that meet the requirements of § 461.32;</P> <P>(20) Describe the SEA's planned use of Federal funds for administrative costs under § 461.40(a), including any planned expenditures for a State advisory council under § 461.50. </P> <NOTE> <HD SOURCE="HED">Note:</HD> <P>An additional source of funding exists under section 356(g) of the Act and 34 CFR part 464, but need not be reported under this paragraph.</P> </NOTE> <FP>and</FP> <P>(21) Include a summary of recommendations received and the SEA's responses to the recommendations made through the State plan development process required under § 461.11(b).</P> <P>(b) Each State plan must provide assurance that public or private non-profit entities eligible under § 461.30—local educational agencies, public or private nonprofit agencies, community-based organizations, correctional education agencies, postsecondary educational institutions, institutions that serve educationally disadvantaged adults, and any other institution that has the ability to provide literacy services to adults and families—will be provided direct and equitable access to all Federal funds provided under this part, including—</P> <P>(1) The right to submit applications directly to the SEA for those funds; and</P> <P>(2) Use by the SEA of a process for selecting recipients of those funds that gives each agency, institution, and organization a fair chance of receiving an award.</P> <P>(c) To be eligible to participate in the State-administered Workplace Literacy Program under section 371(b) of the Act, an SEA shall comply with the requirements in 34 CFR 462.10.</P> <P>(d) To be eligible to participate in the State-administered English Literacy Program under section 372(a) of the Act, an SEA shall comply with the requirements in 34 CFR 463.10.</P> <P>(e) In order for a State, or the local recipients within the State, to be eligible to apply for funds under the Adult Migrant Farmworker and Immigrant Education Program under section 381 of the Act and 34 CFR part 475, an SEA shall describe the types of projects appropriate for meeting the educational needs of adult migrant farm workers and immigrants under section 381 of the Act.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1830-0026)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 1203a(a)(1); 1204; 1205(c); 1206a(a)(2), (b)(1)(B), (c), (d); 1208; 1211(b)(3)(A); 1211a(a)(2); and 1213(a))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 461.13</SECTNO> <SUBJECT>What procedures does a State use to submit its State plan?</SUBJECT> <P>(a) An SEA shall submit its State plan to the Secretary not later than 90 days prior to the first program year for which the plan is in effect.</P> <P>(b)(1) Not less than sixty days prior to submitting the State plan to the Secretary, the SEA shall give the State advisory council, if one is established under section 332 of the Act and § 461.50, an opportunity to review and comment on the plan.</P> <P>(2) The SEA shall respond to all timely and substantive objections of the State advisory council and include with the State plan a copy of those objections and its response.</P> <P>(c)(1) Not less than sixty days prior to submitting the State plan to the Secretary, the SEA shall give the following entities an opportunity to review and comment on the plan:</P> <P>(i) The State board or agency for vocational education.</P> <P>(ii) The State Job Training Coordinating Council under the Job Training Partnership Act.</P> <P>(iii) The State board or agency for postsecondary education.</P> <P>(2) Comments (to the extent those comments are received in a timely fashion) of entities listed in paragraph <PRTPAGE P="125"/>(c)(1) of this section and the SEA's response must be included with the State plan.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1830-0026)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 1206(b) and 1206a(a)(3) (A) and (B))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 461.14</SECTNO> <SUBJECT>When are amendments to a State plan required?</SUBJECT> <P>(a) <E T="03">General.</E> If an amendment to the State plan is necessary, the SEA shall submit the amendment to the Secretary not later than 90 days prior to the program year of operation to which the amendment applies.</P> <P>(b) <E T="03">Indicators of program quality.</E> Each SEA shall amend its plan by July 25, 1993, to include the indicators of program quality required by section 331 of the Act and § 461.3(b)(7). Cross-Reference: See 34 CFR 76.140-76.142 Amendments.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1830-0026)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 1207(a))</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does the Secretary Make a Grant to a State?</HD> <SECTION> <SECTNO>§ 461.20</SECTNO> <SUBJECT>How does the Secretary make allotments?</SUBJECT> <P>The Secretary determines the amount of each State's grant according to the formula in section 313(b) of the Act.</P> <SECAUTH>(Authority: 20 U.S.C. 1201b(b))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 461.21</SECTNO> <SUBJECT>How does the Secretary make reallotments?</SUBJECT> <P>(a) Any amount of any State's allotment under section 313(b) of the Act that the Secretary determines is not required, for the period the allotment is available, for carrying out that State's plan, is reallotted to other States on dates that the Secretary may fix.</P> <P>(b) The Secretary determines any amounts to be reallotted on the basis of—</P> <P>(1) Reports, filed by the States, of the amounts required to carry out their State plans; and</P> <P>(2) Other information available to the Secretary.</P> <P>(c) Reallotments are made to other States in proportion to those State's original allotments for the fiscal year in which allotments originally were made, unless the Secretary reduces a State's proportionate share by the amount the Secretary estimates will exceed the sum the State needs and will be able to use under its plan.</P> <P>(d) The total of any reductions made under paragraph (c) of this section is reallotted among those States whose proportionate shares were not reduced.</P> <P>(e)(1) Any amount reallotted to a State during a fiscal year is deemed part of the State's allotment for that fiscal year.</P> <P>(2) A reallotment of funds from one State to another State does not extend the period of time in which the funds must be obligated.</P> <SECAUTH>(Authority: 20 U.S.C. 1201b(c))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 461.22</SECTNO> <SUBJECT>What criteria does the Secretary use in approving a State's description of efforts relating to program reviews and evaluations?</SUBJECT> <P>The Secretary considers the following criteria in approving a State's description of efforts relating to program reviews and evaluations under section 342(c)(13) of the Act and § 461.12(a)(15):</P> <P>(a) The extent to which the State will have effective procedures for using the findings of program reviews and evaluations to identify, on a timely basis, those programs, services, and activities under the Act that are not meeting the educational goals set forth in the State plan and approved applications of eligible recipients.</P> <P>(b) The adequacy of the State's procedures for effecting timely changes that will enable programs, services, and activities identified under paragraph (a) of this section to meet the educational goals in the State plan and approved applications of eligible recipients.</P> <P>(c) The extent to which the State will continue to review those programs, activities, and services, and affect further changes as necessary to meet those educational goals.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1830-0501)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 1206a(c)(13) and 1207a)</SECAUTH> </SECTION> <SECTION> <PRTPAGE P="126"/> <SECTNO>§ 461.23</SECTNO> <SUBJECT>How does the Secretary approve State plans and amendments?</SUBJECT> <P>(a) The Secretary approves, within 60 days of receipt, a State plan or amendment that the Secretary determines complies with the applicable provisions of the Act and the regulations in this part.</P> <P>(b) In approving a State plan or amendment, the Secretary considers any information submitted in accordance with § 461.13 (b) and (c).</P> <P>(c) The Secretary notifies the SEA, in writing, of the granting or withholding of approval.</P> <P>(d) The Secretary does not finally disapprove a State plan or amendment without first affording the State reasonable notice and opportunity for a hearing.</P> <SECAUTH>(Authority: 20 U.S.C. 1206(b), 1206a(a)(3), and 1207(b))</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—How Does a State Make an Award to an Eligible Recipient?</HD> <SECTION> <SECTNO>§ 461.30</SECTNO> <SUBJECT>Who is eligible for a subgrant or contract?</SUBJECT> <P>(a) The following public or private nonprofit entities are eligible to apply to the SEA for an award:</P> <P>(1) A local educational agency (LEA).</P> <P>(2) A public or private nonprofit agency.</P> <P>(3) A correctional education agency.</P> <P>(4) A community-based organization.</P> <P>(5) A postsecondary educational institution.</P> <P>(6) An institution that serves educationally disadvantaged adults.</P> <P>(7) Any other institution that has the ability to provide literacy services to adults and families.</P> <P>(b) A public or private nonprofit entity listed in paragraph (a) of this section may apply on behalf of a consortium that includes a for-profit agency, organization, or institution that can make a significant contribution to attaining the objectives of the Act.</P> <P>(c)(1) Each State shall also use an amount of funds provided under this part, as determined by the State given the State's needs and resources for adult education, for competitive 2-year grants to public housing authorities for literacy programs and related activities. Any public housing authority that receives a grant under this paragraph shall consult with local adult education providers in conducting programs and activities with assistance provided under the grant. Any grant provided under this paragraph is referred to as a “Gateway Grant.”</P> <P>(2) For the purposes of this part, “public housing authority” means a public housing agency, as defined in 42 U.S.C. 1437a(b)(6), that participates in public housing, as defined in 42 U.S.C. 1437a(b)(1).</P> <SECAUTH>(Authority: 20 U.S.C. 1203a(a)(1), (2), (3)(A))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 461.31</SECTNO> <SUBJECT>How does a State award funds?</SUBJECT> <P>(a) In selecting local recipients, an SEA shall give preference to those local applicants that have demonstrated or can demonstrate a capability to recruit and serve educationally disadvantaged adults, particularly in areas with a high proportion of adults who do not have a certificate of graduation from a school providing secondary education or its equivalent.</P> <P>(b) An SEA shall award funds on the basis of applications submitted by eligible recipients.</P> <P>(c) In reviewing a local application, an SEA shall determine that the application contains the following:</P> <P>(1) A description of current programs, activities, and services receiving assistance from Federal, State, and local sources that provide adult education in the geographic area proposed to be served by the applicant.</P> <P>(2) A description of cooperative arrangements (including arrangements with business, industry, and volunteer literacy organizations as appropriate) that have been made to deliver services to adults.</P> <P>(3) Assurances that the adult educational programs, services, or activities that the applicant proposes to provide are coordinated with and do not duplicate programs, services, or activities made available to adults under other Federal, State, and local programs, including the Job Training Partnership Act, the Carl D. Perkins Vocational and Applied Technology Education Act, the Rehabilitation Act <PRTPAGE P="127"/>of 1973, the Individuals with Disabilities Education Act, the Indian Education Act, the Higher Education Act of 1965, and the Domestic Volunteer Service Act.</P> <P>(4) The projected goals of the applicant with respect to participant recruitment, retention, and educational achievement and how the applicant will measure and report progress in meeting its goals.</P> <P>(5) Any other information the SEA considers necessary.</P> <P>(d) In determining which programs receive assistance, the SEA shall consider—</P> <P>(1) The past effectiveness of applicants in providing services (especially with respect to recruitment and retention of educationally disadvantaged adults and the learning gains demonstrated by those adults);</P> <P>(2) The degree to which the applicant will coordinate and utilize other literacy and social services available in the community; and</P> <P>(3) The commitment of the applicant to serve individuals in the community who are most in need of literacy services.</P> <P>(e) In reviewing a local application, an SEA may consider the extent to which the application—</P> <P>(1) Identifies the needs of the population proposed to be served by the applicant;</P> <P>(2) Proposes activities that are designed to reach educationally disadvantaged adults;</P> <P>(3) Describes a project that gives special emphasis to adult basic education;</P> <P>(4) Describes adequate outreach activities, such as—</P> <P>(i) Flexible schedules to accommodate the greatest number of adults who are educationally disadvantaged;</P> <P>(ii) Location of facilities offering programs that are convenient to large concentrations of the adult populations identified by the State in its four-year State plan or how the locations of facilities will be convenient to public transportation; and</P> <P>(iii) The availability of day care and transportation services to participants in the project;</P> <P>(5) Describes proposed programs, activities, and services that address the identified needs;</P> <P>(6) Describes the resources available to the applicant—other than Federal and State adult education funds—to meet those needs (for example, funds provided under the Job Training Partnership Act, the Carl D. Perkins Vocational and Applied Technology Education Act, the Rehabilitation Act of 1973, the Individuals with Disabilities Education Act, the Indian Education Act, the Higher Education Act of 1965, or the Domestic Volunteer Service Act, and local cash or in-kind contributions); and</P> <P>(7) Describes project objectives that can be accomplished within the amount of the applicant's budget request.</P> <P>(f) An SEA may not approve an application for a consortium that includes a for-profit agency, organization or institution unless the State has first determined that—</P> <P>(1) The for-profit entity can make a significant contribution to attaining the objectives of the Act; and</P> <P>(2) The public or private nonprofit agency, organization, or institution will enter into a contract with the for-profit agency, organization, or institution for the establishment or expansion of programs.</P> <P>(g) If an SEA awards funds to a consortium that includes a for-profit agency, organization, or institution, the award must be made directly to the public or private nonprofit agency, organization, or institution that applies on behalf of the consortium.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1830-0501)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 1203a(a) and 1206a(c)(4))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 461.32</SECTNO> <SUBJECT>What are programs for corrections education and education for other institutionalized adults?</SUBJECT> <P>(a) An SEA shall use not less than 10 percent of its grant for educational programs for criminal offenders in corrections institutions and for other institutionalized adults. Those programs may include—</P> <P>(1) Academic programs for—(i) Basic education with special emphasis on reading, writing, vocabulary, and arithmetic;</P> <P>(ii) Special education, as defined by State law;<PRTPAGE P="128"/> </P> <P>(iii) Bilingual education or English-as-a-second-language instruction; and</P> <P>(iv) Secondary school credit;</P> <P>(2) Vocational training programs;</P> <P>(3) Library development and library service programs;</P> <P>(4) Corrections education programs, including training for teacher personnel specializing in corrections education, such as courses in social education, basis skills instruction, and abnormal psychology;</P> <P>(5) Guidance and counseling programs;</P> <P>(6) Supportive services for criminal offenders, with special emphasis on the coordination of educational services with agencies furnishing services to criminal offenders after their release; and</P> <P>(7) Cooperative programs with educational institutions, community-based organizations of demonstrated effectiveness, and the private sector, that are designed to provide education and training.</P> <P>(b)(1) An SEA shall establish its own statewide criteria and priorities for administering programs for corrections education and education for other institutionalized adults.</P> <P>(2) The SEA shall determine that an application proposing a project under paragraph (a) of this section contains the information in § 461.31(c) and any other information the SEA considers necessary.</P> <SECAUTH>(Authority: 20 U.S.C. 1203a(b)(1) and 1204)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 461.33</SECTNO> <SUBJECT>What are special experimental demonstration projects and teacher training projects?</SUBJECT> <P>(a) In accordance with paragraph (b) of this section, an SEA shall use at least 15 percent of its grant for—</P> <P>(1) Special projects that—</P> <P>(i) Will be carried out in furtherance of the purposes of the Act;</P> <P>(ii) Will be coordinated with other programs funded under the Act; and</P> <P>(iii)(A) Involve the use of innovative methods (including methods for educating adults with disabilities, homeless adults, and adults of limited English proficiency), systems, materials, or programs that may have national significance or will be of special value in promoting effective programs under the Act; or</P> <P>(B) Involve programs of adult education, including education for adults with disabilities, homeless adults, and adults of limited English proficiency, that are part of community school programs, carried out in cooperation with other Federal, State, or local programs that have unusual promise in promoting a comprehensive or coordinated approach to the problems of adults with educational deficiencies; and</P> <P>(2)(i) Training persons engaged, or preparing to engage, as personnel in programs designed to carry out the purposes of the Act; and</P> <P>(ii) Training professional teachers, volunteers, and administrators, with particular emphasis on—</P> <P>(A) Training— (<E T="03">1</E>) Full-time professional adult educators;</P> <P>(<E T="03">2</E>) Minority adult educators; and</P> <P>(<E T="03">3</E>) Educators of adults with limited English proficiency; and</P> <P>(B) Training teachers to recognize and more effectively serve illiterate individuals with learning disabilities and individuals who have reading ability below the fifth grade level.</P> <P>(b) An SEA shall use at least—</P> <P>(1) 10 percent of its grant for the purposes in paragraph (a)(2) of this section; and</P> <P>(2) Five percent of its grant for the purposes in paragraph (a)(1) or (a)(2) of this section, or both.</P> <P>(c)(1) An SEA shall establish its own statewide criteria and priorities for providing and administering special experimental demonstration projects and teacher training projects.</P> <P>(2) The SEA shall determine that an application proposing a project under paragraph (a) of this section contains—</P> <P>(i) The information in § 461.31(c); and</P> <P>(ii) Any other information the SEA considers necessary.</P> <SECAUTH>(Authority: 20 U.S.C. 1208)</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—What Conditions Must be Met by a State?</HD> <SECTION> <SECTNO>§ 461.40</SECTNO> <SUBJECT>What are the State and local administrative costs requirements?</SUBJECT> <P>(a)(1) Beginning with the fiscal year 1991 grant (a grant that is awarded on or after July 1, 1991 from funds appropriated in the fiscal year 1991 appropriation), an SEA may use no more than 5 percent of its grant or $50,000—<PRTPAGE P="129"/>whichever is greater—for necessary and reasonable State administrative costs.</P> <P>(2) For grants awarded from funds appropriated for fiscal years prior to fiscal year 1991 (grants awarded before July 1, 1991), an SEA may determine what percent of its grant is necessary and reasonable for State administrative costs.</P> <P>(b)(1) At least 95 percent of an eligible recipient's award from the SEA must be expended for adult education instructional activities.</P> <P>(2) The remainder may be used for local administrative costs—noninstructional expenses, including planning, administration, evaluation, personnel development, and coordination—that are necessary and reasonable.</P> <P>(3) If the administrative cost limits under paragraph (b)(2) of this section are insufficient for adequate planning, administration, evaluation, personnel development, and coordination of programs supported under the Act, the SEA shall negotiate with local grant recipients in order to determine an adequate level of funds to be used for noninstructional purposes.</P> <SECAUTH>(Authority: 20 U.S.C. 1203b and 1205(c))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 461.41</SECTNO> <SUBJECT>What are the cost-sharing requirements?</SUBJECT> <P>(a) The Federal share of expenditures made under a State plan for any of the 50 States, the District of Columbia, and the Commonwealth of Puerto Rico may not exceed—</P> <P>(1) 90 percent of the costs of programs carried out with the fiscal year 1988 grant (a grant that is awarded on or after July 1, 1988 from funds appropriated in the fiscal year 1988 appropriation);</P> <P>(2) 90 percent of the costs of programs carried out with the fiscal year 1989 (a grant that is awarded on or after July 1, 1989 from funds appropriated in the fiscal year 1989 appropriation);</P> <P>(3) 85 percent of the costs of programs carried out with the fiscal year 1990 grant (a grant that is awarded on or after July 1, 1990 from funds appropriated in the fiscal year 1990 appropriation);</P> <P>(4) 80 percent of the costs of programs carried out with the fiscal year 1991 grant (a grant that is awarded on or after July 1, 1991 from funds appropriated in the fiscal year 1991 appropriation); and</P> <P>(5) 75 percent of the costs of programs carried out with the fiscal year 1992 grant (a grant that is awarded on or after July 1, 1992 from funds appropriated in the fiscal year 1992 appropriation) and from each grant thereafter.</P> <P>(b) The Federal share for American Samoa, Guam, the Northern Mariana Islands, the Federated States of Micronesia, the Republic of the Marshall Islands, Palau, and the Virgin Islands is 100 percent.</P> <P>(c) The Secretary determines the non-Federal share of expenditures under the State plan by considering—</P> <P>(1) Expenditures from State, local, and other non-Federal sources for programs, services, and activities of adult education, as defined in the Act, made by public or private entities that receive from the State Federal funds made available under the Act or State funds for adult education; and</P> <P>(2) Expenditures made directly by the State for programs, services, and activities of adult education as defined in the Act.</P> <SECAUTH>(Authority: 20 U.S.C. 1209(a); 48 U.S.C. 1681)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 461.42</SECTNO> <SUBJECT>What is the maintenance of effort requirement?</SUBJECT> <P>(a) <E T="03">Basic standard.</E> (1)(i) Except as provided in § 461.43, a State is eligible for a grant from appropriations for any fiscal year only if the Secretary determines that the State has expended for adult education from non-Federal sources during the second preceding fiscal year (or program year) an amount not less than the amount expended during the third preceding fiscal year (or program year).</P> <P>(ii) The Secretary determines maintenance of effort on a per student expenditure basis or on a total expenditure basis.</P> <P>(2) For purposes of determining maintenance of effort, the “second preceding fiscal year (or program year)” is the fiscal year (or program year) two years prior to the year of the grant for which the Secretary is determining the State's eligibility. The “third preceding fiscal year (or program year)” is the fiscal year (or program year) three years prior to the year of the grant for <PRTPAGE P="130"/>which the Secretary is determining the State's eligibility.</P> <EXAMPLE> <HD SOURCE="HED">Example:</HD> <P>Computation based on fiscal year. If a State chooses to use the fiscal year as the basis for its maintenance of effort computations, the Secretary determines whether a State is eligible for the fiscal year 1992 grant (a grant that is awarded on or after July 1, 1992 from funds appropriated in the fiscal year 1992 appropriation) by comparing expenditures from the second preceding fiscal year—fiscal year 1990 (October 1, 1989-September 30, 1990)—with expenditures from the third preceding fiscal year—fiscal year 1989 (October 1, 1988-September 30, 1989). If there has been no decrease in expenditures from fiscal year 1989 to fiscal year 1990, the State has maintained effort and is eligible for its fiscal year 1992 grant.</P> <P> <E T="03">Computation based on program year.</E> If a State chooses to use a program year running from July 1 to June 30 as the basis for its maintenance of effort computation, the Secretary determines whether a State is eligible for funds for the fiscal year 1992 grant by comparing expenditures from the second preceding program year—program year 1990 (July 1, 1989-June 30, 1990)—with expenditures from the third preceding program year—program year 1989 (July 1, 1988-June 30, 1989). If there has been no decrease in expenditures from program year 1989 to program year 1990, the State has maintained effort and is eligible for its fiscal year 1992 grant.</P> </EXAMPLE> <P>(b) <E T="03">Expenditures to be considered.</E> In determining a State's compliance with the maintenance of effort requirement, the Secretary considers the expenditures described in § 461.41(c).</P> <SECAUTH>(Authority: 20 U.S.C. 1209(b))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 461.43</SECTNO> <SUBJECT>Under what circumstances may the Secretary waive the maintenance of effort requirement?</SUBJECT> <P>(a) The Secretary may waive, for one year only, the maintenance of effort requirement in § 461.42 if the Secretary determines that a waiver would be equitable due to exceptional or uncontrollable circumstances. These circumstances include, but are not limited to, the following:</P> <P>(1) A natural disaster.</P> <P>(2) An unforeseen and precipitous decline in financial resources.</P> <P>(b) The Secretary does not consider a tax initiative or referendum to be an exceptional or uncontrollable circumstance.</P> <SECAUTH>(Authority: 20 U.S.C. 1209(b)(2))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 461.44</SECTNO> <SUBJECT>How does a State request a waiver of the maintenance of effort requirement?</SUBJECT> <P>An SEA seeking a waiver of the maintenance of effort requirement in § 461.42 shall—</P> <P>(a) Submit to the Secretary a request for a waiver; and</P> <P>(b) Include in the request—</P> <P>(1) The reason for the request; and</P> <P>(2) Any additional information the Secretary may require.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1830-0501)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 1209(b)(2))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 461.45</SECTNO> <SUBJECT>How does the Secretary compute maintenance of effort in the event of a waiver?</SUBJECT> <P>If a State has been granted a waiver of the maintenance of effort requirement that allows it to receive a grant from appropriations for a fiscal year, the Secretary determines whether the State has meet that requirement for the grant to be awarded for the year after the year of the waiver by comparing the amount spent for adult education from non-Federal sources in the second preceding fiscal year (or program year) with the amount spent in the fourth preceding fiscal year (or program year.)</P> <EXAMPLE> <HD SOURCE="HED"> <E T="03">Example:</E> </HD> <P>Because exceptional or uncontrollable circumstances prevented a State from maintaining effort in fiscal year 1990 (October 1, 1989-September 30, 1990) or in program year 1990 (July 1, 1989-June 30, 1990) at the level of fiscal year 1989 (October 1, 1988-September 30, 1989) or program year 1989 (July 1, 1988-June 30, 1989), respectively, the Secretary grants the State a waiver of the maintenance of effort requirement that permits the State to receive its fiscal year 1992 grant (a grant that is awarded on or after July 1, 1992 from funds appropriated in the fiscal year 1992 appropriation). In order to determine whether a State has met the maintenance of effort requirement and therefore is eligible to receive its fiscal year 1993 grant (the grant to be awarded for the year after the year of the waiver), the Secretary compares the State's expenditures from the second preceding fiscal year (or program year—fiscal year 1991 (October 1, 1990-September 30, 1991) or program year 1991 (July 1, 1990-June 30, 1991)—with expenditures from the fourth preceding fiscal year—fiscal year 1989 (October 1, 1988-September 30, 1989) or program year 1989 (July 1, 1988-June 30, 1989). If <PRTPAGE P="131"/>the expenditures from fiscal year (or program year) 1991 are not less than the expenditures from fiscal year (or program year) 1989, the State has maintained effort and is eligible for its fiscal year 1993 grant.</P> </EXAMPLE> <SECAUTH>(Authority: 20 U.S.C. 1209(b)(2))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 461.46</SECTNO> <SUBJECT>What requirements for program reviews and evaluations must be met by a State?</SUBJECT> <P>(a) An SEA shall provide for program reviews and evaluations of all State-administered adult education programs, services, and activities it assists under the Act. The SEA shall use its program reviews and evaluations to assist LEAs and other recipients of funds in planning and operating the best possible programs of adult education and to improve the State's programs of adult education.</P> <P>(b) In reviewing programs, an SEA shall, during the four-year period of the State plan, gather and analyze data—including standardized test data—on the effectiveness of State-administered adult education programs, services, and activities to determine the extent to which—</P> <P>(1) The State's adult education programs are achieving the goals in the State plan, including the goal of serving educationally disadvantaged adults; and</P> <P>(2) Grant recipients have improved their capacity to achieve the purposes of the Act.</P> <P>(c)(1) An SEA shall, each year during the four-year period of the State plan, evaluate in qualitative and quantitative terms the effectiveness of programs, services, and activities conducted by at least 20 percent of the local recipients of funds so that at the end of that period 80 percent of all local recipients have been evaluated once.</P> <P>(2) An evaluation must consider the following factors:</P> <P>(i) Projected goals of the recipient as described in its application pursuant to section 322(a)(4) of the Act and § 461.31(c)(4).</P> <P>(ii) Planning and content of the programs, services, and activities.</P> <P>(iii) Curriculum, instructional materials, and equipment.</P> <P>(iv) Adequacy and qualifications of all personnel.</P> <P>(v) Achievement of the goals set forth in the State plan.</P> <P>(vi) Extent to which educationally disadvantaged adults are being served.</P> <P>(vii) Extent to which local recipients of funds have improved their capacity to achieve the purposes of the Act.</P> <P>(viii) Success of the recipient in meeting the State's indicators of program quality after those indicators are developed as required by section 331(a)(2) of the Act and § 461.3(b)(7).</P> <P>(ix) Other factors that affect program operations, as determined by the SEA.</P> <P>(d)(1) Within 90 days of the close of each program year, the SEA shall submit to the Secretary and make public within the State the following:</P> <P>(i) With respect to local recipients—</P> <P>(A) The number and percentage of local educational agencies, community-based organizations, volunteer groups, and other organizations that are grant recipients;</P> <P>(B) The amount of funds provided to local educational agencies, community-based organizations, volunteer groups, and other organizations that are grant recipients; and</P> <P>(C) The results of the evaluations carried out as required by paragraph (c)(1) of this section in the year preceding the year for which the data are submitted.</P> <P>(ii) The information required under § 461.10(b)(10).</P> <P>(iii) A report on the SEA's activities under paragraph (b) of this section.</P> <P>(iv) A report on the SEA's activities under paragraph (c) of this section.</P> <P>(2) The reports described in paragraphs (d)(1)(ii) and (iii) of this section must include—</P> <P>(i) The results of any program reviews and evaluations performed during the program year, and a description of how the SEA used the program reviews and evaluation process to make necessary changes to improve programs; and</P> <P>(ii) The comments and recommendations of the State advisory council, if a council has been established under § 461.50.</P> <P>(e) If an SEA has established a State advisory council, the SEA shall—</P> <P>(1) Obtain approval of the plan for program reviews and evaluation from the State advisory council; and<PRTPAGE P="132"/> </P> <P>(2) Inform the State advisory council of the results of program reviews and evaluations so that the State advisory council may perform its duties under section 332(f)(7) of the Act.</P> <NOTE> <HD SOURCE="HED">Note to</HD> <P>§ 461.46: In addition to the Adult Education State-administered Basic Grant Program in this part 461, State-administered adult education programs include the State-administered Workplace Literacy Program (See 34 CFR part 462) and the State-administered English Literacy Program (See 34 CFR part 463).</P> </NOTE> <APPRO>(Approved by the Office of Management and Budget under control number 1830-0501)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 1205a(f)(7) and 1207a)</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—What are the Administrative Responsibilities of a State?</HD> <SECTION> <SECTNO>§ 461.50</SECTNO> <SUBJECT>What are a State's responsibilities regarding a State advisory council on adult education and literacy?</SUBJECT> <P>(a) A State that receives funds under section 313 of the Act may—</P> <P>(1) Establish a State advisory council on adult education and literacy; or</P> <P>(2) Designate an existing body as the State advisory council.</P> <P>(b) If a State elects to establish or designate a State advisory council on adult education, the following provisions apply:</P> <P>(1) The State advisory council must comply with §§ 461.51 and 461.52.</P> <P>(2) Members to the State advisory council must be appointed by, and be responsible to, the Governor. The Governor shall appoint members in accordance with section 332(e) of the Act.</P> <P>(3) Costs incurred for a State advisory council that are paid for with funds under this part must be counted as part of the allowable State administrative costs under the Act.</P> <P>(4) The Governor of the State shall determine the amount of funding available to a State advisory council.</P> <P>(5) A State advisory council's staffing may include professional, technical, and clerical personnel as may be necessary to enable the council to carry out its functions under the Act.</P> <P>(6) Members of a State advisory council and its staff, while serving on the business of the council, may receive subsistence, travel allowances, and compensation in accordance with State law and regulations and State practices applicable to persons performing comparable duties and services.</P> <SECAUTH>(Authority: 20 U.S.C. 1205a(a)(1), (d)(1), (e))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 461.51</SECTNO> <SUBJECT>What are the membership requirements of a State advisory council?</SUBJECT> <P>(a)(1) The membership of a State advisory council must be broadly representative of citizens and groups within the State having an interest in adult education and literacy. The council must consist of—</P> <P>(i) Representatives of public education;</P> <P>(ii) Representatives of private and public sector employment;</P> <P>(iii) Representatives of recognized State labor organizations;</P> <P>(iv) Representatives of private literacy organizations, voluntary literacy organizations, and community-based literacy organizations;</P> <P>(v) The Governor of a State, or the designee of the Governor;</P> <P>(vi) Representatives of—</P> <P>(A) The SEA;</P> <P>(B) The State job training agency;</P> <P>(C) The State human services agency;</P> <P>(D) The State public assistance agency;</P> <P>(E) The State library program; and</P> <P>(F) The State economic development agency;</P> <P>(vii) Officers of the State government whose agencies provide funding for literacy services or who may be designated by the Governor or the Chairperson of the council to serve whenever matters within the jurisdiction of the agency headed by such an officer are to be considered by the council; and</P> <P>(viii) Classroom teachers who have demonstrated outstanding results in teaching children or adults to read.</P> <P>(2) The State shall ensure that there is appropriate representation on the State advisory council of—</P> <P>(i) Urban and rural areas;</P> <P>(ii) Women;</P> <P>(iii) Persons with disabilities; and</P> <P>(iv) Racial and ethnic minorities.</P> <P>(b)(1) A State shall certify to the Secretary the establishment of, and membership of, its State advisory council.<PRTPAGE P="133"/> </P> <P>(2) The certification must be submitted to the Secretary prior to the beginning of any program year in which the State desires to receive a grant under the Act.</P> <P>(c) Members must be appointed for fixed and staggered terms and may serve until their successors are appointed. Any vacancy in the membership of the council must be filled in the same manner as the original appointment. Any member of the council may be removed for cause in accordance with procedures established by the council.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1830-0501)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 1205a (a)(1), (b), (c), and (e))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 461.52</SECTNO> <SUBJECT>What are the responsibilities of a State advisory council?</SUBJECT> <P>(a) Subject to paragraphs (b) and (c) of this section, the State advisory council shall determine its own procedures, staffing needs (subject to funding levels authorized by the Governor of the State), and the number, time, place, and conduct of meetings.</P> <P>(b) The State advisory council shall meet at least four times each year. At least one of those meetings must provide an opportunity for the genral public to express views concerning adult education in the State.</P> <P>(c) One member more than one-half of the members on the council constitute a quorum for the purpose of transmitting recommendations and proposals to the Governor of the State, but a lesser number of members may constitute a quorum for other purposes.</P> <P>(d) A State advisory council shall—</P> <P>(1) Meet with the State agencies responsible for literacy training during the planning year to advise on the development of a State plan for literacy and for adult education that fulfills the literacy and adult educations needs of the State, especially with respect to the needs of the labor market, economic development goals, and the needs of the individuals in the State;</P> <P>(2) Advise the Governor, the SEA, and other State agencies concerning—</P> <P>(i) The development and implementation of measurable State literacy and adult education goals consistent with section 342(c)(2) of the Act, especially with respect to—</P> <P>(A) Improving levels of literacy in the State by ensuring that all appropriate State agencies have specific objectives and strategies for those goals in a comprehensive approach;</P> <P>(B) Improving literacy programs in the State; and</P> <P>(C) Fulfilling the long-term literacy goals of the State;</P> <P>(ii) The coordination and monitoring of State literacy training programs in order to progress toward the long-term literacy goals of the State;</P> <P>(iii) The improvement of the quality of literacy programs in the State by supporting the integration of services, staff training, and technology-based learning and the integration of resources of literacy programs conducted by various agencies of State government; and</P> <P>(iv) Private sector initiatives that would improve adult education programs and literacy programs, especially through public-private partnerships;</P> <P>(3) Review and comment on the plan submitted pursuant to section 356(h) of the Act and submit those comments to the Secretary;</P> <P>(4) Measure progress on meeting the goals and objectives established pursuant to paragraph (d)(2)(i) of this section;</P> <P>(5) Recommend model systems for implementing and coordinating State literacy programs for replication at the local level;</P> <P>(6) Develop reporting requirements, standards for outcomes, performance measures, and program effectiveness in State program that are consistent with those proposed by the Federal Interagency Task Force on Literacy; and</P> <P>(7)(i) Approve the plan for the program reviews and evaluations required in section 352 of the Act and § 461.46 and participate in implementing and disseminating the program reviews and evaluations. In approving the plan for the program reviews and evaluations, the State advisory council shall ensure that persons knowledgeable of the daily operation of adult education programs are involved;</P> <P>(ii) Advise the Governor, the State legislature, and the general public of <PRTPAGE P="134"/>the State with respect to the findings of the program reviews and evaluations; and</P> <P>(iii) Include in any reports of the program reviews and evaluations the council's comments and recommendations.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1830-0501)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 1205a (d) and (f), 1206a(a)(3)(B))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 461.53</SECTNO> <SUBJECT>May a State establish an advisory body other than a State advisory council?</SUBJECT> <P>(a) A State may establish an advisory body that is funded solely from non-Federal sources.</P> <P>(b) The advisory body described in paragraph (a) of this section is not required to comply with the requirements of section 332 of the Act and this part.</P> <P>(c) The non-Federal funds used to support the advisory body may not be included in the non-Federal share of expenditures described in § 461.41(c).</P> <SECAUTH>(Authority: 20 U.S.C. 1205a and 1209)</SECAUTH> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 464</EAR> <HD SOURCE="HED">PART 464—STATE LITERACY RESOURCE CENTERS PROGRAM</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>464.1</SECTNO> <SUBJECT>What is the State Literacy Resource Centers Program?</SUBJECT> <SECTNO>464.2</SECTNO> <SUBJECT>Who is eligible for a grant?</SUBJECT> <SECTNO>464.3</SECTNO> <SUBJECT>What kinds of activities may be assisted?</SUBJECT> <SECTNO>464.4</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <SECTNO>464.5</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—How Does a State Apply for a Grant?</HD> <SECTNO>464.10</SECTNO> <SUBJECT>How do States apply?</SUBJECT> <SECTNO>464.11</SECTNO> <SUBJECT>What must an application contain?</SUBJECT> <SECTNO>464.12</SECTNO> <SUBJECT>How may States agree to develop a regional center?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does the Secretary Make a Grant to a State?</HD> <SECTNO>464.20</SECTNO> <SUBJECT>What payment does the Secretary make?</SUBJECT> <SECTNO>464.21</SECTNO> <SUBJECT>May the Secretary require a State to participate in a regional center?</SUBJECT> <SECTNO>464.22</SECTNO> <SUBJECT>May a State participating in a regional center use part of its allotment for a State center?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—How Does a State Award Contracts?</HD> <SECTNO>464.30</SECTNO> <SUBJECT>With whom must a State contract to establish a State literacy resource center?</SUBJECT> <SECTNO>464.31</SECTNO> <SUBJECT>Who may not review a proposal for a contract?</SUBJECT> <SECTNO>464.32</SECTNO> <SUBJECT>How is a regional literacy resource center established and operated?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—What Post-Award Conditions Must Be Met by a State?</HD> <SECTNO>464.40</SECTNO> <SUBJECT>May a State use funds to establish a State advisory council?</SUBJECT> <SECTNO>464.41</SECTNO> <SUBJECT>What alternative uses may be made of equipment?</SUBJECT> <SECTNO>464.42</SECTNO> <SUBJECT>What limit applies to purchasing computer hardware and software?</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>20 U.S.C. 1208aa, unless otherwise noted.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>57 FR 24100, June 5, 1992, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 464.1</SECTNO> <SUBJECT>What is the State Literacy Resource Centers Program?</SUBJECT> <P>The State Literacy Resource Centers Program assists State and local public and private nonprofit efforts to eliminate illiteracy through a program of State literacy resource center grants to—</P> <P>(a) Stimulate the coordination of literacy services;</P> <P>(b) Enhance the capacity of State and local organizations to provide literacy services; and</P> <P>(c) Serve as a reciprocal link between the National Institute for Literacy and service providers for the purpose of sharing information, data, research, and expertise and literacy resources.</P> <SECAUTH>(Authority: 20 U.S.C. 1208aa(a))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 464.2</SECTNO> <SUBJECT>Who is eligible for a grant?</SUBJECT> <P>States are eligible to receive grants under this part.</P> <SECAUTH>(Authority: 20 U.S.C. 1208aa(c))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 464.3</SECTNO> <SUBJECT>What kinds of activities may be assisted?</SUBJECT> <P>(a) The Secretary makes grants under this part for purposes of establishing a network of State or regional adult literacy resource centers.<PRTPAGE P="135"/> </P> <P>(b) Each State shall use funds provided under this part to conduct activities to—</P> <P>(1) Improve and promote the diffusion and adoption of state-of-the-art teaching methods, technologies, and program evaluations;</P> <P>(2) Develop innovative approaches to the coordination of literacy services within and among States and with the Federal Government;</P> <P>(3) Assist public and private agencies in coordinating the delivery of literacy services;</P> <P>(4) Encourage government and industry partnerships, including partnerships with small businesses, private nonprofit organizations, and community-based organizations;</P> <P>(5) Encourage innovation and experimentation in literacy activities that will enhance the delivery of literacy services and address emerging problems;</P> <P>(6) Provide technical and policy assistance to State and local governments and service providers to improve literacy policy and programs and access to those programs;</P> <P>(7) Provide training and technical assistance to literacy instructors in reading instruction and in—</P> <P>(i) Selecting and making the most effective use of state-of-the-art methodologies, instructional materials, and technologies such as—</P> <P>(A) Computer-assisted instruction;</P> <P>(B) Video tapes;</P> <P>(C) Interactive systems; and</P> <P>(D) Data link systems; or</P> <P>(ii) Assessing learning style, screening for learning disabilities, and providing individualized remedial reading instruction; or</P> <P>(8) Encourage and facilitate the training of full-time professional adult educators.</P> <SECAUTH>(Authority: 20 U.S.C. 1208aa(b), (d))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 464.4</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <P>The following regulations apply to the State Literacy Resource Centers Program:</P> <P>(a) The regulations in this part 464.</P> <P>(b) The regulations in 34 CFR part 460.</P> <SECAUTH>(Authority: 20 U.S.C. 1208aa)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 464.5</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> <P>The definitions in 34 CFR part 460 apply to this part.</P> <SECAUTH>(Authority: 20 U.S.C. 1208aa)</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—How Does a State Apply for a Grant?</HD> <SECTION> <SECTNO>§ 464.10</SECTNO> <SUBJECT>How do States apply?</SUBJECT> <P>(a) The Governor of a State may submit an application to the Secretary for a grant for a State adult literacy resource center.</P> <P>(b) The Governors of a group of States may submit an application to the Secretary for a grant for a regional adult literacy resource center.</P> <P>(c) A State may apply for and receive both a grant for a State adult literacy resource center and, as part of a group of States, a grant for a regional adult literacy resource center.</P> <P>(d) If appropriate, a State shall obtain the review and comments of the State council on the application.</P> <P>(e) An approved application remains in effect during the period of the State plan under 34 CFR part 461.</P> <P>(f) Through a notice published in the <E T="04">Federal Register,</E> the Secretary sets an annual deadline before which a State may submit a new application or an amendment to its existing application.</P> <SECAUTH>(Authority: 20 U.S.C. 1208aa(h))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 464.11</SECTNO> <SUBJECT>What must an application contain?</SUBJECT> <P>An application must describe how the State or group of States will—</P> <P>(a) Develop a literacy resource center or expand an existing literacy resource center;</P> <P>(b) Provide services and activities with the assistance provided under this part;</P> <P>(c) Ensure access to services of the center for the maximum participation of all public and private programs and organizations providing or seeking to provide basic skills instruction, including local educational agencies, agencies responsible for corrections education, service delivery areas under the Job Training Partnership Act, welfare agencies, labor organizations, businesses, volunteer groups, and community-based organizations;<PRTPAGE P="136"/> </P> <P>(d) Address the measurable goals for improving literacy levels as set forth in the plan submitted under section 342 of the Act; and</P> <P>(e) Develop procedures for the coordination of literacy activities for statewide and local literacy efforts conducted by public and private organizations, and for enhancing the systems of service delivery.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1830-0501)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 1208aa(h))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 464.12</SECTNO> <SUBJECT>How may States agree to develop a regional center?</SUBJECT> <P>A group of States may enter into an interstate agreement to develop and operate a regional adult literacy resource center for purposes of receiving assistance under this part if the States determine that a regional approach is more appropriate for their situation.</P> <SECAUTH>(Authority: 20 U.S.C. 1208aa(j)(1))</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does the Secretary Make a Grant to a State?</HD> <SECTION> <SECTNO>§ 464.20</SECTNO> <SUBJECT>What payment does the Secretary make?</SUBJECT> <P>(a)(1) From sums available for purposes of making grants under this part for any fiscal year, the Secretary allots to each State, that has an application approved under §§ 464.10-464.11, an amount that bears the same ratio to those sums as the amount allotted to the State under section 313(b) of the Act for the purpose of making grants under section 321 of the Act bears to the aggregate amount allotted to all States under that section for that purpose.</P> <P>(2) In applying the formula in section 313(b) of the Act to calculate grants under this part, the Secretary counts the number of adults only in States that have approved applications under this part.</P> <P>(b)(1) The Secretary pays to each State the Federal share of the cost of activities described in the application.</P> <P>(2) For purposes of this section, the Federal share—</P> <P>(i) For each of the first two fiscal years in which the State receives funds under this part, may not exceed 80 percent;</P> <P>(ii) For each of the third and fourth fiscal years in which the State receives funds under this part, may not exceed 70 percent; and</P> <P>(iii) For the fifth and each succeeding year in which the State receives funds under this part, may not exceed 60 percent.</P> <P>(3) If a State receives funds under this part for participation in a regional center, the State is required to provide only 50 percent of the non-Federal share under paragraph (b)(2) of this section.</P> <P>(4) The non-Federal share of payments under this section may, in accordance with 34 CFR 80.24, be in cash or in kind, fairly evaluated, including plant, equipment, or services.</P> <SECAUTH>(Authority: 20 U.S.C. 1208aa(c)(1), (i), (j)(2))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 464.21</SECTNO> <SUBJECT>May the Secretary require a State to participate in a regional center?</SUBJECT> <P>(a) If, in any fiscal year, a State's allotment under this part is less than $100,000, the Secretary may designate that State to receive the funds only as part of a regional center.</P> <P>(b) Paragraph (a) of this section does not apply to a State—</P> <P>(1) That demonstrates, in its application to the Secretary, that the total amount of Federal, State, local, and private funds expended to carry out the purposes of this part would equal or exceed $100,000; or</P> <P>(2) That will use its funds to expand an existing State literacy resource center that meets the purposes of the Act and the requirements in this part.</P> <SECAUTH>(Authority: 20 U.S.C. 1208aa(j)(3), (4))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 464.22</SECTNO> <SUBJECT>May a State participating in a regional center use part of its allotment for a State center?</SUBJECT> <P>In any fiscal year in which § 464.20(b)(3) applies, the Secretary may allow certain States that receive funds as part of a regional center to reserve a portion of those funds for a State adult literacy resource center under this part.</P> <SECAUTH>(Authority: 20 U.S.C. 1208aa(j)(5))</SECAUTH> </SECTION> </SUBPART> <SUBPART> <PRTPAGE P="137"/> <HD SOURCE="HED">Subpart D—How Does a State Award Contracts?</HD> <SECTION> <SECTNO>§ 464.30</SECTNO> <SUBJECT>With whom must a State contract to establish a State literacy resource center?</SUBJECT> <P>(a) To establish a new State literacy resource center, the Governor of each State that receives funds under this part shall contract on a competitive basis with—</P> <P>(1) The SEA;</P> <P>(2) One or more local educational agencies;</P> <P>(3) A State office on literacy;</P> <P>(4) A volunteer organization;</P> <P>(5) A community-based organization;</P> <P>(6) An institution of higher education; or</P> <P>(7) Another non-profit entity.</P> <P>(b) Paragraph (a) of this section does not apply to funds under this part that a State uses to expand an existing State literacy resource center.</P> <SECAUTH>(Authority: 20 U.S.C. 1208aa(c)(2))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 464.31</SECTNO> <SUBJECT>Who may not review a proposal for a contract?</SUBJECT> <P>A party participating in a competition under § 464.30 may not review its own proposal for a contract or any proposal of a competitor for that contract.</P> <SECAUTH>(Authority: 20 U.S.C. 1208aa(c)(2))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 464.32</SECTNO> <SUBJECT>How is a regional literacy resource center established and operated?</SUBJECT> <P>(a) The States that participate in a regional literacy resource center shall agree on how the center is to be established and operated.</P> <P>(b) Subject to the requirements of the Act and the regulations in this part, the States have discretion to determine how to establish and operate the regional center.</P> <SECAUTH>(Authority: 20 U.S.C. 1208aa (h) and (j))</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—What Post-Award Conditions Must Be Met by a State?</HD> <SECTION> <SECTNO>§ 464.40</SECTNO> <SUBJECT>May a State use funds to establish a State advisory council?</SUBJECT> <P>(a) Each State receiving funds under this part may use up to five percent of those funds—</P> <P>(1) To establish and support a State advisory council on adult education and literacy under section 332 of the Act and 34 CFR 461.50-461.52; or</P> <P>(2) To support an established State council to the extent that the State council meets the requirements of section 332 of the Act and 34 CFR 461.50-461.52.</P> <P>(b) Each State receiving funds under this section to establish or support a State council under section 332 of the Act shall provide matching funds on a dollar-for-dollar basis.</P> <SECAUTH>(Authority: 20 U.S.C. 1208aa(g))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 464.41</SECTNO> <SUBJECT>What alternative uses may be made of equipment?</SUBJECT> <P>Equipment purchased under this part, when not being used to carry out the provisions of this part, may be used for other instructional purposes if—</P> <P>(a) The acquisition of the equipment was reasonable and necessary for the purpose of conducting a properly designed project or activity under this part;</P> <P>(b) The equipment is used after regular program hours or on weekends; and</P> <P>(c) The other use is—</P> <P>(1) Incidental to the use of the equipment under this part;</P> <P>(2) Does not interfere with the use of the equipment under this part; and</P> <P>(3) Does not add to the cost of using the equipment under this part.</P> <SECAUTH>(Authority: 20 U.S.C. 1208aa(e))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 464.42</SECTNO> <SUBJECT>What limit applies to purchasing computer hardware and software?</SUBJECT> <P>Not more than ten percent of funds received under any grant under this part may be used to purchase computer hardware or software.</P> <SECAUTH>(Authority: 20 U.S.C. 1208aa(f))</SECAUTH> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 472</EAR> <HD SOURCE="HED">PART 472—NATIONAL WORKPLACE LITERACY PROGRAM</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>472.1</SECTNO> <SUBJECT>What is the National Workplace Literacy Program?</SUBJECT> <SECTNO>472.2</SECTNO> <SUBJECT>Who is eligible for an award?</SUBJECT> <SECTNO>472.3</SECTNO> <SUBJECT>What activities may the Secretary fund?<PRTPAGE P="138"/> </SUBJECT> <SECTNO>472.4</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <SECTNO>472.5</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> </SUBPART> <SUBPART> <RESERVED>Subpart B [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does the Secretary Make an Award?</HD> <SECTNO>472.20</SECTNO> <SUBJECT>What priorities may the Secretary establish?</SUBJECT> <SECTNO>472.21</SECTNO> <SUBJECT>How does the Secretary evaluate an application?</SUBJECT> <SECTNO>472.22</SECTNO> <SUBJECT>What selection criteria does the Secretary use?</SUBJECT> <SECTNO>472.23</SECTNO> <SUBJECT>What additional factor does the Secretary consider?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—What Conditions Must be Met After an Award?</HD> <SECTNO>472.30</SECTNO> <SUBJECT>What are the reporting requirements?</SUBJECT> <SECTNO>472.31</SECTNO> <SUBJECT>What are the evaluation requirements?</SUBJECT> <SECTNO>472.32</SECTNO> <SUBJECT>What other requirements must be met under this program?</SUBJECT> <SECTNO>472.33</SECTNO> <SUBJECT>How must projects that serve adults with limited English proficiency provide for the needs of those adults?</SUBJECT> <SECTNO>472.34</SECTNO> <SUBJECT>Under what circumstances may a project continue if a partner withdraws?</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>20 U.S.C. 1211(a), unless otherwise noted.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>54 FR 34418, Aug. 18, 1989, unless otherwise noted. Redesignated at 57 FR 24091, June 5, 1992.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 472.1</SECTNO> <SUBJECT>What is the National Workplace Literacy Program?</SUBJECT> <P>The National Workplace Literacy Program provides assistance for demonstration projects that teach literacy skills needed in the workplace through exemplary education partnerships between business, industry, or labor organizations and educational organizations.</P> <SECAUTH>(Authority: 20 U.S.C. 1211(a)(1))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 472.2</SECTNO> <SUBJECT>Who is eligible for an award?</SUBJECT> <P>(a) Awards are provided to exemplary partnerships between—</P> <P>(1) A business, industry, or labor organization, or private industry council; and</P> <P>(2) A State educational agency (SEA), local educational agency (LEA), institution of higher education, or school (including an area vocational school, an employment and training agency, or a community-based organization).</P> <P>(b) A partnership shall include as partners at least one entity from paragraph (a)(1) of this section and at least one entity from paragraph (a)(2) of this section, and may include more than one entity from each group.</P> <P>(c)(1) The partners shall apply jointly to the Secretary for funds.</P> <P>(2) The partners shall enter into an agreement, in the form of a single document signed by all partners, designating one member of the partnership as the applicant and the grantee. The agreement must also detail the role each partner plans to perform, and must bind each partner to every statement and assurance made in the application.</P> <SECAUTH>(Authority: 20 U.S.C. 1211(a)(4)(A))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 472.3</SECTNO> <SUBJECT>What activities may the Secretary fund?</SUBJECT> <P>The Secretary provides grants or cooperative agreements to projects designed to improve the productivity of the workforce through improvement of literacy skills in the workplace by—</P> <P>(a) Providing adult literacy and other basic skills services and activities;</P> <P>(b) Providing adult secondary education services and activities that may lead to the completion of a high school diploma or its equivalent;</P> <P>(c) Meeting the literacy needs of adults with limited English proficiency;</P> <P>(d) Upgrading or updating basic skills of adult workers in accordance with changes in workplace requirements, technology, products, or processes;</P> <P>(e) Improving the competency of adult workers in speaking, listening, reasoning, and problem solving; or</P> <P>(f) Providing educational counseling, transportation, and child care services for adult workers during nonworking hours while the workers participate in the project.</P> <SECAUTH>(Authority: 20 U.S.C. 1211(a)(3))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 472.4</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <P>The following regulations apply to the National Workplace Literacy Program:</P> <P>(a) The regulations in this part 472.<PRTPAGE P="139"/> </P> <P>(b) The regulations in 34 CFR part 425.</P> <SECAUTH>(Authority: 20 U.S.C. 1211(a))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 472.5</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> <P>(a) The definitions in 34 CFR 460.4 apply to this part.</P> <P>(b) The following definitions also apply to this part:</P> <P> <E T="03">Adult worker</E> means an individual who has attained 16 years of age or who is beyond the age of compulsory school attendance under State law, and whose receipt of project services is expected to result in new employment, enhanced skills related to continued employment, career advancement, or increased productivity.</P> <P> <E T="03">Area vocational school</E> means—</P> <P>(1) A specialized high school used exclusively or principally for the provision of vocational education to individuals who are available for study in preparation for entering the labor market;</P> <P>(2) The department of a high school exclusively or principally used for providing vocational education in no less than five different occupational fields to individuals who are available for study in preparation for entering the labor market;</P> <P>(3) A technical institute or vocational school used exclusively or principally for the provision of vocational education to individuals who have completed or left high school and who are available for study in preparation for entering the labor market; or</P> <P>(4) The department or division of a junior college or community college or university operating under the policies of the State board and that provides vocational education in no less than five different occupational fields leading to immediate employment but not necessarily leading to a baccalaureate degree, if, in the case of a school, department, or division described in paragraphs (3) and (4) of this definition it admits as regular students both individuals who have completed high school and individuals who have left high school.</P> <SECAUTH>(Authority: 20 U.S.C. 2471)</SECAUTH> <P> <E T="03">Business and industry organizations</E> include, but are not limited to—</P> <P>(1) For-profit businesses or industrial concerns;</P> <P>(2) Nonprofit businesses or industrial concerns, such as hospitals and nursing homes;</P> <P>(3) Associations of business and industry organizations, such as local or State Chambers of Commerce;</P> <P>(4) Associations of private industry councils; and</P> <P>(5) Educational associations—such as the American Association for Adult and Continuing Education, the American Council on Education, the National Association for Bilingual Education, the National Association of Independent Colleges and Universities, or the National Association of Technical and Trade Schools.</P> <P> <E T="03">Contractor</E> means an individual or organization other than a partner that provides specific and limited services, equipment, or supplies to a partnership under a contractual agreement.</P> <P> <E T="03">Employment and training agency</E> includes any nonprofit agency that provides—as a substantial portion of its activity—employment and training services, either directly or through contract.</P> <P> <E T="03">Helping organization</E> means an entity other than a partner that voluntarily assists a partnership by providing services, technical assistance, or cash or in-kind contributions to the project. Helping organizations may not be recipients of funds from partners or serve as contractors.</P> <P> <E T="03">Partner</E> means an entity included in the list of entities in § 472.2(a) (1) or (2).</P> <P> <E T="03">Private industry council</E> means the private industry council established under section 102 of the Job Training Partnership Act (29 U.S.C. 1512).</P> <P> <E T="03">Project director</E> means the person with day-to-day operational responsibility for the project.</P> <P> <E T="03">Site</E> means an entity other than a partner that participates in a project by providing adult workers to be trained and, at the site's option, space for this training. A site may not be a recipient of funds from partners or serve as a contractor.</P> <P> <E T="03">Small business</E> means a business entity that—</P> <P>(1) Is organized for profit, with a place of business located in the United States and that makes a significant <PRTPAGE P="140"/>contribution to the U.S. economy through payment of taxes or use of American products, materials, or labor, or both; and</P> <P>(2) May be in the legal form of an individual proprietorship, partnership, corporation, joint venture, association, trust or a cooperative, except that if the form is a joint venture, there can be no more than 49 percent participation by foreign business entities in the joint venture; and</P> <P>(3) Meets the requirements found in 13 CFR part 121 concerning Standard Industrial Classification codes and size standards.</P> <SECAUTH>(Authority: 20 U.S.C. 1211(a))</SECAUTH> <CITA>[54 FR 34418, Aug. 18, 1989. Redesignated at 57 FR 24091, June 5, 1992, and amended at 59 FR 1443, Jan. 10, 1994]</CITA> </SECTION> </SUBPART> <SUBPART> <RESERVED>Subpart B [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does the Secretary Make an Award?</HD> <SECTION> <SECTNO>§ 472.20</SECTNO> <SUBJECT>What priorities may the Secretary establish?</SUBJECT> <P>(a) The Secretary may announce through one or more notices published in the <E T="04">Federal Register</E> the priorities for this program, if any, from the types of projects described in paragraph (b) of this section.</P> <P>(b) Priority may be given to projects training adult workers who have inadequate basic skills and who—</P> <P>(1) Are currently unable to perform their jobs effectively or are ineligible for career advancement due to an identified lack of basic skills;</P> <P>(2) Are employed in industries retooling with high technology and for whom training in basic skills is expected to result in continued employment;</P> <P>(3) Require training in English-as-a-second-language in order to increase productivity, to continue employment, or to be eligible for career advancement; or</P> <P>(4) Are employed in an industry adversely impacted by competitiveness in the world economy and for whom training is expected to result in the increased competitiveness of that industry in world markets.</P> <SECAUTH>(Authority: 20 U.S.C. 1211(a))</SECAUTH> <CITA>[54 FR 34418, Aug. 18, 1989. Redesignated and amended at 57 FR 24091, 24102, June 5, 1992; 59 FR 1443, Jan. 10, 1994]</CITA> </SECTION> <SECTION> <SECTNO>§ 472.21</SECTNO> <SUBJECT>How does the Secretary evaluate an application?</SUBJECT> <P>(a) The Secretary evaluates an application on the basis of the criteria in § 472.22.</P> <P>(b) The Secretary may award up to 100 points, including a reserved 10 points to be distributed in accordance with paragraph (d) of this section, based on the criteria in § 472.22.</P> <P>(c) Subject to paragraph (d) of this section, the maximum possible score for each criterion is indicated in parentheses.</P> <P>(d) For each competition as announced through a notice published in the <E T="04">Federal Register,</E> the Secretary may assign the reserved points among the criteria in § 472.22.</P> <P>(e) In addition to the points to be awarded based on the criteria in § 472.22, the Secretary awards five points to applications from partnerships that include as a partner a small business that has signed the partnership agreement.</P> <SECAUTH>(Authority: 20 U.S.C. 1211(a))</SECAUTH> <CITA>[54 FR 34418, Aug. 18, 1989. Redesignated at 57 FR 24091, June 5, 1992, and amended at 59 FR 1443, Jan. 10, 1994]</CITA> </SECTION> <SECTION> <SECTNO>§ 472.22</SECTNO> <SUBJECT>What selection criteria does the Secretary use?</SUBJECT> <P>The Secretary uses the following criteria to evaluate an application:</P> <P>(a) <E T="03">Program factors.</E> (15 points) The Secretary reviews each application to determine the extent to which the project—</P> <P>(1) Demonstrates a strong relationship between skills taught and the literacy requirements of actual jobs, especially the increased skill requirements of the changing workplace;</P> <P>(2) Is targeted to adults with inadequate skills for whom the training described is expected to mean new employment, continued employment, career advancement, or increased productivity;<PRTPAGE P="141"/> </P> <P>(3) Includes support services, based on cooperative relationships within the partnership and from helping organizations, necessary to reduce barriers to participation by adult workers. Support services could include educational counseling, transportation, and child care during non-working hours while adult workers are participating in a project;</P> <P>(4) Demonstrates the active commitment of all partners to accomplishing project goals; and</P> <P>(5) Focuses on improving performance in jobs or job functions that have a broad representation within the Nation's workforce so that the products can be adapted for use by similar workplaces across the Nation.</P> <P>(b) <E T="03">Extent of need for the project.</E> (10 points) (1) The extent to which the project will focus on demonstrated needs for workplace literacy training of adult workers;</P> <P>(2) The adequacy of the applicant's documentation of the needs to be addressed by the project;</P> <P>(3) How those needs will be met by the project; and</P> <P>(4) The benefits to adult workers and their industries that will result from meeting those needs.</P> <P>(c) <E T="03">Quality of training.</E> (15 points) The Secretary reviews each application to determine the quality of the training to be provided by the project, including the extent to which the project will—</P> <P>(1) Develop or use curriculum materials for adults based on literacy skills needed in the workplace;</P> <P>(2) Use individualized educational plans developed jointly by instructors and adult learners;</P> <P>(3) Take place in a readily accessible environment conducive to adult learning;</P> <P>(4) Provide training through the partner classified under § 472.2(a)(2), unless transferring this activity to the partner classified under § 472.2(a)(1) is necessary and reasonable within the framework of the project; and</P> <P>(5) Provide, and document for others, a program of training for staff including, but not limited to, techniques of curriculum development and special methods of teaching that are appropriate for workplace environments.</P> <P>(d) <E T="03">Plan of operation.</E> (15 points) (1) The quality of the project design, especially the establishment of measurable objectives for the project that are based on the project's overall goals;</P> <P>(2) The extent to which the plan of management is effective and ensures proper and efficient administration of the project, and includes—</P> <P>(i) A description of the respective roles of each member of the partnership in carrying out the plan;</P> <P>(ii) A description of the activities to be carried out by any contractors under the plan;</P> <P>(iii) A description of the respective roles, including any cash or in-kind contributions, of helping organizations;</P> <P>(iv) A description of the respective roles of any sites; and</P> <P>(v) A realistic time table for accomplishing project objectives;</P> <P>(3) How well the objectives of the project relate to the purposes of the program;</P> <P>(4) The quality of the applicant's plan to use its resources and personnel to achieve each objective; and</P> <P>(5) How the applicant will ensure that project participants, who are otherwise eligible to participate, are selected without regard to race, color, national origin, gender, age, or handicapping condition.</P> <P>(e) <E T="03">Applicant's experience and quality of key personnel.</E> (8 points) (1) The Secretary reviews each application to determine the extent of the applicant's experience in providing literacy services to working adults.</P> <P>(2) The Secretary reviews each application to determine the quality of key personnel the applicant plans to use on the project including—</P> <P>(i) The qualifications, in relation to project requirements, of the project director;</P> <P>(ii) The qualifications, in relation to project requirements, of each of the other key personnel to be used in the project;</P> <P>(iii) The time that each person referred to in paragraphs (e)(2) (i) and (ii) of this section will commit to the project; and</P> <P>(iv) How the applicant, as part of its nondiscriminatory employment practices, will ensure that its personnel are <PRTPAGE P="142"/>selected for employment without regard to race, color, national origin, gender, age, or handicapping condition.</P> <P>(3) To determine personnel qualifications under paragraphs (e)(2) (i) and (ii) of this section, the Secretary considers—</P> <P>(i) Experience and training in fields related to the objectives of the project;</P> <P>(ii) Experience and training in project management; and</P> <P>(iii) Any other qualifications that pertain to the quality of the project.</P> <P>(f) <E T="03">Evaluation plan.</E> (10 points) The Secretary reviews each application to determine the quality of the plan for an independent evaluation of the project, including the extent to which the applicant's methods of evaluation—</P> <P>(1) Are clearly explained and appropriate to the project;</P> <P>(2) To the extent possible, are objective and produce data that are quantifiable;</P> <P>(3) Identify expected outcomes of the participants and how those outcomes will be measured;</P> <P>(4) Include evaluation of effects on job advancement, job performance (including, for example, such elements as productivity, safety and attendance), and job retention;</P> <P>(5) Are systematic throughout the project period and provide data that can be used by the project on an ongoing basis for program improvement; and</P> <P>(6) Will yield results that can be summarized and submitted to the Secretary for review by the Department's Program Effectiveness Panel.</P> <NOTE> <HD SOURCE="HED">Note to § 472.22(f)(6):</HD> <P>The Program Effectiveness Panel (PEP) is a mechanism the Department has developed for validating the effectiveness of educational programs developed by schools, universities, and other agencies. The PEP is composed of experts in the evaluation of educational programs and in other areas of education, at least two-thirds of whom are non-Federal employees who are appointed by the Secretary. Regulations governing the PEP are codified in 34 CFR parts 785-789. Specific criteria for PEP review are found in 34 CFR 786.12 or 787.12.</P> </NOTE> <P>(g) <E T="03">Budget and cost-effectiveness.</E> (7 points)</P> <P>(1) The budget is adequate to support the project;</P> <P>(2) Costs are reasonable and necessary in relation to the objectives of the project; and</P> <P>(3) The applicant has minimized the purchase of equipment and supplies in order to devote a maximum amount of resources to instructional services.</P> <P>(h) <E T="03">Demonstration.</E> (5 points) The Secretary reviews each application to determine the quality of the applicant's plan, during the grant period, to disseminate the results of the project, including—</P> <P>(1) Demonstrating promising practices used by the project to others interested in implementing these techniques;</P> <P>(2) Conducting workshops or delivering papers at national conferences or professional meetings; and</P> <P>(3) Making available material that will help others implement promising practices developed in the project.</P> <P>(i) <E T="03">Commitment.</E> (5 points) The Secretary reviews each application to determine the quality of the applicant's plan to institutionalize learning in the workplace based on promising practices demonstrated in the project. In making this determination, the Secretary considers—</P> <P>(1) The general, but realistic, forecast of literacy needs of members of the partnership and the capacity of the partners;</P> <P>(2) Activities that will increase, during the grant period, the capacity of partners to provide a coherent program of learning in the workplace; and</P> <P>(3) Activities that will lead to the continued provision or expansion of work-based literacy services built on successful outcomes of the project. For example, the partners could—</P> <P>(A) Integrate workplace literacy services into the long-term planning of partner organizations;</P> <P>(B) Create and implement policies and practices that encourage worker participation in workplace literacy and other education and training opportunities;</P> <P>(C) Provide training that will enable partners to build a capacity to furnish necessary workplace literacy services in the future;</P> <P>(D) Establish relationships within the partnership or with other entities that will continue provision of necessary workplace literacy services after the project ends; or<PRTPAGE P="143"/> </P> <P>(E) Plan, after the project has ended, to expand services to other locations, divisions, or suppliers of the business or industry partners or labor organizations.</P> <APPRO>(Approved by the Office of Management and Budget under control numbers 1830-0507 and 1830-0521)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 1211(a))</SECAUTH> <CITA>[54 FR 34418, Aug. 18, 1989. Redesignated at 57 FR 24091, June 5, 1992, and amended at 59 FR 1443, Jan. 10, 1994]</CITA> </SECTION> <SECTION> <SECTNO>§ 472.23</SECTNO> <SUBJECT>What additional factor does the Secretary consider?</SUBJECT> <P>In addition to the criteria in § 472.22, the Secretary may consider whether funding a particular applicant would improve the geographical distribution of projects funded under this program.</P> <SECAUTH>(Authority: 20 U.S.C. 1211(a))</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—What Conditions Must Be Met After an Award?</HD> <SECTION> <SECTNO>§ 472.30</SECTNO> <SUBJECT>What are the reporting requirements?</SUBJECT> <P>(a) A recipient of a grant or cooperative agreement under this program shall submit to the Secretary performance and financial reports.</P> <P>(b) These reports must be submitted at times required by the Secretary and at least semi-annually.</P> <P>(c) These reports must contain information required by the Secretary.</P> <SECAUTH>(Authority: 20 U.S.C. 1211(a))</SECAUTH> <CITA>[59 FR 1444, Jan. 10, 1994]</CITA> </SECTION> <SECTION> <SECTNO>§ 472.31</SECTNO> <SUBJECT>What are the evaluation requirements?</SUBJECT> <P>(a) Each recipient of a grant or cooperative agreement under this program shall provide and budget for an independent evaluation of project activities.</P> <P>(b) The evaluation must be both formative and summative in nature.</P> <P>(c) The evaluation must be based on student learning gains and the effects on job advancement, job performance (including, for example, such elements as productivity, safety, and attendance), and project and product spread and transportability.</P> <P>(d) A proposed project evaluation design for the entire project period, expanding on the plans outlined in the application pursuant to § 472.22(f), must be submitted to the Secretary for review and approval prior to the end of the first year of the project period.</P> <P>(e) A summary of evaluation activities and results that can be reviewed by the Department's Program Effectiveness Panel, as described in 34 CFR parts 785-789, must be submitted to the Secretary during the last year of the project period.</P> <P>(f) If a grantee cooperates in a Federal evaluation of its project, the Secretary may determine that the grantee fully or partially meets the evaluation requirements of this section and the reporting requirements in § 472.30. </P> <NOTE> <HD SOURCE="HED">Note to § 472.31:</HD> <P>As used in § 472.31(c)—</P> <P>“<E T="03">Spread</E>” means the degree to which—</P> <P>(1) Project activities and results are demonstrated to others;</P> <P>(2) Technical assistance is provided to others to help them replicate project activities and results;</P> <P>(3) Project activities and results are replicated at other sites; or</P> <P>(4) Information and material about or resulting from the project are disseminated; and</P> <P>“<E T="03">Transportability</E>” means the ease by which project activities and results may be replicated at other sites, such as through the development and use of guides or manuals that provide step-by-step directions for others to follow in order to initiate similar efforts and reproduce comparable results.</P> </NOTE> <APPRO>(Approved by Office of Management and Budget under OMB control number 1830-0522)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 1211(a))</SECAUTH> <CITA>[59 FR 1444, Jan. 10, 1994]</CITA> </SECTION> <SECTION> <SECTNO>§ 472.32</SECTNO> <SUBJECT>What other requirements must be met under this program?</SUBJECT> <P>(a) An applicant shall use funds to supplement and not supplant funds otherwise available for the purposes of this program.</P> <P>(b)(1) The project period may include a start-up period, not to exceed six months, during which the project is being established and prior to the time services are provided to adult workers.</P> <P>(2) Applicants shall minimize the start-up period, if any, proposed for their projects.</P> <P>(c) [Reserved]</P> <P>(d) An award under this program may be used to pay—<PRTPAGE P="144"/> </P> <P>(1) 100 percent of the administrative costs incurred in establishing a project during the start-up period described in paragraph (b) of this section by an SEA, LEA, or other entity described in § 472.2(a), that receives a grant under this part; and</P> <P>(2) 70 percent of the costs of a project after the start-up period.</P> <P>(e) Each recipient of an award under this program shall provide for a project director.</P> <SECAUTH>(Authority: 20 U.S.C. 1211(a)(2) and (4)(E))</SECAUTH> <CITA>[54 FR 34418, Aug. 18, 1989. Redesignated and amended at 57 FR 24091, 24102, June 5, 1992. Redesignated and amended at 59 FR 1444, 1445, Jan. 10, 1994]</CITA> </SECTION> <SECTION> <SECTNO>§ 472.33</SECTNO> <SUBJECT>How must projects that serve adults with limited English proficiency provide for the needs of those adults?</SUBJECT> <P>(a) Projects serving adults with limited English proficiency or no English proficiency shall provide for the needs of these adults by teaching literacy skills needed in the workplace.</P> <P>(b) Projects may teach workplace literacy skills—</P> <P>(1) To the extent necessary, in the native language of these adults; or</P> <P>(2) Exclusively in English.</P> <P>(c) Projects must be carried out in coordination with programs assisted under the Bilingual Education Act and with bilingual vocational education programs under the Carl D. Perkins Vocational Education Act.</P> <SECAUTH>(Authority: 20 U.S.C. 1206a(d) and 1211(a))</SECAUTH> <CITA>[54 FR 34418, Aug. 18, 1989. Redesignated at 59 FR 1444, Jan. 10, 1994]</CITA> </SECTION> <SECTION> <SECTNO>§ 472.34</SECTNO> <SUBJECT>Under what circumstances may a project continue if a partner withdraws?</SUBJECT> <P>(a) A project may continue despite the withdrawal of a partner that is unable to perform its role as outlined in the grant award document if all of the following conditions are met:</P> <P>(1) Written approval is given by the Secretary.</P> <P>(2) The partnership continues to meet the requirements in § 472.2(b).</P> <P>(3) The partnership will be able to complete the remainder of the project.</P> <P>(4) The partner's withdrawal will not cause a change in the scope or objectives of the grant or cooperative agreement.</P> <P>(b) In determining that the condition in paragraph (a)(4) of this section is satisfied, the Secretary considers such factors as whether—</P> <P>(1) A similar new partner will sign the partnership agreement and agree to carry out the role of the withdrawing partner as described in the grant agreement;</P> <P>(2) One or more of the remaining partners will agree to carry out the role of the withdrawing partner as described in the grant agreement; or</P> <P>(3) One or more of the remaining partners will expand its activities as approved under the grant in order to compensate for the activities that would have been carried out under the grant agreement by the partner that is withdrawing without a change in the project's scope or objectives.</P> <SECAUTH>(Authority: 20 U.S.C. 1211(a))</SECAUTH> <CITA>[59 FR 1445, Jan. 10, 1994]</CITA> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 477</EAR> <HD SOURCE="HED">PART 477—STATE PROGRAM ANALYSIS ASSISTANCE AND POLICY STUDIES PROGRAM</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>477.1</SECTNO> <SUBJECT>What is the State Program Analsyis Assistance and Policy Studies Program?</SUBJECT> <SECTNO>477.2</SECTNO> <SUBJECT>Who is eligible for an award?</SUBJECT> <SECTNO>477.3</SECTNO> <SUBJECT>What activities may the Secretary fund?</SUBJECT> <SECTNO>477.4</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <SECTNO>477.5</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> </SUBPART> <SUBPART> <RESERVED>Subpart B [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does the Secretary Make an Award?</HD> <SECTNO>477.20</SECTNO> <SUBJECT>How does the Secretary evaluate an application?</SUBJECT> <SECTNO>477.21</SECTNO> <SUBJECT>What selection criteria does the Secretary use?</SUBJECT> <SECTNO>477.22</SECTNO> <SUBJECT>What additional factors does the Secretary consider?</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>20 U.S.C. 1213b(a), unless otherwise noted.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>54 FR 34428, Aug. 18, 1989, unless otherwise noted. Redesignated at 57 FR 24091, June 5, 1992.</P> </SOURCE> <SUBPART> <PRTPAGE P="145"/> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 477.1</SECTNO> <SUBJECT>What is the State Program Analysis Assistance and Policy Studies Program?</SUBJECT> <P>The State Program Analysis Assistance and Policy Studies Program assists States in evaluating the status and progress of adult education in achieving the purposes of the Act.</P> <SECAUTH>(Authority: 20 U.S.C. 1213b(a))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 477.2</SECTNO> <SUBJECT>Who is eligible for an award?</SUBJECT> <P>(a) Public or private nonprofit agencies, organizations, or institutions are eligible for a grant or cooperative agreement under this program.</P> <P>(b) Business concerns or public or private nonprofit agencies, organizations, or institutions are eligible for a contract under this program.</P> <SECAUTH>(Authority: 20 U.S.C. 1213b(a))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 477.3</SECTNO> <SUBJECT>What activities may the Secretary fund?</SUBJECT> <P>The Secretary may support the following directly or through awards:</P> <P>(a) An analysis of State plans and of the findings of evaluations conducted in accordance with section 352 of the Act, with suggestions to State educational agencies for improvements in planning or program operation.</P> <P>(b) The provision of an information network (in conjunction with the National Diffusion Network) on the results of research in adult education, the operation of model or innovative programs (including efforts to continue activities and services under the program after Federal funding has been discontinued), successful experiences in the planning, administration, and conduct of adult education programs, advances in curriculum and instructional practices, and other information useful in the improvement of adult education.</P> <P>(c) Any other activities, including national policy studies, which the Secretary may designate, that assist States in evaluating the status and progress of adult education in achieving the purposes of the Act.</P> <SECAUTH>(Authority: 20 U.S.C. 1213b(a))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 477.4</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <P>The following regulations apply to the State Program Analysis Assistance and Policy Studies Program:</P> <P>(a) The Federal Acquisition Regulation (FAR) in 48 CFR chapter 1 and the Department of Education Acquisition Regulation (EDAR) in 48 CFR chapter 34 (applicable to contracts).</P> <P>(b) The regulations in this part 477.</P> <P>(c) The regulations in 34 CFR part 425.</P> <SECAUTH>(Authority: 20 U.S.C. 1213b(a))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 477.5</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> <P>The definitions in 34 CFR 425.4 apply to this part.</P> <SECAUTH>(Authority: 20 U.S.C. 1213b(a))</SECAUTH> </SECTION> </SUBPART> <SUBPART> <RESERVED>Subpart B [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does the Secretary Make an Award?</HD> <SECTION> <SECTNO>§ 477.20</SECTNO> <SUBJECT>How does the Secretary evaluate an application?</SUBJECT> <P>(a) The Secretary evaluates an application for a grant or cooperative agreement on the basis of the criteria in § 477.21.</P> <P>(b) The Secretary may award up to 100 points, including a reserved 15 points to be distributed in accordance with paragraph (d) of this section, based on the criteria in § 477.21.</P> <P>(c) Subject to paragraph (d) of this section, the maximum possible score for each criterion is indicated in parentheses.</P> <P>(d) For each competition as announced through a notice published in the <E T="04">Federal Register,</E> the Secretary may assign the reserved points among the criteria in § 477.21.</P> <SECAUTH>(Authority: 20 U.S.C. 1213b(a))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 477.21</SECTNO> <SUBJECT>What selection criteria does the Secretary use?</SUBJECT> <P>The Secretary uses the following criteria to evaluate an application:</P> <P>(a) <E T="03">Program factors.</E> (10 points) The Secretary reviews each application to determine how well the objectives of the proposed project will assist States in evaluating the status and progress of their adult education programs.<PRTPAGE P="146"/> </P> <P>(b) <E T="03">Extent of need for the project.</E> (10 points) The Secretary reviews each application to determine the extent to which the proposed project meets specific needs, including consideration of—</P> <P>(1) The needs addressed by the project;</P> <P>(2) How the applicant identified those needs;</P> <P>(3) How those needs relate to project objectives; and</P> <P>(4) The benefits to be gained by meeting those needs.</P> <P>(c) <E T="03">Plan of operation.</E> (20 points) The Secretary reviews each aplication to determine the quality of the plan of operation for the proposed project, including—</P> <P>(1) The quality of the design of the project;</P> <P>(2) The extent to which the plan of management is effective and ensures proper and efficient administration of the project;</P> <P>(3) How well the objectives of the project relate to the purpose of the program; and</P> <P>(4) The quality of the applicant's plan to use its resources and personnel to achieve each objective.</P> <P>(d) <E T="03">Quality of key personnel.</E> (15 points) (1) The Secretary reviews each application to determine the quality of key personnel the applicant plans to use on the proposed project, including—</P> <P>(i) The qualifications and experience of the project director, if one is to be used;</P> <P>(ii) The qualifications and experience of each of the other key personnel to be used on the project;</P> <P>(iii) The time that each person referred to in paragraphs (d)(1)(i) and (ii) of this section will commit to the project; and</P> <P>(iv) How the applicant, as part of its nondiscriminatory employment practices, will ensure that its personnel are selected for employment without regard to race, color, national origin, gender, age, or handicapping condition.</P> <P>(2) To determine personnel qualifications under paragraphs (d)(1)(i) and (ii) of this section, the Secretary considers—</P> <P>(i) Experience and training in fields related to the objectives of the project;</P> <P>(ii) Experience and training in project management; and</P> <P>(iii) Any other qualifications that pertain to the quality of the project.</P> <P>(e) <E T="03">Budget and cost effectiveness.</E> (5 points) The Secretary reviews each application to determine the extent to which—</P> <P>(1) The budget is adequate to support the proposed project activities; and</P> <P>(2) Costs are necessary and reasonable in relation to the objectives of the project.</P> <P>(f) <E T="03">Evaluation plan.</E> (10 points) The Secretary reviews each application to determine the quality of the evaluation plan for the project, including the extent to which the applicant's methods of evaluation—</P> <P>(1) Are appropriate for the project; and</P> <P>(2) To the extent possible, are objective and produce data that are quantifiable.</P> <P>(g) <E T="03">Adequacy of resources.</E> (5 points) The Secretary reviews each application to determine the adequacy of the resources that the applicant plans to devote to the project, including facilities, equipment, and supplies.</P> <P>(h) <E T="03">Dissemination plan.</E> (10 points) The Secretary reviews each application to determine the quality of the dissemination plan for the project, including—</P> <P>(1) The extent to which the project is designed to yield outcomes that can be readily disseminated;</P> <P>(2) A description of the types of materials the applicant plans to make available and the methods for making the materials avialable; and</P> <P>(3) Provisions for publicizing the findings of the project at the local, State, and national levels, as appropriate.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1830-0013)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 1213b(a))</SECAUTH> <CITA>[54 FR 34428, Aug. 18, 1989; 54 FR 46065, Nov. 1, 1989]</CITA> </SECTION> <SECTION> <SECTNO>§ 477.22</SECTNO> <SUBJECT>What additional factors does the Secretary consider?</SUBJECT> <P>In addition to the criteria in § 477.21, the Secretary may consider the following factors in making an award:</P> <P>(a) <E T="03">Geographic distribution.</E> The Secretary may consider whether funding a <PRTPAGE P="147"/>particular applicant would improve the geographical distribution of projects funded under this program.</P> <P>(b) <E T="03">Variety of approaches.</E> The Secretary may consider whether funding a particular applicant would contribute to the funding of a variety of approaches to assisting States in evaluating the status and progress of their adult education programs.</P> <SECAUTH>(Authority: 20 U.S.C. 1213b(a)).</SECAUTH> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 489</EAR> <HD SOURCE="HED">PART 489—FUNCTIONAL LITERACY FOR STATE AND LOCAL PRISONERS PROGRAM</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>489.1</SECTNO> <SUBJECT>What is the Functional Literacy for State and Local Prisoners Program?</SUBJECT> <SECTNO>489.2</SECTNO> <SUBJECT>Who is eligible for a grant?</SUBJECT> <SECTNO>489.3</SECTNO> <SUBJECT>What activities may the Secretary fund?</SUBJECT> <SECTNO>489.4</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <SECTNO>489.5</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—How Does One Apply for a Grant?</HD> <SECTNO>489.10</SECTNO> <SUBJECT>How does an eligible entity apply for a grant?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does the Secretary Make an Award?</HD> <SECTNO>489.20</SECTNO> <SUBJECT>How does the Secretary evaluate an application?</SUBJECT> <SECTNO>489.21</SECTNO> <SUBJECT>What selection criteria does the Secretary use?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—What Conditions Must be Met after an Award?</HD> <SECTNO>489.30</SECTNO> <SUBJECT>What annual report is required?</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>20 U.S.C. 1211-2, unless otherwise noted.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>57 FR 24105, June 5, 1992, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 489.1</SECTNO> <SUBJECT>What is the Functional Literacy for State and Local Prisoners Program?</SUBJECT> <P>(a) The Secretary makes grants to eligible entities that elect to establish a demonstration or system-wide functional literacy program for adult prisoners, as described § 489.3.</P> <P>(b) Grants under this part may be used for establishing, improving, expanding, or carrying out a program, and for developing the plans and submitting the reports required by this part.</P> <SECAUTH>(Authority: 20 U.S.C. 1211-2(a), (d)(1))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 489.2</SECTNO> <SUBJECT>Who is eligible for a grant?</SUBJECT> <P>A State correctional agency, a local correctional agency, a State correctional education agency, or a local correctional education agency is eligible for a grant under this part.</P> <SECAUTH>(Authority: 20 U.S.C. 1211-2(f)(1))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 489.3</SECTNO> <SUBJECT>What activities may the Secretary fund?</SUBJECT> <P>(a) To qualify for funding under § 489.1, a functional literacy program must—</P> <P>(1) To the extent possible, make use of advanced technologies, such as interactive video- and computer-based adult literacy learning: and</P> <P>(2) Include—</P> <P>(i) A requirement that each person incarcerated in the system, prison, jail, or detention center who is not functionally literate, except a person described in paragraph (b) of this section, shall participate in the program until the person—</P> <P>(A) Achieves functional literacy, or in the case of an individual with a disability, achieves a level of functional literacy commensurate with his or her ability;</P> <P>(B) Is granted parole;</P> <P>(C) Completes his or her sentence; or</P> <P>(D) Is released pursuant to court order; and</P> <P>(ii) A prohibition on granting parole to any person described in paragraph (a)(2)(i) of this section who refuses to participate in the program, unless the State parole board determines that the prohibition should be waived in a particular case; and</P> <P>(iii) Adequate opportunities for appropriate education services and the screening and testing of all inmates for functional literacy and disabilities affecting functional literacy, including learning disabilities, upon arrival in the system or at the prison, jail, or detention center.</P> <P>(b) The requirement of paragraph (a)(2)(i) does not apply to a person who—<PRTPAGE P="148"/> </P> <P>(1) Is serving a life sentence without possibility of parole;</P> <P>(2) Is terminally ill; or</P> <P>(3) Is under a sentence of death.</P> <SECAUTH>(Authority: 20 U.S.C. 1211-2(b))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 489.4</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <P>The following regulations apply to the Functional Literacy for State and Local Prisoners Program:</P> <P>(a) The regulations in this part 489.</P> <P>(b) The regulations in 34 CFR 460.3.</P> <SECAUTH>(Authority: 20 U.S.C. 1211-2)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 489.5</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> <P>(a) The definitions in 34 CFR 460.4 apply to this part.</P> <P>(b) As used in this part—</P> <P> <E T="03">Functional literacy</E> means at least an eighth grade equivalence, or a functional criterion score, on a nationally recognized literacy assessment.</P> <P> <E T="03">Local correctional agency</E> means any agency of local government that provides corrections services to incarcerated adults.</P> <P> <E T="03">Local correctional education agency</E> means any agency of local government, other than a local correctional agency, that provides educational services to incarcerated adults.</P> <P> <E T="03">State correctional agency</E> means any agency of State government that provides corrections services to incarcerated adults.</P> <P> <E T="03">State correctional education agency</E> means any agency of State government, other than a State correctional agency, that provides educational services to incarcerated adults.</P> <SECAUTH>(Authority: 20 U.S.C. 1211-2(f)(2))</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—How Does One Apply for a Grant?</HD> <SECTION> <SECTNO>§ 489.10</SECTNO> <SUBJECT>How does an eligible entity apply for a grant?</SUBJECT> <P>An eligible entity may receive a grant under this part if the entity submits an application to the Secretary at such time, in such manner, and containing such information as the Secretary may require, including, but not limited to, the following:</P> <P>(a) An assurance that the entity will provide the Secretary such data as the Secretary may request concerning the cost and feasibility of operating the functional literacy programs authorized by § 489.1(a), including the annual reports required by § 489.30.</P> <P>(b) A detailed plan outlining the methods by which the provisions of §§ 489.1 and 489.3 will be met, including specific goals and timetables. (Approved by the Office of Management and Budget under control number 1830-0512.)</P> <SECAUTH>(Authority: 20 U.S.C. 1211-2(d)(2))</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does the Secretary Make an Award?</HD> <SECTION> <SECTNO>§ 489.20</SECTNO> <SUBJECT>How does the Secretary evaluate an application?</SUBJECT> <P>(a) The Secretary evaluates an application on the basis of the criteria in § 489.21.</P> <P>(b) The Secretary awards up to 100 points for these criteria, including 15 points that the Secretary assigns in accordance with paragraph (d) of this section.</P> <P>(c) The maximum possible score for each criterion is indicated in parentheses.</P> <P>(d) For each competition under this part, the Secretary, in a notice published in the <E T="04">Federal Register,</E> assigns 15 points among the criteria in § 489.21.</P> <SECAUTH>(Authority: 20 U.S.C. 1211-2)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 489.21</SECTNO> <SUBJECT>What selection criteria does the Secretary use?</SUBJECT> <P>The Secretary uses the following criteria to evaluate an application:</P> <P>(a) <E T="03">Program factors.</E> (15 points) The Secretary reviews the application to determine the quality of the proposed project, including the extent to which the application includes—</P> <P>(1) A clear description of the services to be offered;</P> <P>(2) A complete description of the methodology to be used, including a thorough assessment of all offenders in the system and assessments necessary to identify offenders with disabilities affecting functional literacy;</P> <P>(3) Flexibility in the manner that services are offered, including the provision of accessible class schedules;</P> <P>(4) A strong relationship between skills taught and the literacy and skill <PRTPAGE P="149"/>requirements of the changing workplace; and</P> <P>(5) An innovative approach, such as interactive video curriculum or peer tutoring that will provide a model that is replicable in other correctional facilities of a similar type or size; and</P> <P>(6) Staff in-service education.</P> <P>(b) <E T="03">Educational significance.</E> (15 points) The Secretary reviews each application to determine the extent to which the applicant proposes—</P> <P>(1) Project objectives that contribute to the improvement of functional literacy;</P> <P>(2) To use unique and innovative techniques to produce benefits that address functional literacy problems and needs that are of national significance; and</P> <P>(3) To demonstrate how well those national needs will be met by the project.</P> <P>(c) <E T="03">Plan of operation.</E> (15 points) The Secretary reviews each application to determine the quality of the plan of operation for the project, including—</P> <P>(1) The quality of the design of the project;</P> <P>(2) The extent to which the project includes specific intended outcomes that—</P> <P>(i) Will accomplish the purposes of the program;</P> <P>(ii) Are attainable within the project period, given the project's budget and other resources;</P> <P>(iii) Are susceptible to evaluation;</P> <P>(iv) Are objective and measurable; and</P> <P>(v) For a multi-year project, include specific objectives to be met, during each budget period, that can be used to determine the progress of the project toward meeting its intended outcomes;</P> <P>(3) The extent to which the plan of management is effective and ensures proper and efficient administration of the project;</P> <P>(4) The quality of the applicant's plan to use its resources and personnel to achieve each objective and intended outcome during the period of Federal funding; and</P> <P>(5) How the applicant will ensure that project participants who are otherwise eligible to participate are selected without regard to race, color, national origin, gender, age, or disabling condition.</P> <P>(d) <E T="03">Evaluation plan.</E> (15 points) The Secretary reviews each application to determine the quality of the evaluation plan for the project, including the extent to which the applicant's methods of evaluation—</P> <P>(1) Are clearly explained and appropriate to the project;</P> <P>(2) Will determine how successful the project is in meeting its intended outcomes, including an assessment of the effectiveness of the project in improving functional literacy of prisoners. To the extent feasible, the assessment must include a one-year post-release review, during the grant period, to measure the success of the project with respect to those prisoners who received services and were released. The assessment must involve comparison of the project to other existing education and training programs or no treatment for individuals, as appropriate. The evaluation must be designed to produce findings that, if positive and significant, can be used in submission of an application to the Department's Program Effectiveness Panel. To assess program effectiveness, consideration may be given to implementing a random assignment evaluation design. (Review criteria for the Program Effectiveness Panel are provided in 34 CFR 786.12.);</P> <P>(3) Provide for an assessment of the efficiency of the program's replication efforts, including dissemination activities and technical assistance provided to other projects;</P> <P>(4) Include formative evaluation activities to help assess program management and improve program operations; and</P> <P>(5) To the extent possible, are objective and produce data that are quantifiable.</P> <P>(e) <E T="03">Demonstration and dissemination.</E> (10 points) The Secretary reviews each application to determine the efficiency of the plan for demonstrating and disseminating information about project activities and results throughout the project period, including—</P> <P>(1) High quality in the design of the demonstration and dissemination plan;</P> <P>(2) Identification of target groups and provisions for publicizing the project at the local, State, and national levels by <PRTPAGE P="150"/>conducting or delivering presentations at conferences, workshops, and other professional meetings and by preparing materials for journal articles, newsletters, and brochures;</P> <P>(3) Provisions for demonstrating the methods and techniques used by the project to others interested in replicating these methods and techniques, such as by inviting them to observe project activities;</P> <P>(4) A description of the types of materials the applicant plans to make available to help others replicate project activities and the methods for making the materials available; and</P> <P>(5) Provisions for assisting others to adopt and successfully implement the project or methods and techniques used by the project.</P> <P>(f) <E T="03">Key personnel.</E> (5 points)</P> <P>(1) The Secretary reviews each application to determine the quality of key personnel the applicant plans to use on the project, including—</P> <P>(i) The qualifications, in relation to the objectives and planned outcomes of the project, of the project director;</P> <P>(ii) The qualifications, in relation to the objectives and planned outcomes of the project, of each of the other key personnel to be used in the project, including any third-party evaluator;</P> <P>(iii) The time that each person referred to in paragraphs (f)(1) (i) and (ii) of this section will commit to the project; and</P> <P>(iv) How the applicant, as part of its nondiscriminatory employment practices, will ensure that its personnel are selected for employment without regard to race, color, national origin, gender, age, or disabling condition.</P> <P>(2) To determine personnel qualifications under paragraphs (f)(1) (i) and (ii) of this section, the Secretary considers experience and training in project management and in fields related to the objectives and planned outcomes of the project.</P> <P>(g) <E T="03">Budget and cost effectiveness.</E> (5 points) The Secretary reviews each application to determine the extent to which the budget—</P> <P>(1) Is cost effective and adequate to support the project activities;</P> <P>(2) Contains costs that are reasonable and necessary in relation to the objectives of the project; and</P> <P>(3) Proposes using non-Federal resources available from appropriate employment, training, and education agencies in the State to provide project services and activities and to acquire project equipment and facilities.</P> <P>(h) <E T="03">Adequacy of resources and commitment.</E> (5 points)</P> <P>(1) The Secretary reviews each application to determine the extent to which the applicant plans to devote adequate resources to the project. The Secretary considers the extent to which—</P> <P>(i) Facilities that the applicant plans to use are adequate; and</P> <P>(ii) Equipment and supplies that the applicant plans to use are adequate.</P> <P>(2) The Secretary reviews each application to determine the applicant's commitment to the project, including the extent to which—</P> <P>(i) Non-Federal resources are adequate to provide project services and activities, especially resources of the public and private sectors; and</P> <P>(ii) The applicant has the capacity to continue, expand, and build upon the project when Federal assistance ends.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1830-0512)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 1211-2)</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—What Conditions Must be Met after an Award?</HD> <SECTION> <SECTNO>§ 489.30</SECTNO> <SUBJECT>What annual report is required?</SUBJECT> <P>(a) Within 90 days after the close of the first calendar year in which a literacy program authorized by § 489.1 is placed in operation, and annually for each of the 4 years thereafter, a grantee shall submit a report to the Secretary with respect to its literacy program.</P> <P>(b) A report under paragraph (a) of this section must disclose—</P> <P>(1) The number of persons who were tested for eligibility during the preceding year;</P> <P>(2) The number of persons who were eligible for the literacy program during the preceding year;</P> <P>(3) The number of persons who participated in the literacy program during the preceding year;<PRTPAGE P="151"/> </P> <P>(4) The name and types of tests that were used to determine functional literacy and the names and types of tests that were used to determine disabilities affecting functional literacy;</P> <P>(5) The average number of hours of instruction that were provided per week and the average number per student during the preceding year;</P> <P>(6) Sample data on achievement of participants in the program, including the number of participants who achieved functional literacy;</P> <P>(7) Data on all direct and indirect costs of the program; and</P> <P>(8) Information on progress toward meeting the program's goals.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1830-0512)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 1211-2(c))</SECAUTH> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 490</EAR> <HD SOURCE="HED">PART 490—LIFE SKILLS FOR STATE AND LOCAL PRISONERS PROGRAM</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>490.1</SECTNO> <SUBJECT>What is the Life Skills for State and Local Prisoners Program?</SUBJECT> <SECTNO>490.2</SECTNO> <SUBJECT>Who is eligible for a grant?</SUBJECT> <SECTNO>490.3</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <SECTNO>490.4</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—How Does One Apply for a Grant?</HD> <SECTNO>490.10</SECTNO> <SUBJECT>How does an eligible entity apply for a grant?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does the Secretary Make an Award?</HD> <SECTNO>490.20</SECTNO> <SUBJECT>How does the Secretary evaluate an application?</SUBJECT> <SECTNO>490.21</SECTNO> <SUBJECT>What selection criteria does the Secretary use?</SUBJECT> <SECTNO>490.22</SECTNO> <SUBJECT>What additional factor does the Secretary consider?</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>20 U.S.C. 1211-2, unless otherwise noted.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>57 FR 24107, June 5, 1992, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 490.1</SECTNO> <SUBJECT>What is the Life Skills for State and Local Prisoners Program?</SUBJECT> <P>The Secretary may make grants to eligible entities to assist them in establishing and operating programs designed to reduce recidivism through the development and improvement of life skills necessary for reintegration of adult prisoners into society.</P> <SECAUTH>(Authority: 20 U.S.C. 1211-2(e)(1))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 490.2</SECTNO> <SUBJECT>Who is eligible for a grant?</SUBJECT> <P>A State correctional agency, a local correctional agency, a State correctional education agency, or a local correctional education agency is eligible for a grant under this part.</P> <SECAUTH>(Authority: 20 U.S.C. 1211-2(f)(1))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 490.3</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <P>The following regulations apply to the Life Skills for State and Local Prisoners Program:</P> <P>(a) The regulations in this part 490.</P> <P>(b) The regulations in 34 CFR 460.3.</P> <SECAUTH>(Authority: 20 U.S.C. 1211-2)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 490.4</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> <P>(a) The definitions in 34 CFR 460.4 apply to this part.</P> <P>(b) As used in this part—</P> <P> <E T="03">Life skills</E> includes self-development, communication skills, job and financial skills development, education, interpersonal and family relationship development, and stress and anger management.</P> <P> <E T="03">Local correctional agency</E> means any agency of local government that provides corrections services to incarcerated adults.</P> <P> <E T="03">Local correctional education agency</E> means any agency of local government, other than a local correction agency, that provides educational services to incarcerated adults.</P> <P> <E T="03">State correctional agency</E> means any agency of State government that provides corrections services to incarcerated adults.</P> <P> <E T="03">State correctional education agency</E> means any agency of State government, other than a State correctional agency, that provides educational services to incarcerated adults.</P> <SECAUTH>(Authority: 20 U.S.C. 1211-2(f)(3))</SECAUTH> </SECTION> </SUBPART> <SUBPART> <PRTPAGE P="152"/> <HD SOURCE="HED">Subpart B—How Does One Apply for a Grant?</HD> <SECTION> <SECTNO>§ 490.10</SECTNO> <SUBJECT>How does an eligible entity apply for a grant?</SUBJECT> <P>To receive a grant under this part, an eligible entity shall submit an application to the Secretary at such time, in such manner, and containing such information as the Secretary shall require, including, but not limited to, an assurance that the entity will report annually to the Secretary on the participation rate, cost, and effectiveness of the program and any other aspect of the program on which the Secretary may request information.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1830-0512.)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 1211-2(e)(2))</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does the Secretary Make an Award?</HD> <SECTION> <SECTNO>§ 490.20</SECTNO> <SUBJECT>How does the Secretary evaluate an application?</SUBJECT> <P>(a) The Secretary evaluates an application on the criteria in § 490.21.</P> <P>(b) The Secretary awards up to 100 points for these criteria, including 15 points that the Secretary assigns in accordance with paragraph (d) of this section.</P> <P>(c) The maximum possible score for each criterion is indicated in parentheses.</P> <P>(d) For each competition under this part, the Secretary, in a notice published in the <E T="04">Federal Register,</E> assigns 15 points among the criteria in § 490.21.</P> <SECAUTH>(Authority: 20 U.S.C. 1211-2)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 490.21</SECTNO> <SUBJECT>What selection criteria does the Secretary use?</SUBJECT> <P>The Secretary uses the following criteria to evaluate an application:</P> <P>(a) <E T="03">Program factors.</E> (15 points) The Secretary reviews the application to determine the quality of the proposed project, including the extent to which the application includes—</P> <P>(1) A clear description of the services to be offered; and</P> <P>(2) Life skills education designed to prepare adult offenders to reintegrate successfully into communities, schools and the workplace.</P> <P>(b) <E T="03">Educational significance.</E> (15 points) The Secretary reviews each application to determine the extent to which the applicant proposes—</P> <P>(1) Project objectives that contribute to the improvement of life skills;</P> <P>(2) To use unique and innovative techniques to produce benefits that address life skills problems and needs that are of national significance; and</P> <P>(3) To demonstrate how well those national needs will be met by the project.</P> <P>(c) <E T="03">Plan of operation.</E> (15 points) The Secretary reviews each application to determine the quality of the plan of operation for the project, including—</P> <P>(1) The quality of the design of the project;</P> <P>(2) The extent to which the project includes specific intended outcomes that—</P> <P>(i) Will accomplish the purposes of the program;</P> <P>(ii) Are attainable within the project period, given the project's budget and other resources;</P> <P>(iii) Are susceptible to evaluation;</P> <P>(iv) Are objective and measurable; and</P> <P>(v) For a multi-year project, include specific objectives to be met, during each budget period, that can be used to determine the progress of the project toward meeting its intended outcomes;</P> <P>(3) The extent to which the plan of management is effective and ensures proper and efficient administration of the project;</P> <P>(4) The quality of the applicant's plan to use its resources and personnel to achieve each objective and intended outcome during the period of Federal funding; and</P> <P>(5) How the applicant will ensure that project participants who are otherwise eligible to participate are selected without regard to race, color, national origin, gender, age, or disabling condition.</P> <P>(d) <E T="03">Evaluation plan.</E> (15 points) The Secretary reviews each application to determine the quality of the evaluation plan for the project, including the extent to which the applicant's methods of evaluation—<PRTPAGE P="153"/> </P> <P>(1) Are clearly explained and appropriate to the project;</P> <P>(2) Will determine how successful the project is in meeting its intended outcomes, including an assessment of the effectiveness of the project in improving life skills of prisoners. To the extent feasible, the assessment must include a one-year post-release review, during the grant period, to measure the success of the project with respect to those prisoners who received services and were released. The assessment must involve comparison of the project to other existing education and training programs or no treatment for individuals, as appropriate. The evaluation must be designed to produce findings that, if positive and significant, can be used in submission of an application to the Department's Program Effectiveness Panel. To assess program effectiveness, consideration may be given to implementing a random assignment evaluation design. (Review criteria for the Progam Effectiveness Panel are provided in 34 CFR 786.12.);</P> <P>(3) Provide for an assessment of the efficiency of the program's replication efforts, including dissemination activities and technical assistance provided to other projects;</P> <P>(4) Include formative evaluation activities to help assess program management and improve program operations; and</P> <P>(5) To the extent possible, are objective and produce data that are quantifiable.</P> <P>(e) <E T="03">Demonstration and dissemination.</E> (10 points) The Secretary reviews each application to determine the efficiency of the plan for demonstrating and disseminating information about project activities and results throughout the project period, including—</P> <P>(1) High quality in the design of the demonstration and dissemination plan;</P> <P>(2) Identification of target groups and provisions for publicizing the project at the local, State, and national levels by conducting or delivering presentations at conferences, workshops, and other professional meetings and by preparing materials for journal articles, newsletters, and brochures;</P> <P>(3) Provisions for demonstrating the methods and techniques used by the project to others interested in replicating these methods and techniques, such as by inviting them to observe project activities;</P> <P>(4) A description of the types of materials the applicant plans to make available to help others replicate project activities and the methods for making the materials available; and</P> <P>(5) Provisions for assisting others to adopt and successfully implement the project or methods and techniques used by the project.</P> <P>(f) <E T="03">Key personnel.</E> (5 points) (1) The Secretary reviews each application to determine the quality of key personnel the applicant plans to use on the project, including—</P> <P>(i) The qualifications, in relation to the objectives and planned outcomes of the project, of the project director;</P> <P>(ii) The qualifications, in relation to the objectives and planned outcomes of the project, of each of the other key personnel to be used in the project, including any third-party evaluator;</P> <P>(iii) The time that each person referred to in paragraphs (f)(1) (i) and (ii) of this section will commit to the project; and</P> <P>(iv) How the applicant, as part of its nondiscriminatory employment practices, will ensure that its personnel are selected for employment without regard to race, color, national origin, gender, age, or disabling condition.</P> <P>(2) To determine personnel qualifications under paragraphs (f)(1) (i) and (ii) of this section, the Secretary considers experience and training in project management and in fields related to the objectives and planned outcomes of the project.</P> <P>(g) <E T="03">Budget and cost effectiveness.</E> (5 points) The Secretary reviews each application to determine the extent to which the budget—</P> <P>(1) Is cost effective and adequate to support the project activities;</P> <P>(2) Contains costs that are reasonable and necessary in relation to the objectives of the project; and</P> <P>(3) Proposes using non-Federal resources available from appropriate employment, training, and education agencies in the State to provide project services and activities and to acquire project equipment and facilities.</P> <P>(h) <E T="03">Adequacy of resources and commitment.</E> (5 points)<PRTPAGE P="154"/> </P> <P>(1) The Secretary reviews each application to determine the extent to which the applicant plans to devote adequate resources to the project. The Secretary considers the extent to which—</P> <P>(i) Facilities that the applicant plans to use are adequate; and</P> <P>(ii) Equipment and supplies that the applicant plans to use are adequate.</P> <P>(2) The Secretary reviews each application to determine the applicant's commitment to the project, including the extent to which—</P> <P>(i) Non-Federal resources are adequate to provide project services and activities, especially resources of the public and private sectors; and</P> <P>(ii) The applicant has the capacity to continue, expand, and build upon the project when Federal assistance ends.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1830-0512)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 1211-2)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 490.22</SECTNO> <SUBJECT>What additional factor does the Secretary consider?</SUBJECT> <P>In addition to the points awarded under the selection criteria in § 490.21, the Secretary awards up to 5 points to applications for projects that have the greatest potential for innovation, effectiveness, and replication in other systems, jails, and detention centers.</P> <SECAUTH>(Authority: 20 U.S.C. 1211-2(e)(3))</SECAUTH> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 491</EAR> <HD SOURCE="HED">PART 491—ADULT EDUCATION FOR THE HOMELESS PROGRAM</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>491.1</SECTNO> <SUBJECT>What is the Adult Education for the Homeless Program?</SUBJECT> <SECTNO>491.2</SECTNO> <SUBJECT>Who may apply for an award?</SUBJECT> <SECTNO>491.3</SECTNO> <SUBJECT>What activities may the Secretary fund?</SUBJECT> <SECTNO>491.4</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <SECTNO>491.5</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> </SUBPART> <SUBPART> <RESERVED>Subpart B [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does the Secretary Make an Award?</HD> <SECTNO>491.20</SECTNO> <SUBJECT>How does the Secretary evaluate an application?</SUBJECT> <SECTNO>491.21</SECTNO> <SUBJECT>What selection criteria does the Secretary use?</SUBJECT> <SECTNO>491.22</SECTNO> <SUBJECT>What additional factor does the Secretary consider?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—What Conditions Must Be Met After an Award?</HD> <SECTNO>491.30</SECTNO> <SUBJECT>How may an SEA operate the program?</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>42 U.S.C. 11421, unless otherwise noted.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>54 FR 34430, Aug. 18, 1989, unless otherwise noted. Redesignated at 57 FR 24091, June 5, 1992.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 491.1</SECTNO> <SUBJECT>What is the Adult Education for the Homeless Program?</SUBJECT> <P>The Adult Education for the Homeless Program provides financial assistance to State educational agencies (SEAs) to enable them to implement, either directly or through contracts or subgrants, a program of literacy training and basic skills remediation for adult homeless individuals within their State.</P> <SECAUTH>(Authority: 42 U.S.C. 11421(a))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 491.2</SECTNO> <SUBJECT>Who may apply for an award?</SUBJECT> <P>State educational agencies in the 50 States, the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, Guam, American Samoa, and the Commonwealth of the Northern Mariana Islands may apply for an award under this program.</P> <SECAUTH>(Authority: 42 U.S.C. 11421(d))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 491.3</SECTNO> <SUBJECT>What activities may the Secretary fund?</SUBJECT> <P>The Secretary provides grants or cooperative agreements for projects that implement a program of literacy training and basic skills remediation for adult homeless individuals. Projects must—</P> <P>(a) Include a program of outreach activities; and</P> <P>(b) Coordinate with existing resources such as community-based organizations, VISTA recipients, the adult basic education program and its recipients, and nonprofit literacy-action organizations.</P> <SECAUTH>(Authority: 42 U.S.C. 11421(a))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 491.4</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <P>The following regulations apply to the Adult Education for the Homeless Program:<PRTPAGE P="155"/> </P> <P>(a) The Education Department General Administrative Regulations (EDGAR) as follows:</P> <P>(1) 34 CFR part 74 (Administration of Grants to Institutions of Higher Education, Hospitals, Nonprofit Organizations) for grants, including cooperative agreements, to institutions of higher education, hospitals, and nonprofit organizations.</P> <P>(2) 34 CFR part 75 (Direct Grant Programs).</P> <P>(3) 34 CFR part 77 (Definitions that Apply to Department Regulations).</P> <P>(4) 34 CFR part 79 (Intergovernmental Review of Department of Education Programs and Activities).</P> <P>(5) 34 CFR part 80 (Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments) for grants, including cooperative agreements, to State and local governments, including Indian tribal governments.</P> <P>(6) 34 CFR part 81 (General Education Provisions Act—Enforcement).</P> <P>(7) 34 CFR part 85 (Governmentwide Debarment and Suspension (Nonprocurement) and Governmentwide Requirements for Drug-Free Workplace (Grants)).</P> <P>(b) The regulations in this part 491.</P> <SECAUTH>(Authority: 42 U.S.C. 11421)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 491.5</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> <P>(a) <E T="03">Definitions in the Act.</E> The following terms used in this part are defined in sections 103 and 702(d), respectively, of the Steward B. McKinney Homeless Assistance Act (Pub. L. 100-77, 42 U.S.C. 11301 <E T="03">et seq.</E>):</P> <P>Homeless or homeless individual.</P> <P>State.</P> <P>(b) <E T="03">Definitions in EDGAR.</E> The following terms used in this part are defined in 34 CFR 77.1: </P> <EXTRACT> <SCOL2> <LI>Applicant</LI> <LI>Application</LI> <LI>Award</LI> <LI>Contract</LI> <LI>EDGAR</LI> <LI>Grant</LI> <LI>Grantee</LI> <LI>Local educational </LI> <LI>agency</LI> <LI>Nonprofit</LI> <LI>Private</LI> <LI>Project</LI> <LI>Public</LI> <LI>Secretary</LI> <LI>State educational </LI> <LI>agency</LI> </SCOL2> </EXTRACT> <P>(c) <E T="03">Other definitions.</E> The following definitions also apply to this part:</P> <P> <E T="03">Act</E> means the Stewart B. McKinney Homeless Assistance Act (Pub. L. 100-77, 42 U.S.C. 11301 <E T="03">et seq.</E>).</P> <P> <E T="03">Adult</E> means an individual who has attained 16 years of age or who is beyond the age of compulsory school attendance under the applicable State law.</P> <P> <E T="03">Basic skills remediation</E> and <E T="03">literacy training</E> mean adult education for homeless adults whose inability to speak, read, or write the English language constitutes a substantial impairment of their ability to get or retain employment commensurate with their real ability, that is designed to help eliminate this inability and raise the level of education of those individuals with a view to making them less likely to become dependent on others, to improving their ability to benefit from occupational training and otherwise increasing their opportunities for more productive and profitable employment, and to making them better able to meet their adult responsibilities.</P> <P> <E T="03">Eligible recipients</E> means public or private agencies, institutions, or organizations, including religious or charitable organizations, eligible to apply for a contract from a State educational agency to operate projects, services, or activities.</P> <P> <E T="03">Outreach</E> means activities designed to—</P> <P>(1) Identify and inform adult homeless individuals of the availability and benefits of the Adult Education for the Homeless Program; and</P> <P>(2) Assist those homeless adults, by providing active recruitment and reasonable and convenient access, to participate in the program.</P> <SECAUTH>(Authority: 42 U.S.C. 11421)</SECAUTH> </SECTION> </SUBPART> <SUBPART> <RESERVED>Subpart B [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does the Secretary Make an Award?</HD> <SECTION> <SECTNO>§ 491.20</SECTNO> <SUBJECT>How does the Secretary evaluate an application?</SUBJECT> <P>(a) The Secretary evaluates an application on the basis of the criteria in § 491.21.</P> <P>(b) The Secretary awards up to 100 points, including a reserved 15 points to be distributed in accordance with paragraph (d) of this section, based on the criteria in § 491.21.<PRTPAGE P="156"/> </P> <P>(c) Subject to paragraph (d) of this section, the maximum possible score for each criterion is indicated in parentheses.</P> <P>(d) For each competition as announced through a notice published in the <E T="04">Federal Register,</E> the Secretary may assign the reserved points among the criteria in § 491.21.</P> <SECAUTH>(Authority: 42 U.S.C. 11421)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 491.21</SECTNO> <SUBJECT>What selection criteria does the Secretary use?</SUBJECT> <P>The Secretary uses the following criteria to evaluate an application:</P> <P>(a) <E T="03">Program factors.</E> (25 points) The Secretary reviews each application to determine the extent to which—</P> <P>(1) The program design is tailored to the literacy and basic skills needs of the specific homeless population being served (for example, designs to address the particular needs of single parent heads of households, substance abusers, or the chronically mentally ill);</P> <P>(2) Cooperative relationships with other service agencies will provide an integrated package of support services to address the most pressing needs of the target group at, or through, the project site. Support services must be designed to bring members of the target group to a state of readiness for instructional services or to enhance the effectiveness of instructional services. Examples of appropriate support services to be provided and funded through cooperative relationships include, but are not limited to—</P> <P>(i) Assistance with food and shelter;</P> <P>(ii) Alcohol and drug abuse counseling;</P> <P>(iii) Individual and group mental health counseling;</P> <P>(iv) Health care;</P> <P>(v) Child care;</P> <P>(vi) Case management;</P> <P>(vii) Job skills training;</P> <P>(viii) Employment training and work experience programs; and</P> <P>(ix) Job placement;</P> <P>(3) The SEA's application provides for individualized instruction, especially the use of individualized instructional plans or individual education plans that are developed jointly by the student and the teacher and reflect student goals;</P> <P>(4) The program's activities include outreach services, especially interpersonal contacts at locations where homeless persons are known to gather, and outreach efforts through cooperative relations with local agencies that provide services to the homeless; and</P> <P>(5) Instructional services will be readily accessible to students, especially the provision of instructional services at a shelter or transitional housing site.</P> <P>(b) <E T="03">Extent of need for the project.</E> (15 points) The Secretary reviews each application to determine the extent to which the project meets specific needs in section 702 of the Act, including consideration of—</P> <P>(1)(i) An estimate of the number of homeless persons expected to be served.</P> <P>(ii) For the purposes of the count in paragraph (b)(1)(i) of this section, an eligible homeless adult is an individual who has attained 16 years of age or who is beyond the age of compulsory attendance under the applicable State law; who does not have a high school diploma, a GED, or the basic education skills to obtain full-time meaningful employment; and who meets the definition of “homeless or homeless individual” in section 103 of the Act;</P> <P>(2) How the numbers in paragraph (b)(1) of this section were determined;</P> <P>(3) The extent to which the target population of homeless to be served in the project needs and can benefit from literacy training and basic skills remediation;</P> <P>(4) The need of that population for educational services, including their readiness for instructional services and how readiness was assessed; and</P> <P>(5) How the project would meet the literacy and basic skills needs of the specific target group to be served.</P> <P>(c) <E T="03">Plan of operation.</E> (15 points) The Secretary reviews each application to determine the quality of the plan of operation for the project, including—</P> <P>(1) The establishment of written, measurable goals and objectives for the project that are based on the project's overall mission;</P> <P>(2) The extent to which the program is coordinated with existing resources such as community-based organizations, VISTA recipients, adult basic <PRTPAGE P="157"/>education program recipients, nonprofit literacy action organizations, and existing organizations providing shelters to the homeless;</P> <P>(3) The extent to which the management plan is effective and ensures proper and efficient administration of the project;</P> <P>(4) How the applicant will ensure that project participants otherwise eligible to participate are selected without regard to race, color, national origin, gender, age, or handicapping condition; and</P> <P>(5) If applicable, the plan for the local application process and the criteria for evaluating local applications submitted by eligible applicants for contracts or subgrants.</P> <P>(d) <E T="03">Quality of key personnel.</E> (15 points) (1) The Secretary reviews each application to determine the quality of key personnel the State plans to use on the project, including—</P> <P>(i) The qualifications of the State coordinator/project director;</P> <P>(ii) The qualifications of each of the other key personnel to be used by the SEA in the project;</P> <P>(iii) The time that each person referred to in paragraphs (d) (1) (i) and (ii) of this section will commit to the project; and</P> <P>(iv) How the applicant, as part of its nondiscriminatory employment practices, will ensure that its personnel are selected for employment without regard to race, color, national origin, gender, age, or handicapping condition.</P> <P>(2) To determine personnel qualifications under paragraphs (d)(1) (i) and (ii) of this section, the Secretary considers—</P> <P>(i) Experience and training in fields related to the objectives of the project;</P> <P>(ii) Experience in providing services to homeless populations;</P> <P>(iii) Experience and training in project management; and</P> <P>(iv) Any other qualifications that pertain to the quality of the project.</P> <P>(e) <E T="03">Budget and cost effectiveness.</E> (5 points) The Secretary reviews each application to determine the extent to which—</P> <P>(1) The budget is adequate to support the project;</P> <P>(2) Costs are reasonable in relation to the objectives of the project; and</P> <P>(3) The budget is presented in enough detail for determining paragraphs (e) (1) and (2) of this section.</P> <P>(f) <E T="03">Evaluation plan.</E> (10 points) The Secretary reviews each application to determine the quality of the evaluation plan for the project, including the extent to which the applicant's methods of evaluation—</P> <P>(1) Objectively, and to the extent possible, quantifiably measure the success, both of the program and of the participants, in achieving established goals and objectives;</P> <P>(2) Contain provisions that allow for frequent feedback from evaluation data provided by participants, teachers, and community groups in order to improve the effectiveness of the program; and</P> <P>(3) Include a description of the types of instructional materials the applicant plans to make available and the methods for making the materials available.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1830-0506)</APPRO> <SECAUTH>(Authority: 42 U.S.C. 11421)</SECAUTH> <CITA>[54 FR 34430, Aug. 8, 1989, as amended at 56 FR 13522, Apr. 2, 1991]</CITA> </SECTION> <SECTION> <SECTNO>§ 491.22</SECTNO> <SUBJECT>What additional factor does the Secretary consider?</SUBJECT> <P>In addition to the criteria in § 491.21, the Secretary may consider whether funding a particular applicant would improve the geographical distribution of projects funded under this program.</P> <SECAUTH>(Authority: 42 U.S.C. 11421)</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—What Conditions Must be Met After an Award?</HD> <SECTION> <SECTNO>§ 491.30</SECTNO> <SUBJECT>How may an SEA operate the program?</SUBJECT> <P>An SEA may operate the program directly, award subgrants, or award contracts to eligible recipients. If an SEA awards contracts, the SEA shall distribute funds on the basis of the State-approved contracting process.</P> <SECAUTH>(Authority: 42 U.S.C. 11421(a)).</SECAUTH> </SECTION> </SUBPART> </PART> </CHAPTER> <CHAPTER> <LRH>34 CFR Ch. V (7-1-00 Edition)</LRH> <RRH>Off. Bilingual Educ. and Minority Lang. Affairs, Education</RRH> <TOC> <TOCHD> <PRTPAGE P="159"/> <HD SOURCE="HED">CHAPTER V—OFFICE OF BILINGUAL EDUCATION AND MINORITY LANGUAGES AFFAIRS, DEPARTMENT OF EDUCATION</HD> </TOCHD> <PTHD>Part</PTHD> <PGHD>Page</PGHD> <CHAPTI> <PT>535</PT> <SUBJECT>Bilingual Education: Graduate Fellowship Program</SUBJECT> <PG>161</PG> </CHAPTI> </TOC> <PART> <PRTPAGE P="161"/> <EAR>Pt. 535</EAR> <HD SOURCE="HED">PART 535—BILINGUAL EDUCATION: GRADUATE FELLOWSHIP PROGRAM</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>535.1</SECTNO> <SUBJECT>What is the Bilingual Education: Graduate Fellowship Program?</SUBJECT> <SECTNO>535.2</SECTNO> <SUBJECT>Who is eligible to participate in this program?</SUBJECT> <SECTNO>535.3</SECTNO> <SUBJECT>What financial assistance is available for fellowship recipients?</SUBJECT> <SECTNO>535.4</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <SECTNO>535.5</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—How Does an IHE Apply To Participate in the Program?</HD> <SECTNO>535.10</SECTNO> <SUBJECT>How does an IHE apply to participate in the program?</SUBJECT> <SECTNO>535.11</SECTNO> <SUBJECT>What assurance must an application contain?</SUBJECT> <SECTNO>535.12</SECTNO> <SUBJECT>In what circumstances may an IHE waive the training practicum requirement?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—How Does the Secretary Approve an IHE's Participation?</HD> <SECTNO>535.20</SECTNO> <SUBJECT>How does the Secretary evaluate an application to participate in this program for master's and doctoral level fellowships?</SUBJECT> <SECTNO>535.21</SECTNO> <SUBJECT>What selection criteria does the Secretary use?</SUBJECT> <SECTNO>535.22</SECTNO> <SUBJECT>How does the Secretary evaluate an application to participate in this program for post-doctoral study fellowships?</SUBJECT> <SECTNO>535.23</SECTNO> <SUBJECT>What selection criteria does the Secretary use?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—How Does an Individual Apply for a Fellowship?</HD> <SECTNO>535.30</SECTNO> <SUBJECT>How does an individual apply for a fellowship?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—How Are Fellows Selected?</HD> <SECTNO>535.40</SECTNO> <SUBJECT>How does the Secretary select Fellows?</SUBJECT> <SECTNO>535.41</SECTNO> <SUBJECT>Who may an IHE nominate for fellowships?</SUBJECT> <SECTNO>535.42</SECTNO> <SUBJECT>What is the period of a fellowship?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—What Conditions Must Be Met by Fellows?</HD> <SECTNO>535.50</SECTNO> <SUBJECT>What is the service requirement for a fellowship?</SUBJECT> <SECTNO>535.51</SECTNO> <SUBJECT>What are the requirements for repayment of the fellowship?</SUBJECT> <SECTNO>535.52</SECTNO> <SUBJECT>What is the repayment schedule?</SUBJECT> <SECTNO>535.53</SECTNO> <SUBJECT>What is the rule regarding interest?</SUBJECT> <SECTNO>535.54</SECTNO> <SUBJECT>Under what circumstances is repayment deferred?</SUBJECT> <SECTNO>535.55</SECTNO> <SUBJECT>What is the length of the deferment of repayment?</SUBJECT> <SECTNO>535.56</SECTNO> <SUBJECT>Under what circumstances is repayment waived?</SUBJECT> <SECTNO>535.57</SECTNO> <SUBJECT>How shall the fellowship recipient account for the obligation?</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>20 U.S.C. 7475, unless otherwise noted.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>61 FR 31352, June 19, 1996, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 535.1</SECTNO> <SUBJECT>What is the Bilingual Education: Graduate Fellowship Program?</SUBJECT> <P>The Bilingual Education: Graduate Fellowship Program provides financial assistance, through institutions of higher education (IHEs), to individuals who are pursuing master's, doctoral, or post-doctoral study related to instruction of limited English proficient (LEP) children and youth in areas such as teacher training, program administration, research and evaluation, and curriculum development and for the support of dissertation research related to this study.</P> <SECAUTH>(Authority: 20 U.S.C. 7475(a)(1))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 535.2</SECTNO> <SUBJECT>Who is eligible to participate in this program?</SUBJECT> <P>(a) An IHE is eligible to participate in this program.</P> <P>(b) An individual who meets the eligibility requirements under § 535.41 may apply for a fellowship through an IHE participating in this program.</P> <SECAUTH>(Authority: 20 U.S.C. 7475)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 535.3</SECTNO> <SUBJECT>What financial assistance is available for fellowship recipients?</SUBJECT> <P>(a) The Secretary may authorize the following financial assistance on an annual basis to master's and doctoral program fellowship recipients:</P> <P>(1) Tuition and fees—the usual costs associated with the course of study.</P> <P>(2) Books—up to $300.</P> <P>(3) Travel—up to $250 for travel directly related to the program of study.</P> <P>(4) A stipend of up to $500 per month, including allowances for subsistence and other expenses, for a participant and his or her dependents, if the participant is—<PRTPAGE P="162"/> </P> <P>(i) A full-time student in a program of study that was in the approved application; and</P> <P>(ii) Gainfully employed no more than 20 hours a week or the annual equivalent of 1040 hours.</P> <P>(b) The Secretary may authorize the following financial assistance on an annual basis to post-doctoral fellowship recipients:</P> <P>(1) A stipend of up to $40,000.</P> <P>(2) Publications, research and scholarly materials, research-related travel, and fees—up to $5,000.</P> <P>(c) In authorizing assistance to fellowship recipients under paragraphs (a) and (b) of this section, the Secretary considers the amount of other financial compensation that the fellowship recipients receive during the training period.</P> <SECAUTH>(Authority: 20 U.S.C. 7478)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 535.4</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <P>The following regulations apply to this program:</P> <P>(a) 34 CFR 75.51 and 75.60 through 62.</P> <P>(b) 34 CFR part 77.</P> <P>(c) 34 CFR part 79.</P> <P>(d) 34 CFR part 85.</P> <P>(e) The regulations in this part 535.</P> <SECAUTH>(Authority: 20 U.S.C. 7475)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 535.5</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> <P>(a) <E T="03">Definitions in the Act.</E> (1) The following terms used in this part are defined in section 7501 of the Act: </P> <EXTRACT> <FP SOURCE="FP-1">Bilingual education program</FP> <FP SOURCE="FP-1">Children and youth</FP> <FP SOURCE="FP-1">Limited English proficiency</FP> <FP SOURCE="FP-1">Native Hawaiian or Native American Pacific Islander Native language educational organization</FP> <FP SOURCE="FP-1">Office</FP> <FP SOURCE="FP-1">Other programs for persons of limited-English proficiency</FP> </EXTRACT> <P>(2) The following terms used in this part are defined in section 7104 of the Act: </P> <EXTRACT> <FP SOURCE="FP-1">Indian tribe</FP> <FP SOURCE="FP-1">Tribally sanctioned educational authority</FP> </EXTRACT> <P>(3) The following terms used in this part are defined in section 14101 of the Act: </P> <EXTRACT> <FP SOURCE="FP-1">Institution of higher education</FP> <FP SOURCE="FP-1">Local educational agency (LEA)</FP> </EXTRACT> <P>(b) <E T="03">Definitions in EDGAR.</E> The following terms used in this part are defined in 34 CFR 77.1: </P> <EXTRACT> <SCOL2> <LI>Applicant</LI> <LI>Application</LI> <LI>Award</LI> <LI>Department</LI> <LI>EDGAR</LI> <LI>Fiscal year</LI> <LI>Project</LI> <LI>Recipient</LI> <LI>Secretary</LI> <LI>State</LI> <LI>State educational agency (SEA)</LI> </SCOL2> </EXTRACT> <P>(c) Other definition. The following definition also applies to this part:</P> <P> <E T="03">Act</E> means the Elementary and Secondary Education Act of 1965, as amended.</P> <SECAUTH>(Authority: 20 U.S.C. 7475-7480)</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—How Does an IHE Apply To Participate in the Program?</HD> <SECTION> <SECTNO>§ 535.10</SECTNO> <SUBJECT>How does an IHE apply to participate in the program?</SUBJECT> <P>To apply for participation under this part, an IHE shall submit an application to the Secretary that—</P> <P>(a) Responds to the appropriate selection criteria in §§ 535.21 and 535.23; and</P> <P>(b) Requests a specific number of fellowships to be awarded in each proposed language or other curriculum group for the fellowship period specified in § 535.42.</P> <SECAUTH>(Authority: 20 U.S.C. 7475)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 535.11</SECTNO> <SUBJECT>What assurance must an application contain?</SUBJECT> <P>An application that proposes to train master's or doctoral level students with funds received under this part must provide an assurance that the program will include a training practicum in a local school program serving LEP students.</P> <SECAUTH>(Authority: 20 U.S.C. 7476(a)(3)(A))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 535.12</SECTNO> <SUBJECT>In what circumstances may an IHE waive the training practicum requirement?</SUBJECT> <P>An IHE participating under this program may waive the requirement in § 535.11 for a training practicum for a master's or doctoral degree candidate who has had at least one academic year of experience in a local school program serving LEP students.</P> <SECAUTH>(Authority: 20 U.S.C. 7476(a)(3)(B))</SECAUTH> </SECTION> </SUBPART> <SUBPART> <PRTPAGE P="163"/> <HD SOURCE="HED">Subpart C—How Does the Secretary Approve an IHE's Participation?</HD> <SECTION> <SECTNO>§ 535.20</SECTNO> <SUBJECT>How does the Secretary evaluate an application to participate in this program for master's and doctoral level fellowships?</SUBJECT> <P>(a) The Secretary evaluates an application to participate in this program for master's and doctoral level fellowships on the basis of the criteria in § 535.21.</P> <P>(b) The Secretary awards up to 100 points for these criteria.</P> <P>(c) The maximum possible score for each criterion is indicated in parentheses.</P> <P>(d) After all the applications have been evaluated under § 535.21, the Secretary rank-orders the applications.</P> <P>(e) The Secretary then determines the maximum number of fellowships by language or other curriculum group that may be awarded at each IHE—</P> <P>(1) Based on the IHE's capacity to provide graduate training in the areas proposed for fellowship recipients; and</P> <P>(2) To the extent feasible, in proportion to the need for individuals with master's and doctoral degrees in the areas of training proposed by the IHE.</P> <SECAUTH>(Authority: 20 U.S.C. 7475)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 535.21</SECTNO> <SUBJECT>What selection criteria does the Secretary use?</SUBJECT> <P>The Secretary uses the following selection criteria to evaluate an application for participation in this program for master's and doctoral level fellowships:</P> <P>(a) <E T="03">Institutional commitment.</E> (25 points) The Secretary reviews each application to determine the quality of the institution's graduate program of study, including consideration of—</P> <P>(1) The extent to which the program has been adopted as a permanent graduate program of study;</P> <P>(2) The organizational placement of the program of study;</P> <P>(3) The staff and resources that the IHE has committed to the program;</P> <P>(4) The IHE's demonstrated competence and experience in programs and activities such as those authorized under the Act;</P> <P>(5) The IHE's demonstrated experience in assisting fellowship recipients to find employment in the field of bilingual education; and</P> <P>(6) If the IHE has carried out a previous project with funds under title VII of the Act, the applicant's record of accomplishments under that previous project.</P> <P>(b) <E T="03">Quality of the graduate academic program.</E> (20 points) The Secretary reviews each application to determine the quality of the graduate program of study for which approval is sought, including—</P> <P>(1) The course offerings and academic requirements for the graduate program;</P> <P>(2) The availability of related course offerings through other schools or departments within the IHE;</P> <P>(3) The IHE's focus and capacity for research;</P> <P>(4) The quality of the standards used to determine satisfactory progress in, and completion of, the program;</P> <P>(5) The extent to which the program of study prepares Fellows to improve the academic achievement of LEP children and youth; and</P> <P>(6) In the case of a program designed to prepare trainers of educational personnel for programs of bilingual instruction, the extent to which the program incorporates the use of English and another language to develop the Fellows’ competencies as trainers of bilingual educational personnel.</P> <P>(c) <E T="03">Quality of key faculty members.</E> (20 points) The Secretary reviews each application to determine the qualifications of the key faculty to be used in the program of study, including the extent to which their background, education, research interests, and relevant experience qualify them to plan and implement a successful program of high academic quality related to instruction of LEP children and youth.</P> <P>(d) <E T="03">Field-based experience.</E> (15 points) The Secretary reviews each application to determine the extent to which the program of study provides field-based experience through arrangements with LEAs, SEAs, or persons or organizations with expertise in programs for LEP children and youth.</P> <P>(e) <E T="03">Evidence of local or national need.</E> (10 points) The Secretary reviews each application to determine the need for <PRTPAGE P="164"/>more individuals trained, at the graduate level, in the area of study proposed by the applicant.</P> <P>(f) <E T="03">Recruitment plan.</E> (10 points) The Secretary reviews each application to determine the quality of the applicant's plan for recruitment and nomination of students.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1885-0001.)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 7475 and 7547)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 535.22</SECTNO> <SUBJECT>How does the Secretary evaluate an application to participate in this program for post-doctoral study fellowships?</SUBJECT> <P>(a) The Secretary evaluates an application to participate in this program for post-doctoral study fellowships on the basis of the criteria in § 535.23.</P> <P>(b) The Secretary awards up to 100 points for these criteria.</P> <P>(c) The maximum possible score for each criterion is indicated in parentheses.</P> <P>(d) After all the applications have been evaluated according to the selection criteria, the Secretary rank-orders the applications.</P> <P>(e) The Secretary designates the maximum number of fellowships that may be awarded at each IHE based on the factors in § 535.23 (a), (c), and (d).</P> <SECAUTH>(Authority: 20 U.S.C. 7475)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 535.23</SECTNO> <SUBJECT>What selection criteria does the Secretary use?</SUBJECT> <P>The Secretary uses the following selection criteria to evaluate an application for participation in this program for post-doctoral level fellowships:</P> <P>(a) <E T="03">Institutional commitment.</E> (35 points) The Secretary reviews each application to determine the overall strength of the applicant's commitment to meeting the educational needs of LEP children and youth, including consideration of—</P> <P>(1) The IHE's demonstrated competence and experience in programs and research activities such as those authorized under subpart 2 of part A of title VII of the Act;</P> <P>(2) The extent to which the IHE's research environment is supportive of the success of post-doctoral Fellows in their research;</P> <P>(3) The IHE's demonstrated experience in assisting fellowship recipients to find employment in the field of bilingual education;</P> <P>(4) The IHE's procedures for the dissemination and use of research findings; and</P> <P>(5) If the IHE has carried out a previous project with funds under title VII of the Act, the applicant's record of accomplishments under that previous project.</P> <P>(b) <E T="03">Proposed areas of research.</E> (35 points) The Secretary reviews each application to determine to what extent—</P> <P>(1) There is a clear description of the areas of research proposed to be undertaken by the post-doctoral Fellows;</P> <P>(2) The research to be undertaken by the post-doctoral Fellows is likely to produce new and useful information;</P> <P>(3) The areas of proposed research relate to the educational needs of LEP children and youth and of the educational personnel that serve that population;</P> <P>(4) The outcomes of the research and study are likely to benefit the defined target population by improving the academic achievement of LEP children and youth;</P> <P>(5) The data collection and data analysis plans or research plans and designs are reasonable and sound; and</P> <P>(6) A project period for completion of the study, consistent with period of availability of post-doctoral fellowships in § 535.42, is specified.</P> <P>(c) <E T="03">Quality of key faculty members.</E> (20 points) The Secretary reviews each application to determine the qualifications of the key faculty likely to assist, guide, or mentor post-doctoral Fellows, including the extent to which the faculty's background, education, research interests, and relevant experiences qualify them to support high-quality research and study performed by post-doctoral Fellows.</P> <P>(d) <E T="03">Adequacy of resources.</E> (10 points) The Secretary reviews each application to determine to what extent—</P> <P>(1) The facilities planned for use are adequate;</P> <P>(2) The equipment and supplies planned for use are adequate; and<PRTPAGE P="165"/> </P> <P>(3) The commitment of the applicant to provide administrative and other necessary support is evident.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1885-0001.)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 7475)</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—How Does an Individual Apply for a Fellowship?</HD> <SECTION> <SECTNO>§ 535.30</SECTNO> <SUBJECT>How does an individual apply for a fellowship?</SUBJECT> <P>(a) An individual shall submit an application for a fellowship to an IHE that has been approved for participation under § 535.20 or § 535.22.</P> <P>(b) Each participating IHE may establish procedures for receipt of applications from individuals.</P> <SECAUTH>(Authority: 20 U.S.C. 7475)</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—How Are Fellows Selected?</HD> <SECTION> <SECTNO>§ 535.40</SECTNO> <SUBJECT>How does the Secretary select Fellows?</SUBJECT> <P>(a)(1) A participating IHE shall submit names of nominees to the Secretary.</P> <P>(2) If the IHE has more than one nominee, the IHE shall rank the nominees in order of preference to receive a fellowship.</P> <P>(b) The Secretary selects new Fellows according to the rank order prepared by the IHE, subject to the maximum number of fellowships designated for that IHE under §§ 535.20 and 535.22.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1885-0001.)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 7475)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 535.41</SECTNO> <SUBJECT>Who may an IHE nominate for fellowships?</SUBJECT> <P>(a) In nominating individuals to receive master's and doctoral level fellowships, an IHE shall nominate only individuals who—</P> <P>(1) Have been accepted for enrollment as full-time students in an approved course of study offered by the IHE;</P> <P>(2) Have an excellent academic record;</P> <P>(3) Are proficient in English and, if applicable, another language;</P> <P>(4) Have experience in providing services to, teaching in, or administering programs for LEP children and youth;</P> <P>(5) Are planning to enter or return to a career in service to LEP children and youth after completion of their studies;</P> <P>(6) Are eligible to receive assistance under 34 CFR 75.60 and 75.61; and</P> <P>(7)(i) Are citizens, nationals, or permanent residents of the United States;</P> <P>(ii) Are in the United States for other than temporary purposes and can provide evidence from the Immigration and Naturalization Service of their intent to become permanent residents; or</P> <P>(iii) Are permanent residents of the Commonwealth of Puerto Rico, Guam, American Samoa, the Virgin Islands, the Commonwealth of the Northern Mariana Islands, the Republic of the Marshall Islands, the Federated States of Micronesia, or the Republic of Palau.</P> <P>(b) In nominating individuals to receive post-doctoral fellowships, an IHE shall nominate only individuals who—</P> <P>(1) Have doctoral degrees in relevant disciplines that qualify those individuals to conduct independent research on educational programs and policies for LEP children and youth; and</P> <P>(2) Meet the criteria in paragraphs (a)(3) through (7) of this section.</P> <SECAUTH>(Authority: 20 U.S.C. 7475)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 535.42</SECTNO> <SUBJECT>What is the period of a fellowship?</SUBJECT> <P>(a) Except as provided in paragraph (b) of this section, the Secretary may award a fellowship—</P> <P>(1) For a maximum of two one-year periods to an individual who maintains satisfactory progress in a master's or post-doctoral program of study; and</P> <P>(2) For a maximum of three one-year periods to an individual who maintains satisfactory progress in a doctoral program of study.</P> <P>(b) Subject to the availability of funds, and if an IHE provides adequate justification, the Secretary may extend a fellowship beyond the maximum period to a master's or doctoral Fellow who, for circumstances beyond the Fellow's control, is unable to complete the program of study in that period.</P> <P>(c) A fellowship recipient who seeks assistance beyond the initial one-year <PRTPAGE P="166"/>period must be renominated by the participating IHE.</P> <P>(d) Prior to approving nominations of new Fellows, the Secretary may give preference to fellowship recipients in their second or third year who maintain satisfactory progress in the program of study.</P> <SECAUTH>(Authority: 20 U.S.C. 7475)</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—What Conditions Must Be Met by Fellows?</HD> <SECTION> <SECTNO>§ 535.50</SECTNO> <SUBJECT>What is the service requirement for a fellowship?</SUBJECT> <P>(a) Upon selection for a fellowship, a Fellow shall sign an agreement, provided by the Secretary, to work for a period equivalent to the period of time that the Fellow receives assistance under the fellowship in an activity—</P> <P>(1) (i) Related to the program; or</P> <P>(ii) Authorized under part A of title VII of the Act; and</P> <P>(2) Approved by the Secretary.</P> <P>(b) A fellowship recipient shall begin working in an activity specified in paragraph (a) of this section within six months of the date from which—</P> <P>(1) The master's or doctoral recipient ceases to be enrolled at an IHE as a full-time student; or</P> <P>(2) The post-doctoral recipient completes the project period in the approved program of study.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1885-0001.)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 7475(b))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 535.51</SECTNO> <SUBJECT>What are the requirements for repayment of the fellowship?</SUBJECT> <P>(a) A fellowship recipient who does not work in an activity described in § 535.50 shall repay the full amount of the fellowship.</P> <P>(b) The Secretary prorates the amount a fellowship recipient is required to repay based on the length of time the fellowship recipient worked in an authorized activity compared with the length of time the fellowship recipient received assistance.</P> <SECAUTH>(Authority: 20 U.S.C. 7475(b))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 535.52</SECTNO> <SUBJECT>What is the repayment schedule?</SUBJECT> <P>(a) A fellowship recipient required to repay all or part of the amount of the fellowship shall begin repayments—</P> <P>(1) Within six months of the date the fellowship recipient meets the criteria in § 535.50(b)(1) or (2); or</P> <P>(2) On a date and in a manner established by the Secretary, if the fellowship recipient ceases to work in an authorized activity.</P> <P>(b) A fellowship recipient must repay the required amount, including interest, in a lump sum or installment payments approved by the Secretary.</P> <P>(c) The repayment period may be extended if the Secretary grants a deferment under § 535.54.</P> <SECAUTH>(Authority: 20 U.S.C. 7475(b))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 535.53</SECTNO> <SUBJECT>What is the rule regarding interest?</SUBJECT> <P>(a) In accordance with 31 U.S.C. 3717, the Secretary charges a fellowship recipient interest on the unpaid balance that the fellowship recipient owes.</P> <P>(b) No interest is charged for the period of time—</P> <P>(1) That precedes the date on which the fellowship recipient is required to begin repayment; or</P> <P>(2) During which repayment has been deferred under § 535.54.</P> <SECAUTH>(Authority: 20 U.S.C. 7475(b))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 535.54</SECTNO> <SUBJECT>Under what circumstances is repayment deferred?</SUBJECT> <P>The Secretary may defer repayment if the fellowship recipient—</P> <P>(a) Suffers from a serious physical or mental disability that prevents or substantially impairs the fellowship recipient's employability in an activity described in § 535.50;</P> <P>(b) Demonstrates to the Secretary's satisfaction that the fellowship recipient is conscientiously seeking but is unable to secure employment in an activity described in § 535.50;</P> <P>(c) In the case of a master's or doctoral fellowship recipient, re-enrolls as a full-time student at an IHE;</P> <P>(d) Is a member of the Armed Forces of the United States on active duty;</P> <P>(e) Is in service as a volunteer under the Peace Corps Act; or<PRTPAGE P="167"/> </P> <P>(f) Demonstrates to the Secretary's satisfaction that the existence of extraordinary circumstances prevents the fellowship recipient from making a scheduled payment.</P> <SECAUTH>(Authority: 20 U.S.C. 7475(b))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 535.55</SECTNO> <SUBJECT>What is the length of the deferment of repayment?</SUBJECT> <P>(a) Unless the Secretary determines otherwise, a fellowship recipient shall apply to renew a deferment on a yearly basis.</P> <P>(b) Deferments for military or Peace Corps service may not exceed three years.</P> <SECAUTH>(Authority: 20 U.S.C. 7475(b))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 535.56</SECTNO> <SUBJECT>Under what circumstances is repayment waived?</SUBJECT> <P>The Secretary may waive repayment if the fellowship recipient demonstrates the existence of extraordinary circumstances that justify a waiver.</P> <SECAUTH>(Authority: 20 U.S.C. 7475(b)(2))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 535.57</SECTNO> <SUBJECT>How shall the fellowship recipient account for the obligation?</SUBJECT> <P>(a) Within six months of the date a fellowship recipient meets the criteria in § 535.50(b)(1) or (2), the fellowship recipient shall submit to the Secretary one of the following items:</P> <P>(1) A description of the activity in which the fellowship recipient is employed.</P> <P>(2) Repayment required under §§ 535.51 and 535.52.</P> <P>(3) A request to repay the obligation in installments.</P> <P>(4) A request for a deferment or waiver as described in §§ 535.54 and 535.56 accompanied by a statetment of justification.</P> <P>(b) A fellowship recipient who submits a description of employment under paragraph (a)(1) of this section shall notify the Secretary on a yearly basis of the period of time during the preceding year that the fellowship recipient was employed in the activity.</P> <P>(c) A fellowship recipient shall inform the Secretary of any change in employment status.</P> <P>(d) A fellowship recipient shall inform the Secretary of any change of address.</P> <P>(e)(1) A fellowship recipient's failure to timely satisfy the requirements in paragraphs (b) through (d) of this section results in the fellowship recipient being in non-compliance or default status subject to collection action.</P> <P>(2) Interest and costs of collection may be collected in accordance with 31 U.S.C. 3717 and 34 CFR part 30.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1885-0001.)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 7475(b))</SECAUTH> </SECTION> </SUBPART> </PART> </CHAPTER> <CHAPTER> <LRH>34 CFR Ch. VI (7-1-00 Edition)</LRH> <RRH>Off. of Postsecondary Educ., Education</RRH> <TOC> <TOCHD> <PRTPAGE P="169"/> <HD SOURCE="HED">CHAPTER VI—OFFICE OF POSTSECONDARY EDUCATION,</HD> <HD SOURCE="HED">DEPARTMENT OF EDUCATION</HD> </TOCHD> <PTHD>Part</PTHD> <PGHD>Page</PGHD> <CHAPTI> <PT>600</PT> <SUBJECT>Institutional eligibility under the Higher Education Act of 1965, as amended</SUBJECT> <PG>171</PG> <PT>601</PT> <RESERVED>[Reserved]</RESERVED> <PT>602</PT> <SUBJECT>The Secretary's recognition of accrediting agencies</SUBJECT> <PG>192</PG> <PT>603</PT> <SUBJECT>Secretary's recognition procedures for State agencies</SUBJECT> <PG>210</PG> <PT>604</PT> <SUBJECT>Federal-State relationship agreements</SUBJECT> <PG>213</PG> <PT>606</PT> <SUBJECT>Developing Hispanic-serving institutions program</SUBJECT> <PG>214</PG> <PT>607</PT> <SUBJECT>Strengthening institutions program</SUBJECT> <PG>226</PG> <PT>608</PT> <SUBJECT>Strengthening historically Black colleges and universities program</SUBJECT> <PG>239</PG> <PT>609</PT> <SUBJECT>Strengthening historically Black graduate institutions program</SUBJECT> <PG>246</PG> <PT>611</PT> <SUBJECT>Teacher quality enhancement grants program</SUBJECT> <PG>250</PG> <PT>614</PT> <SUBJECT>Preparing tomorrow's teachers to use technology</SUBJECT> <PG>265</PG> <PT>628</PT> <SUBJECT>Endowment challenge grant program</SUBJECT> <PG>267</PG> <PT>636</PT> <SUBJECT>Urban community service program</SUBJECT> <PG>275</PG> <PT>637</PT> <SUBJECT>Minority science and engineering improvement program</SUBJECT> <PG>280</PG> <PT>642</PT> <SUBJECT>Training program for Federal TRIO programs</SUBJECT> <PG>285</PG> <PT>643</PT> <SUBJECT>Talent search</SUBJECT> <PG>290</PG> <PT>644</PT> <SUBJECT>Educational opportunity centers</SUBJECT> <PG>296</PG> <PT>645</PT> <SUBJECT>Upward bound program</SUBJECT> <PG>302</PG> <PT>646</PT> <SUBJECT>Student support services program</SUBJECT> <PG>312</PG> <PT>647</PT> <SUBJECT>Ronald E. McNair Postbaccalaureate Achievement Program</SUBJECT> <PG>318</PG> <PT>648</PT> <SUBJECT>Graduate assistance in areas of national need</SUBJECT> <PG>324</PG> <PT>649</PT> <SUBJECT>Patricia Roberts Harris fellowship program</SUBJECT> <PG>335</PG> <PT>650</PT> <SUBJECT>Jacob K. Javits fellowship program</SUBJECT> <PG>348</PG> <PT>654</PT> <SUBJECT>Robert C. Byrd honors scholarship program</SUBJECT> <PG>354</PG> <PT>655</PT> <SUBJECT>International education programs—general provisions</SUBJECT> <PG>359<PRTPAGE P="170"/> </PG> <PT>656</PT> <SUBJECT>National resource centers program for foreign language and area studies or foreign language and international studies</SUBJECT> <PG>361</PG> <PT>657</PT> <SUBJECT>Foreign language and area studies fellowships program</SUBJECT> <PG>369</PG> <PT>658</PT> <SUBJECT>Undergraduate international studies and foreign language program</SUBJECT> <PG>374</PG> <PT>660</PT> <SUBJECT>The international research and studies program</SUBJECT> <PG>378</PG> <PT>661</PT> <SUBJECT>Business and international education program</SUBJECT> <PG>382</PG> <PT>662</PT> <SUBJECT>Fulbright-Hays doctoral dissertation research abroad fellowship program</SUBJECT> <PG>385</PG> <PT>663</PT> <SUBJECT>Fulbright-Hays faculty research abroad fellowship program</SUBJECT> <PG>389</PG> <PT>664</PT> <SUBJECT>Fulbright-Hays group projects abroad program</SUBJECT> <PG>393</PG> <PT>668</PT> <SUBJECT>Student assistance general provisions</SUBJECT> <PG>398</PG> <PT>669</PT> <SUBJECT>Language resource centers program</SUBJECT> <PG>560</PG> <PT>673</PT> <SUBJECT>General provisions for the Federal Perkins loan program, Federal work-study program, and Federal supplemental educational opportunity grant program</SUBJECT> <PG>563</PG> <PT>674</PT> <SUBJECT>Federal Perkins loan program</SUBJECT> <PG>568</PG> <PT>675</PT> <SUBJECT>Federal work-study programs</SUBJECT> <PG>616</PG> <PT>676</PT> <SUBJECT>Federal supplemental educational opportunity grant program</SUBJECT> <PG>629</PG> <PT>682</PT> <SUBJECT>Federal family education loan (FFEL) program</SUBJECT> <PG>632</PG> <PT>685</PT> <SUBJECT>William D. Ford Federal direct loan program</SUBJECT> <PG>815</PG> <PT>690</PT> <SUBJECT>Federal Pell grant program</SUBJECT> <PG>860</PG> <PT>692</PT> <SUBJECT>Leveraging educational assistance partnership program</SUBJECT> <PG>875</PG> <PT>693</PT> <SUBJECT>National early intervention scholarship and partnership program</SUBJECT> <PG>880</PG> <PT>694</PT> <SUBJECT>Gaining Early Awareness and Readiness for Undergraduate Programs (GEAR UP)</SUBJECT> <PG>895</PG> </CHAPTI> <CROSSREF> <HD SOURCE="HED">Cross-Reference:</HD> <P>Regulations for State Grants for Strengthening the Skills of Teachers and Instruction in Mathematics, Science, Foreign Languages, and Computer Learning and for Increasing the Access of all Students to That Instruction, 34 CFR part 208.</P> </CROSSREF> </TOC> <PART> <PRTPAGE P="171"/> <EAR>Pt. 600</EAR> <HD SOURCE="HED">PART 600—INSTITUTIONAL ELIGIBILITY UNDER THE HIGHER EDUCATION ACT OF 1965, AS AMENDED</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>600.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <SECTNO>600.2</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>600.3</SECTNO> <SUBJECT>[Reserved]</SUBJECT> <SECTNO>600.4</SECTNO> <SUBJECT>Institution of higher education.</SUBJECT> <SECTNO>600.5</SECTNO> <SUBJECT>Proprietary institution of higher education.</SUBJECT> <SECTNO>600.6</SECTNO> <SUBJECT>Postsecondary vocational institution.</SUBJECT> <SECTNO>600.7</SECTNO> <SUBJECT>Conditions of institutional ineligibility.</SUBJECT> <SECTNO>600.8</SECTNO> <SUBJECT>Treatment of a branch campus.</SUBJECT> <SECTNO>600.9</SECTNO> <SUBJECT>Written agreement between an eligible institution and another institution or organization.</SUBJECT> <SECTNO>600.10</SECTNO> <SUBJECT>Date, extent, duration, and consequence of eligibility.</SUBJECT> <SECTNO>600.11</SECTNO> <SUBJECT>Special rules regarding institutional accreditation or preaccreditation.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Procedures for Establishing Eligibility</HD> <SECTNO>600.20</SECTNO> <SUBJECT>Application procedures.</SUBJECT> <SECTNO>600.21</SECTNO> <SUBJECT>Eligibility notification.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Maintaining Eligibility</HD> <SECTNO>600.30</SECTNO> <SUBJECT>Institutional notification requirements.</SUBJECT> <SECTNO>600.31</SECTNO> <SUBJECT>Change in ownership resulting in a change of control.</SUBJECT> <SECTNO>600.32</SECTNO> <SUBJECT>Eligibility of additional locations.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Loss of Eligibility</HD> <SECTNO>600.40</SECTNO> <SUBJECT>Loss of eligibility.</SUBJECT> <SECTNO>600.41</SECTNO> <SUBJECT>Termination and emergency action proceedings.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Eligibility of Foreign Institutions To Apply To Participate in the Federal Family Education Loan (FFEL) Programs</HD> <SECTNO>600.51</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <SECTNO>600.52</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>600.53</SECTNO> <SUBJECT>Requesting an eligibility determination.</SUBJECT> <SECTNO>600.54</SECTNO> <SUBJECT>Criteria for determining whether a foreign institution is eligible to apply to participate in the FFEL programs.</SUBJECT> <SECTNO>600.55</SECTNO> <SUBJECT>Additional criteria for determining whether a foreign graduate medical school is eligible to apply to participate in the FFEL programs.</SUBJECT> <SECTNO>600.56</SECTNO> <SUBJECT>Additional criteria for determining whether a foreign veterinary school is eligible to apply to participate in the FFEL programs.</SUBJECT> <SECTNO>600.57</SECTNO> <SUBJECT>Duration of eligibility determination.</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>20 U.S.C. 1001, 1002, 1003, 1088, 1091, 1094, 1099b, and 1099(c), unless otherwise noted.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>53 FR 11210, Apr. 5, 1988, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>59 FR 22336, Apr. 29, 1994, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 600.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <P>This part establishes the rules and procedures that the Secretary uses to determine whether an educational institution qualifies in whole or in part as an eligible institution of higher education under the Higher Education Act of 1965, as amended (HEA). An eligible institution of higher education may apply to participate in programs authorized by the HEA (HEA programs).</P> <SECAUTH>(Authority: 20 U.S.C. 1088, 1094, 1099b, 1099c, and 1141)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 600.2</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>The following definitions apply to terms used in this part:</P> <P> <E T="03">Accredited:</E> The status of public recognition that a nationally recognized accrediting agency grants to an institution or educational program that meets the agency's established requirements.</P> <P> <E T="03">Award year:</E> The period of time from July 1 of one year through June 30 of the following year.</P> <P> <E T="03">Branch Campus:</E> A location of an institution that is geographically apart and independent of the main campus of the institution. The Secretary considers a location of an institution to be independent of the main campus if the location—</P> <P>(1) Is permanent in nature;</P> <P>(2) Offers courses in educational programs leading to a degree, certificate, or other recognized educational credential;</P> <P>(3) Has its own faculty and administrative or supervisory organization; and</P> <P>(4) Has its own budgetary and hiring authority.</P> <P> <E T="03">Clock hour:</E> A period of time consisting of—</P> <P>(1) A 50- to 60-minute class, lecture, or recitation in a 60-minute period;<PRTPAGE P="172"/> </P> <P>(2) A 50- to 60-minute faculty-supervised laboratory, shop training, or internship in a 60-minute period; or</P> <P>(3) Sixty minutes of preparation in a correspondence course.</P> <P> <E T="03">Correspondence course:</E> (1) A “home study” course provided by an institution under which the institution provides instructional materials, including examinations on the materials, to students who are not physically attending classes at the institution. When students complete a portion of the instructional materials, the students take the examinations that relate to that portion of the materials, and return the examinations to the institution for grading.</P> <P>(2) A home study course that provides instruction in whole or in part through the use of video cassettes or video discs in an award year is a correspondence course unless the institution also delivers the instruction on the cassette or disc to students physically attending classes at the institution during the same award year.</P> <P>(3) A course at an institution that may otherwise satisfy the definition of a “telecommunications course” is a correspondence course if the sum of telecommunications and other correspondence courses offered by that institution equals or exceeds 50 percent of the total courses offered at that institution.</P> <P>(4) If a course is part correspondence and part residential training, the Secretary considers the course to be a correspondence course.</P> <P> <E T="03">Educational program:</E> A legally authorized postsecondary program of organized instruction or study that leads to an academic, professional, or vocational degree, or certificate, or other recognized educational credential. However, the Secretary does not consider that an institution provides an educational program if the institution does not provide instruction itself (including a course of independent study), but merely gives credit for one or more of the following: instruction provided by other institutions or schools; examinations provided by agencies or organizations; or other accomplishments such as “life experience.”</P> <P> <E T="03">Eligible institution:</E> An institution that—</P> <P>(1) Qualifies as—</P> <P>(i) An institution of higher education, as defined in § 600.4;</P> <P>(ii) A proprietary institution of higher education, as defined in § 600.5; or</P> <P>(iii) A postsecondary vocational institution, as defined in § 600.6; and</P> <P>(2) Meets all the other applicable provisions of this part.</P> <P> <E T="03">Federal Family Education Loan (FFEL) Programs:</E> The loan programs (formerly called the Guaranteed Student Loan (GSL) programs) authorized by title IV-B of the HEA, including the Federal Stafford Loan, Federal PLUS, Federal Supplemental Loans for Students (Federal SLS), and Federal Consolidation Loan programs, in which lenders use their own funds to make loans to enable students or their parents to pay the costs of the students’ attendance at eligible institutions. The Federal Stafford Loan, Federal PLUS, Federal SLS, and Federal Consolidation Loan programs are defined in 34 CFR part 668.</P> <P> <E T="03">Incarcerated student:</E> A student who is serving a criminal sentence in a Federal, State, or local penitentiary, prison, jail, reformatory, work farm, or other similar correctional institution. A student is not considered incarcerated if that student is in a half-way house or home detention or is sentenced to serve only weekends.</P> <P> <E T="03">Legally authorized:</E> The legal status granted to an institution through a charter, license, or other written document issued by the appropriate agency or official of the State in which the institution is physically located.</P> <P> <E T="03">Nationally recognized accrediting agency:</E> An agency or association that the Secretary recognizes as a reliable authority to determine the quality of education or training offered by an institution or a program offered by an institution. The Secretary recognizes these agencies and associations under the provisions of 34 CFR part 602 and publishes a list of the recognized agencies in the <E T="04">Federal Register.</E> </P> <P> <E T="03">Nonprofit institution:</E> An institution that—</P> <P>(1) Is owned and operated by one or more nonprofit corporations or associations, no part of the net earnings of which benefits any private shareholder or individual;<PRTPAGE P="173"/> </P> <P>(2) Is legally authorized to operate as a nonprofit organization by each State in which it is physically located; and</P> <P>(3) Is determined by the U.S. Internal Revenue Service to be an organization to which contributions are tax-deductible in accordance with section 501(c)(3) of the Internal Revenue Code (26 U.S.C. 501(c)(3)).</P> <P> <E T="03">One-academic-year training program:</E> An educational program that is at least one academic year as defined under 34 CFR 668.2.</P> <P> <E T="03">Preaccredited:</E> A status that a nationally recognized accrediting agency, recognized by the Secretary to grant that status, has accorded an unaccredited public or private nonprofit institution that is progressing toward accreditation within a reasonable period of time.</P> <P> <E T="03">Recognized equivalent of a high school diploma:</E> The following are the equivalent of a high school diploma—</P> <P>(1) A General Education Development Certificate (GED);</P> <P>(2) A State certificate received by a student after the student has passed a State-authorized examination that the State recognizes as the equivalent of a high school diploma;</P> <P>(3) An academic transcript of a student who has successfully completed at least a two-year program that is acceptable for full credit toward a bachelor's degree; or</P> <P>(4) For a person who is seeking enrollment in an educational program that leads to at least an associate degree or its equivalent and who has not completed high school but who excelled academically in high school, documentation that the student excelled academically in high school and has met the formalized, written policies of the institution for admitting such students.</P> <P> <E T="03">Recognized occupation:</E> An occupation that is—</P> <P>(1) Listed in an “occupational division” of the latest edition of the <E T="03">Dictionary of Occupational Titles,</E> published by the U.S. Department of Labor; or</P> <P>(2) Determined by the Secretary in consultation with the Secretary of Labor to be a recognized occupation.</P> <P> <E T="03">Regular student:</E> A person who is enrolled or accepted for enrollment at an institution for the purpose of obtaining a degree, certificate, or other recognized educational credential offered by that institution.</P> <P> <E T="03">Secretary:</E> The Secretary of the Department of Education or an official or employee of the Department of Education acting for the Secretary under a delegation of authority.</P> <P> <E T="03">State:</E> A State of the Union, American Samoa, the Commonwealth of Puerto Rico, the District of Columbia, Guam, the Virgin Islands, the Commonwealth of the Northern Mariana Islands, the Republic of the Marshall Islands, the Federated States of Micronesia, and the Republic of Palau. The latter three are also known as the Freely Associated States.</P> <P> <E T="03">Telecommunications course:</E> A course offered in an award year principally through the use of television, audio, or computer transmission, including open broadcast, closed circuit, cable, microwave, or satellite, audio conferencing, computer conferencing, or video cassettes or discs. The term does not include a course that is delivered using video cassettes or disc recordings unless that course is delivered to students physically attending classes at an institution providing the course during the same award year. If the course does not qualify as a telecommunications course it is considered to be a correspondence course, as provided for in paragraph (c) of the definition of correspondence course in this section.</P> <P> <E T="03">Title IV, HEA program:</E> Any of the student financial assistance programs listed in 34 CFR 668.1(c).</P> <SECAUTH>(Authority: <E T="01">20 U.S.C. 1071</E> <E T="03">et seq.,</E> 1078-2, 1088, 1099b, 1099c, and 1141 and 26 U.S.C. 501(c).)</SECAUTH> <CITA>[59 FR 22336, Apr. 29, 1994, as amended at 63 FR 40622, July 29, 1998; 64 FR 58615, Oct. 29, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 600.3</SECTNO> <RESERVED>[Reserved]</RESERVED> </SECTION> <SECTION> <SECTNO>§ 600.4</SECTNO> <SUBJECT>Institution of higher education.</SUBJECT> <P>(a) An institution of higher education is a public or private nonprofit educational institution that—</P> <P>(1) Is in a State, or for purposes of the Federal Pell Grant, Federal Supplemental Educational Opportunity Grant, Federal Work-Study, and Federal TRIO programs may also be located in the Federated States of Micronesia or the Marshall Islands;<PRTPAGE P="174"/> </P> <P>(2) Admits as regular students only persons who—</P> <P>(i) Have a high school diploma;</P> <P>(ii) Have the recognized equivalent of a high school diploma; or</P> <P>(iii) Are beyond the age of compulsory school attendance in the State in which the institution is physically located;</P> <P>(3) Is legally authorized to provide an educational program beyond secondary education in the State in which the institution is physically located;</P> <P>(4) Provides an educational program—</P> <P>(i) For which it awards an associate, baccalaureate, graduate, or professional degree;</P> <P>(ii) That is at least a two-academic-year program acceptable for full credit toward a baccalaureate degree; or</P> <P>(iii) That is at least a one-academic-year training program that leads to a certificate, degree, or other recognized educational credential and prepares students for gainful employment in a recognized occupation; and</P> <P>(5) Is—</P> <P>(i) Accredited or preaccredited; or</P> <P>(ii) Approved by a State agency listed in the <E T="04">Federal Register</E> in accordance with 34 CFR part 603, if the institution is a public postsecondary vocational educational institution that seeks to participate only in Federal student assistance programs.</P> <P>(b) An institution is physically located in a State if it has a campus or other instructional site in that State.</P> <P>(c) The Secretary does not recognize the accreditation or preaccreditation of an institution unless the institution agrees to submit any dispute involving the final denial, withdrawal, or termination of accreditation to initial arbitration before initiating any other legal action.</P> <SECAUTH>(Authority: <E T="01">20 U.S.C. 1094, 1099b, and 1141(a))</E> </SECAUTH> <CITA>[59 FR 22336, Apr. 29, 1994, as amended at 64 FR 58615, Oct. 29, 1999</CITA> </SECTION> <SECTION> <SECTNO>§ 600.5</SECTNO> <SUBJECT>Proprietary institution of higher education.</SUBJECT> <P>(a) A proprietary institution of higher education is an educational institution that—</P> <P>(1) Is not a public or private nonprofit educational institution;</P> <P>(2) Is in a State;</P> <P>(3) Admits as regular students only persons who—</P> <P>(i) Have a high school diploma;</P> <P>(ii) Have the recognized equivalent of a high school diploma; or</P> <P>(iii) Are beyond the age of compulsory school attendance in the State in which the institution is physically located;</P> <P>(4) Is legally authorized to provide an educational program beyond secondary education in the State in which the institution is physically located;</P> <P>(5) Provides an eligible program of training, as defined in 34 CFR 668.8, to prepare students for gainful employment in a recognized occupation;</P> <P>(6) Is accredited;</P> <P>(7) Has been in existence for at least two years; and</P> <P>(8) Has no more than 90 percent of its revenues derived from title IV, HEA program funds, as determined under paragraph (d) of this section.</P> <P>(b)(1) The Secretary considers an institution to have been in existence for two years only if—</P> <P>(i) The institution has been legally authorized to provide, and has provided, a continuous educational program to prepare students for gainful employment in a recognized occupation during the 24 months preceding the date of its eligibility application; and</P> <P>(ii) The educational program that the institution provides on the date of its eligibility application is substantially the same in length and subject matter as the program that the institution provided during the 24 months preceding the date of its eligibility application.</P> <P>(2)(i) The Secretary considers an institution to have provided a continuous educational program during the 24 months preceding the date of its eligibility application even if the institution did not provide that program during normal vacation periods, or periods when the institution temporarily closed due to a natural disaster that directly affected the institution or the institution's students.</P> <P>(ii) The Secretary considers an institution to have satisfied the provisions of paragraph (b)(1)(ii) of this section if the institution substantially changed the subject matter of the educational <PRTPAGE P="175"/>program it provided during that 24-month period because of new technology or the requirements of other Federal agencies.</P> <P>(3) In determining whether an applicant institution satisfies the requirement contained in paragraph (b)(1) of this section, the Secretary—</P> <P>(i) Counts any period during which the applicant institution has been certified as a branch campus; and</P> <P>(ii) Except as provided in paragraph (b)(3)(i) of this section, does not count any period during which the applicant institution was a part of another eligible proprietary institution of higher education, postsecondary vocational institution, or vocational school.</P> <P>(c) An institution is physically located in a State if it has a campus or other instructional site in that State.</P> <P>(d)(1) An institution satisfies the requirement contained in paragraph (a)(8) of this section by examining its revenues under the following formula for its latest complete fiscal year: </P> <FP SOURCE="FP-1">Title IV, HEA program funds the institution used to satisfy its students’ tuition, fees, and other institutional charges to students</FP> <FP SOURCE="FP-1">The sum of revenues including title IV, HEA program funds generated by the institution from: tuition, fees, and other institutional charges for students enrolled in eligible programs as defined in 34 CFR 668.8; and activities conducted by the institution, to the extent not included in tuition, fees, and other institutional charges, that are necessary for the education or training of its students who are enrolled in those eligible programs.</FP> <P>(2) An institution must use the cash basis of accounting when calculating the amount of title IV, HEA program funds in the numerator and the total amount of revenue generated by the institution in the denominator of the fraction contained in paragraph (d)(1) of this section.</P> <P>(3) Under the cash basis of accounting—</P> <P>(i) In calculating the amount of revenue generated by the institution from institutional loans, the institution must include only the amount of loan repayments received by the institution during the fiscal year; and</P> <P>(ii) In calculating the amount of revenue generated by the institution from institutional scholarships, the institution must include only the amount of funds it disbursed during the fiscal year from an established restricted account and only to the extent that the funds in that account represent designated funds from an outside source or income earned on those funds.</P> <P>(e) With regard to the formula contained in paragraph(d)(1) of this section—</P> <P>(1) The institution may not include as title IV, HEA program funds in the numerator nor as revenue generated by the institution in the denominator—</P> <P>(i) The amount of funds it received under the Federal Work-Study (FWS) Program, unless the institution used those funds to pay a student's institutional charges in which case the FWS program funds used to pay those charges would be included in the numerator and denominator.</P> <P>(ii) The amount of funds it received under the Leveraging Educational Assistance Partnership (LEAP) Program. (The LEAP Program was formerly called the State Student Incentive Grant or SSIG Program.);</P> <P>(iii) The amount of institutional funds it used to match title IV, HEA program funds;</P> <P>(iv) The amount of title IV, HEA program funds that must be refunded or returned under § 668.22; or</P> <P>(v) The amount charged for books, supplies, and equipment unless the institution includes that amount as tuition, fees, or other institutional charges.</P> <P>(2) In determining the amount of title IV, HEA program funds received by the institution under the cash basis of accounting, except as provided in paragraph (e)(3) of this section, the institution must presume that any title IV, HEA program funds disbursed or delivered to or on behalf of a student will be used to pay the student's tuition, fees, or other institutional charges, regardless of whether the institution credits those funds to the student's account or pays those funds directly to the student, and therefore must include those funds in the numerator and denominator.<PRTPAGE P="176"/> </P> <P>(3) In paragraph (e)(2) of this section, the institution may not presume that title IV, HEA program funds were used to pay tuition, fees, and other institutional charges to the extent that those charges were satisfied by—</P> <P>(i) Grant funds provided by non-Federal public agencies, or private sources independent of the institution;</P> <P>(ii) Funds provided under a contractual arrangement described in § 600.7(d), or</P> <P>(iii) Funds provided by State prepaid tuition plans.</P> <P>(4) With regard to the denominator, revenue generated by the institution from activities it conducts, that are necessary for its students’ education or training, includes only revenue from those activities that—</P> <P>(i) Are conducted on campus or at a facility under the control of the institution;</P> <P>(ii) Are performed under the supervision of a member of the institution's faculty; and</P> <P>(iii) Are required to be performed by all students in a specific educational program at the institution.</P> <P>(f) An institution must notify the Secretary within 90 days following the end of the fiscal year used in paragraph (d)(1) of this section if it fails to satisfy the requirement contained in paragraph (a)(8) of this section.</P> <P>(g) If an institution loses its eligibility because it failed to satisfy the requirement contained in paragraph (a)(8) of this section, to regain its eligibility it must demonstrate compliance with all eligibility requirements for at least the fiscal year following the fiscal year used in paragraph (d)(1) of this section.</P> <P>(h) The Secretary does not recognize the accreditation of an institution unless the institution agrees to submit any dispute involving the final denial, withdrawal, or termination of accreditation to initial arbitration before initiating any other legal action.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1840-0098)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 1088)</SECAUTH> <CITA>[59 FR 22336, Apr. 29, 1994; 59 FR 32082, June 22, 1994, as amended at 59 FR 47801, Sept. 19, 1994; 59 FR 61177, Nov. 29, 1994; 61 FR 29901, June 12, 1996; 61 FR 60569, Nov. 29, 1996; 64 FR 58615, Oct. 29, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 600.6</SECTNO> <SUBJECT>Postsecondary vocational institution.</SUBJECT> <P>(a) A postsecondary vocational institution is a public or private nonprofit educational institution that—</P> <P>(1) Is in a State;</P> <P>(2) Admits as regular students only persons who—</P> <P>(i) Have a high school diploma;</P> <P>(ii) Have the recognized equivalent of a high school diploma; or</P> <P>(iii) Are beyond the age of compulsory school attendance in the State in which the institution is physically located;</P> <P>(3) Is legally authorized to provide an educational program beyond secondary education in the State in which the institution is physically located;</P> <P>(4) Provides an eligible program of training, as defined in 34 CFR 668.8, to prepare students for gainful employment in a recognized occupation;</P> <P>(5) Is—</P> <P>(i) Accredited or preaccredited; or</P> <P>(ii) Approved by a State agency listed in the <E T="04">Federal Register</E> in accordance with 34 CFR part 603, if the institution is a public postsecondary vocational educational institution that seeks to participate only in Federal assistance programs; and</P> <P>(6) Has been in existence for at least two years.</P> <P>(b)(1) The Secretary considers an institution to have been in existence for two years only if—</P> <P>(i) The institution has been legally authorized to provide, and has provided, a continuous education or training program to prepare students for gainful employment in a recognized occupation during the 24 months preceding the date of its eligibility application; and</P> <P>(ii) The education or training program it provides on the date of its eligibility application is substantially the same in length and subject matter as the program it provided during the 24 months preceding the date of its eligibility application.</P> <P>(2)(i) The Secretary considers an institution to have provided a continuous education or training program during the 24 months preceding the date of its eligibility application even if the institution did not provide that program <PRTPAGE P="177"/>during normal vacation periods, or periods when the institution temporarily closed due to a natural disaster that affected the institution or the institution's students.</P> <P>(ii) The Secretary considers an institution to have satisfied the provisions of paragraph (b)(1)(ii) of this section if the institution substantially changed the subject matter of the educational program it provided during that 24-month period because of new technology or the requirements of other Federal agencies.</P> <P>(3) In determining whether an applicant institution satisfies the requirement contained in paragraph (b)(1) of this section, the Secretary—</P> <P>(i) Counts any period during which the applicant institution qualified as an eligible institution of higher education;</P> <P>(ii) Counts any period during which the applicant institution was part of another eligible institution of higher education, provided that the applicant institution continues to be part of an eligible institution of higher education;</P> <P>(iii) Counts any period during which the applicant institution has been certified as a branch campus; and</P> <P>(iv) Except as provided in paragraph (b)(3)(iii) of this section, does not count any period during which the applicant institution was a part of another eligible proprietary institution of higher education or postsecondary vocational institution.</P> <P>(c) An institution is physically located in a State or other instructional site if it has a campus or instructional site in that State.</P> <P>(d) The Secretary does not recognize the accreditation or preaccreditation of an institution unless the institution agrees to submit any dispute involving the final denial, withdrawal, or termination of accreditation to initial arbitration before initiating any other legal action.</P> <SECAUTH>(Authority: 20 U.S.C. 1088 and 1094(c)(3))</SECAUTH> <CITA>[59 FR 22336, Apr. 29, 1994, as amended at 64 FR 58616, Oct. 29, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 600.7</SECTNO> <SUBJECT>Conditions of institutional ineligibility.</SUBJECT> <P>(a) <E T="03">General rule.</E> For purposes of title IV of the HEA, an educational institution that otherwise satisfies the requirements contained in §§ 600.4, 600.5, or 600.6 nevertheless does not qualify as an eligible institution under this part if—</P> <P>(1) For its latest complete award year—</P> <P>(i) More than 50 percent of the institution's courses were correspondence courses as calculated under paragraph (b) of this section;</P> <P>(ii) Fifty percent or more of the institution's regular enrolled students were enrolled in correspondence courses;</P> <P>(iii) More than twenty-five percent of the institution's regular enrolled students were incarcerated;</P> <P>(iv) More than fifty percent of its regular enrolled students had neither a high school diploma nor the recognized equivalent of a high school diploma, and the institution does not provide a four-year or two-year educational program for which it awards a bachelor's degree or an associate degree, respectively;</P> <P>(2) The institution, or an affiliate of the institution that has the power, by contract or ownership interest, to direct or cause the direction of the management of policies of the institution—</P> <P>(A) Files for relief in bankruptcy, or</P> <P>(B) Has entered against it an order for relief in bankruptcy; or</P> <P>(3) The institution, its owner, or its chief executive officer—</P> <P>(i) Has pled guilty to, has pled <E T="03">nolo contendere</E> to, or is found guilty of, a crime involving the acquisition, use, or expenditure of title IV, HEA program funds; or</P> <P>(ii) Has been judicially determined to have committed fraud involving title IV, HEA program funds.</P> <P>(b) <E T="03">Special provisions regarding correspondence courses and students</E>—(1) <E T="03">Treatment of telecommunications courses.</E> For purposes of paragraphs (a)(1) (i) and (ii) of this section, the Secretary considers a telecommunications course to be a correspondence course if the sum of telecommunications courses and other correspondence courses the institution provided during that award year equaled or exceeded 50 percent of the total number of courses it provided during that year.<PRTPAGE P="178"/> </P> <P>(2) <E T="03">Calculating the number of courses.</E> For purposes of paragraphs (a)(1) (i) and (ii) of this section—</P> <P>(i) A correspondence course may be a complete educational program offered by correspondence, or one course provided by correspondence in an on-campus (residential) educational program;</P> <P>(ii) A course must be considered as being offered once during an award year regardless of the number of times it is offered during that year; and</P> <P>(iii) A course that is offered both on campus and by correspondence must be considered two courses for the purpose of determining the total number of courses the institution provided during an award year.</P> <P>(3) <E T="03">Exceptions.</E> (i) The provisions contained in paragraphs (a)(1) (i) and (ii) of this section do not apply to an institution that qualifies as a “technical institute or vocational school used exclusively or principally for the provision of vocational education to individuals who have completed or left high school and who are available for study in preparation for entering the labor market” under section 521(4)(C) of the Carl D. Perkins Vocational and Applied Technology Education Act.</P> <P>(ii) The Secretary waives the limitation contained in paragraph (a)(1)(ii) of this section for an institution that offers a 2-year associate-degree or a 4-year bachelor's-degree program if the students enrolled in the institution's correspondence courses receive no more than 5 percent of the title IV, HEA program funds received by students at that institution.</P> <P>(c) <E T="03">Special provisions regarding incarcerated students</E>—(1) <E T="03">Exception.</E> The Secretary may waive the prohibition contained in paragraph (a)(1)(iii) of this section, upon the application of an institution, if the institution is a nonprofit institution that provides four-year or two-year educational programs for which it awards a bachelor's degree, an associate degree, or a postsecondary diploma.</P> <P>(2) <E T="03">Waiver for entire institution.</E> If the nonprofit institution that applies for a waiver consists solely of four-year or two-year educational programs for which it awards a bachelor's degree, an associate degree, or a postsecondary diploma, the Secretary waives the prohibition contained in paragraph (a)(1)(iii) of this section for the entire institution.</P> <P>(3) <E T="03">Other waivers.</E> If the nonprofit institution that applies for a waiver does not consist solely of four-year or two-year educational programs for which it awards a bachelor's degree, an associate degree, or a postsecondary diploma, the Secretary waives the prohibition contained in paragraph (a)(1)(iii) of this section—</P> <P>(i) For the four-year and two-year programs for which it awards a bachelor's degree, an associate degree or a postsecondary diploma; and</P> <P>(ii) For the other programs the institution provides, if the incarcerated regular students enrolled in those other programs have a completion rate of 50 percent or greater.</P> <P>(d) <E T="03">Special provision for a nonprofit institution if more than 50 percent of its enrollment consists of students who do not have a high school diploma or its equivalent.</E> (1) Subject to the provisions contained in paragraphs (d)(2) and (d)(3) of this section, the Secretary waives the limitation contained in paragraph (a)(1)(iv) of this section for a nonprofit institution if that institution demonstrates to the Secretary's satisfaction that it exceeds that limitation because it serves, through contracts with Federal, State, or local government agencies, significant numbers of students who do not have a high school diploma or its recognized equivalent.</P> <P>(2) <E T="03">Number of critical students.</E> The Secretary grants a waiver under paragraph (d)(1) of this section only if no more than 40 percent of the institution's enrollment of regular students consists of students who—</P> <P>(i) Do not have a high school diploma or its equivalent; and</P> <P>(ii) Are not served through contracts described in paragraph (d)(3) of this section.</P> <P>(3) <E T="03">Contracts with Federal, State, or local government agencies.</E> For purposes of granting a waiver under paragraph (d)(1) of this section, the contracts referred to must be with Federal, State, or local government agencies for the purpose of providing job training to low-income individuals who are in need of that training. An example of such a contract is a job training contract <PRTPAGE P="179"/>under the Job Training Partnership Act (JPTA).</P> <P>(e) <E T="03">Special provisions.</E> (1) For purposes of paragraph (a)(1)of this section, when counting regular students, the institution shall—</P> <P>(i) Count each regular student without regard to the full-time or part-time nature of the student's attendance (i.e., “head count” rather than “full-time equivalent”);</P> <P>(ii) Count a regular student once regardless of the number of times the student enrolls during an award year; and</P> <P>(iii) Determine the number of regular students who enrolled in the institution during the relevant award year by—</P> <P>(A) Calculating the number of regular students who enrolled during that award year; and</P> <P>(B) Excluding from the number of students in paragraph (e)(1)(iii)(A) of this section, the number of regular students who enrolled but subsequently withdrew or were expelled from the institution and were entitled to receive a 100 percent refund of their tuition and fees less any administrative fee that the institution is permitted to keep under its fair and equitable refund policy.</P> <P>(2) For the purpose of calculating a completion rate under paragraph (c)(3)(ii) of this section, the institution shall—</P> <P>(i) Determine the number of regular incarcerated students who enrolled in the other programs during the last completed award year;</P> <P>(ii) Exclude from the number of regular incarcerated students determined in paragraph (e)(2)(i) of this section, the number of those students who enrolled but subsequently withdrew or were expelled from the institution and were entitled to receive a 100 percent refund of their tuition and fees, less any administrative fee the institution is permitted to keep under the institution's fair and equitable refund policy;</P> <P>(iii) Exclude from the total obtained in paragraph (e)(2)(ii) of this section, the number of those regular incarcerated students who remained enrolled in the programs at the end of the applicable award year;</P> <P>(iv) From the total obtained in paragraph (e)(2)(iii) of this section, determine the number of regular incarcerated students who received a degree, certificate, or other recognized educational credential awarded for successfully completing the program during the applicable award year; and</P> <P>(v) Divide the total obtained in paragraph (e)(2)(iv) of this section by the total obtained in paragraph (e)(2)(iii) of this section and multiply by 100.</P> <P>(f)(1) If the Secretary grants a waiver to an institution under this section, the waiver extends indefinitely provided that the institution satisfies the waiver requirements in each award year.</P> <P>(2) If an institution fails to satisfy the waiver requirements for an award year, the institution becomes ineligible on June 30 of that award year.</P> <P>(g)(1) For purposes of paragraph (a)(1) of this section, and any applicable waiver or exception under this section, the institution shall substantiate the required calculations by having the certified public accountant who prepares its audited financial statement under 34 CFR 668.15 or its title IV, HEA program compliance audit under 34 CFR 668.23 report on the accuracy of those determinations.</P> <P>(2) The certified public accountant's report must be based on performing an “attestation engagement” in accordance with the American Institute of Certified Public Accountants (AICPA's) Statement on Standards for Attestation Engagements. The certified public accountant shall include that attestation report with or as part of the audit report referenced in paragraph (g)(1) of this section.</P> <P>(3) The certified public accountant's attestation report must indicate whether the institution's determinations regarding paragraph (a)(1) of this section and any relevant waiver or exception under paragraphs (b), (c), and (d) of this section are accurate; <E T="03">i.e.,</E> fairly presented in all material respects.</P> <P>(h) <E T="03">Notice to the Secretary.</E> An institution shall notify the Secretary—</P> <P>(1) By July 31 following the end of an award year if it falls within one of the prohibitions contained in paragraph <PRTPAGE P="180"/>(a)(1)of this section, or fails to continue to satisfy a waiver or exception granted under this section; or</P> <P>(2) Within 10 days if it falls within one of the prohibitions contained in paragraphs (a)(2) or (a)(3) of this section.</P> <P>(i) <E T="03">Regaining eligibility.</E> (1) If an institution loses its eligibility because of one of the prohibitions contained in paragraph (a)(1) of this section, to regain its eligibility, it must demonstrate—</P> <P>(i) Compliance with all eligibility requirements;</P> <P>(ii) That it did not fall within any of the prohibitions contained in paragraph (a)(1) of this section for at least one award year; and</P> <P>(iii) That it changed its administrative policies and practices to ensure that it will not fall within any of the prohibitions contained in paragraph (a)(1) of this section.</P> <P>(2) If an institution loses its eligibility because of one of the prohibitions contained in paragraphs (a)(2) and (a)(3) of this section, this loss is permanent. The institution's eligibility cannot be reinstated.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1840-0098)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 1088)</SECAUTH> <CITA>[59 FR 22336, Apr. 29, 1994; 59 FR 32082, June 22, 1994, as amended at 59 FR 47801, Sept. 19, 1994; 60 FR 34430, June 30, 1995; 64 FR 58616, Oct. 29, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 600.8</SECTNO> <SUBJECT>Treatment of a branch campus.</SUBJECT> <P>A branch campus of an eligible institution must be in existence for at least two years as a branch campus after the branch is certified as a branch campus before seeking to be designated as a main campus or a free-standing institution.</P> <SECAUTH>(Authority: 20 U.S.C. 1099c)</SECAUTH> <CITA>[64 FR 58616, Oct. 29, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 600.9</SECTNO> <SUBJECT>Written agreement between an eligible institution and another institution or organization.</SUBJECT> <P>(a) Without losing its eligibility under this part, an eligible institution may enter into a written agreement with another eligible institution under which the latter institution provides all or a part of the educational program of students enrolled in the former institution if the former institution gives credit to students enrolled in that contracted program on the same basis as if it provided that program itself.</P> <P>(b) Without losing its eligibility under this part, an eligible institution may enter into a written agreement with an institution or organization that is not an eligible institution under which the latter institution or organization provides a part of the educational program of students enrolled in the eligible institution if—</P> <P>(1) The eligible institution gives credit to students enrolled in that contracted program on the same basis as if it provided that program itself;</P> <P>(2) The ineligible institution or organization—</P> <P>(i) Has not been terminated from participation in the title-IV, HEA programs; or</P> <P>(ii) Has not withdrawn from participation in the title IV, HEA programs under a termination, show-cause, suspension, or similar type proceeding initiated by the institution's State licensing agency, accrediting agency, guarantor, or by the Secretary; and</P> <P>(3) The ineligible institution or organization provides—</P> <P>(i) Not more than 25 percent of the educational program of a student enrolled in the eligible institution; or</P> <P>(ii) More than 25 percent but not more than 50 percent of the educational program of a student enrolled in the eligible institution so long as—</P> <P>(A) The eligible institution and the ineligible institution or organization are not owned or controlled by the same individual, partnership, or corporation; and</P> <P>(B) The eligible institution's accrediting agency or, if the eligible institution is a public postsecondary vocational educational institution, the relevant State agency listed in the <E T="04">Federal Register</E> in accordance with 34 CFR part 603, specifically determines that the institution's agreement meets the agency's standards for the contracting out of educational services.</P> <SECAUTH>(Authority: 20 U.S.C. 1094)</SECAUTH> <CITA>[59 FR 22336, Apr. 29, 1994, as amended at 63 FR 40622, July 29, 1998]</CITA> </SECTION> <SECTION> <PRTPAGE P="181"/> <SECTNO>§ 600.10</SECTNO> <SUBJECT>Date, extent, duration, and consequence of eligibility.</SUBJECT> <P>(a) <E T="03">Date of eligibility.</E> (1) If the Secretary determines that an applicant institution satisfies all the statutory and regulatory eligibility requirements, the Secretary considers the institution to be an eligible institution as of the date—</P> <P>(i) The Secretary signs the institution's program participation agreement described in 34 CFR part 668, subpart B, for purposes of participating in any title IV, HEA program; and</P> <P>(ii) The Secretary receives all the information necessary to make that determination for purposes other than participating in any title IV, HEA program.</P> <P>(2) For purposes of participating in a title IV, HEA program, if an eligible institution seeks eligibility for a location or educational program not previously designated eligible, and the Secretary determines that the location or educational program satisfies all the statutory and regulatory eligibility requirements, the Secretary considers the location or program to be eligible to participate in that title IV, HEA program as of the date the Secretary certifies that location or program to so participate.</P> <P>(b) <E T="03">Extent of eligibility.</E> (1) If the Secretary determines that the entire applicant institution, including all its locations and all its educational programs, satisfies the applicable requirements of this part, the Secretary extends eligibility to all educational programs and locations identified on the institution's application for eligibility.</P> <P>(2) If the Secretary determines that only certain educational programs or certain locations of an applicant institution satisfy the applicable requirements of this part, the Secretary extends eligibility only to those educational programs and locations that meet those requirements and identifies the eligible educational programs and locations in the eligibility notice sent to the institution under § 600.21.</P> <P>(3) Eligibility does not extend to any location that an institution establishes after it receives its eligibility designation if the institution provides at least 50 percent of an educational program at that location, unless—</P> <P>(i) The institution has notified the Secretary of that location in accordance with § 600.30(a)(3); and</P> <P>(ii) The Secretary does not require the institution to submit an eligibility application for that location under § 600.21(c).</P> <P>(c) <E T="03">Subsequent additions of educational programs.</E> (1) Except as provided in paragraph (c)(2) of this section, if an eligible institution adds an educational program after it has been designated as an eligible institution by the Secretary, the institution must apply to the Secretary to have that additional program designated as an eligible program of that institution.</P> <P>(2) An eligible institution that adds an educational program after it has been designated as an eligible institution by the Secretary does not have to apply to the Secretary to have that additional program designated as an eligible program of that institution if the additional program—</P> <P>(i) Leads to an associate, baccalaureate, professional, or graduate degree; or</P> <P>(ii)(A) Prepares students for gainful employment in the same or related recognized occupation as an educational program that has previously been designated as an eligible program at that institution by the Secretary; and</P> <P>(B) Is at least 8 semester hours, 12 quarter hours, or 600 clock hours.</P> <P>(3) If an institution incorrectly determines under paragraph (c)(2) of this section that an educational program satisfies the applicable statutory and regulatory eligibility provisions without applying to the Secretary for approval, the institution is liable to repay to the Secretary all HEA program funds received by the institution for that educational program, and all the title IV, HEA program funds received by or on behalf of students who were enrolled in that educational program.</P> <P>(d) <E T="03">Duration of eligibility.</E> (1) If an institution participates in the title IV, HEA programs, the Secretary's designation of the institution as an eligible institution under the title IV, HEA programs expires when the institution's program participation agreement, as described in 34 CFR part 668, subpart B, expires.<PRTPAGE P="182"/> </P> <P>(2) If an institution participates in an HEA program other than a title IV, HEA program, the Secretary's designation of the institution as an eligible institution, for purposes of that non-title IV, HEA program, does not expire as long as the institution continues to satisfy the statutory and regulatory requirements governing its eligibility.</P> <P>(e) <E T="03">Consequence of eligibility.</E> (1) If, as a part of its institutional eligibility application, an institution indicates that it wishes to participate in a title IV, HEA program and the Secretary determines that the institution satisfies the applicable statutory and regulatory requirements governing institutional eligibility, the Secretary will determine whether the institution satisfies the standards of administrative capability and financial responsibility contained in 34 CFR part 668, subpart B.</P> <P>(2) If, as part of its institutional eligibility application, an institution indicates that it does not wish to participate in any title IV, HEA program and the Secretary determines that the institution satisfies the applicable statutory and regulatory requirements governing institutional eligibility, the institution is eligible to apply to participate in any HEA program listed by the Secretary in the eligibility notice it receives under § 600.21. However, the institution is not eligible to participate in those programs, or receive funds under those programs, merely by virtue of its designation as an eligible institution under this part.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1840-0098)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 1088 and 1141)</SECAUTH> <CITA>[59 FR 22336, Apr. 29, 1994, as amended at 59 FR 47801, Sept. 19, 1994]</CITA> </SECTION> <SECTION> <SECTNO>§ 600.11</SECTNO> <SUBJECT>Special rules regarding institutional accreditation or preaccreditation.</SUBJECT> <P>(a) <E T="03">Change of accrediting agencies.</E> For purposes of §§ 600.4(a)(5)(i), 600.5(a)(6), and 600.6(a)(5)(i), the Secretary does not recognize the accreditation or preaccreditation of an otherwise eligible institution if that institution is in the process of changing its accrediting agency, unless the institution provides to the Secretary—</P> <P>(1) All materials related to its prior accreditation or preaccreditation; and</P> <P>(2) Materials demonstrating reasonable cause for changing its accrediting agency.</P> <P>(b) <E T="03">Multiple accreditation.</E> The Secretary does not recognize the accreditation or preaccreditation of an otherwise eligible institution if that institution is accredited or preaccredited as an institution by more than one accrediting agency, unless the institution—</P> <P>(1) Provides to each such accrediting agency and the Secretary the reasons for that multiple accreditation or preaccreditation;</P> <P>(2) Demonstrates to the Secretary reasonable cause for that multiple accreditation or preaccreditation; and</P> <P>(3) Designates to the Secretary which agency's accreditation or preaccreditation the institution uses to establish its eligibility under this part.</P> <P>(c) <E T="03">Loss of accreditation or preaccreditation.</E> (1) An institution may not be considered eligible for 24 months after it has had its accreditation or preaccreditation withdrawn, revoked, or otherwise terminated for cause, unless the accrediting agency that took that action rescinds that action.</P> <P>(2) An institution may not be considered eligible for 24 months after it has withdrawn voluntarily from its accreditation or preaccreditation status under a show-cause or suspension order issued by an accrediting agency, unless that agency rescinds its order.</P> <P>(d) <E T="03">Religious exception.</E> (1) If an otherwise eligible institution loses its accreditation or preaccreditation, the Secretary considers the institution to be accredited or preaccredited for purposes of complying with the provisions of §§ 600.4, 600.5, and 600.6 if the Secretary determines that its loss of accreditation or preaccreditation—</P> <P>(i) Is related to the religious mission or affiliation of the institution; and</P> <P>(ii) Is not related to its failure to satisfy the accrediting agency's standards.</P> <P>(2) If the Secretary considers an unaccredited institution to be accredited or preaccredited under the provisions of paragraph (d)(1) of this section, the Secretary will consider that <PRTPAGE P="183"/>unaccredited institution to be accredited or preaccredited for a period sufficient to allow the institution to obtain alternative accreditation or preaccreditation, except that period may not exceed 18 months.</P> <SECAUTH>(Authority: 20 U.S.C. 1099b)</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Procedures for Establishing Eligibility</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>59 FR 22336, Apr. 29, 1994, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 600.20</SECTNO> <SUBJECT>Application procedures.</SUBJECT> <P>(a) An institution that wishes to establish its eligibility to apply to participate in any program authorized by the HEA must first apply to the Secretary for a determination that it qualifies as an eligible institution.</P> <P>(b) A previously designated eligible institution must apply to the Secretary if—</P> <P>(1) The Secretary requests the institution to file an application so as to determine whether it continues to meet the requirements of this part; or</P> <P>(2) The institution satisfies one of the conditions contained in paragraph (c) of this section.</P> <P>(c) An institution must apply if it wishes to—</P> <P>(1) Continue to be eligible beyond the scheduled expiration of its current eligibility designation;</P> <P>(2) Include in its eligibility designation a branch campus that is not currently included in that designation;</P> <P>(3) Include in its eligibility designation a location that is not currently included in that designation, if—</P> <P>(i) The institution offers 100 percent of an educational program at that location; or</P> <P>(ii) The institution offers at least 50 percent of an educational program at that location, and the Secretary requires the institution to apply for eligibility under § 600.21(c)(2);</P> <P>(4) Continue to be eligible following a change in its name, location, or address;</P> <P>(5) Continue to include in its eligibility designation a branch campus that has changed its name, location, or address;</P> <P>(6) Continue to include in its eligibility designation another location that has changed its name, location, or address, if—</P> <P>(i) That location offers 100 percent of an educational program; or</P> <P>(ii) The Secretary requires the institution to apply for eligibility under § 600.21(c)(2); or</P> <P>(7) Reestablish eligibility following a change in ownership that results in a change in control according to the provisions of § 600.31.</P> <P>(8) Continue to be eligible following a change in ownership that results in a change in control according to the provisions of § 668.12(f).</P> <P>(d) An institution applying for designation as an eligible institution shall—</P> <P>(1) Apply on the form prescribed by the Secretary; and</P> <P>(2) Provide all the information and documentation requested by the Secretary to make a determination of its eligibility.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1840-0098)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 1088 and 1141)</SECAUTH> <CITA>[59 FR 22336, Apr. 29, 1994, as amended at 59 FR 47801, Sept. 19, 1994; 64 FR 58616, Oct. 29, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 600.21</SECTNO> <SUBJECT>Eligibility notification.</SUBJECT> <P>(a) The Secretary notifies an institution in writing—</P> <P>(1) Whether the applicant institution qualifies in whole or in part as an eligible institution under the appropriate provisions in §§ 600.4, 600.5, 600.6 and 600.7;</P> <P>(2) Whether the institution is certified to participate in the title IV, HEA programs if the institution applied to participate in those programs; and</P> <P>(3) Of the title IV, HEA programs in which it is eligible to participate, and the title IV, HEA programs for which it is eligible to apply to participate.</P> <P>(b) If only a portion of the applicant institution qualifies as an eligible institution, the Secretary specifies in the notice the locations or educational programs that qualify as the eligible institution.<PRTPAGE P="184"/> </P> <P>(c) If the Secretary receives a notice from an institution as a result of § 600.30(a)(3), the Secretary—</P> <P>(1) Notifies the institution that the location is an eligible location of that institution, identifies the HEA programs in which the institution may participate without further action, and indicates that the extension of eligibility and participation is effective on the date that the Secretary received the institution's notice; or</P> <P>(2) Notifies the institution that the institution must apply for eligibility of that location under § 600.20.</P> <P>(d) The Secretary makes the determination in paragraph (c) of this section by evaluating the institution's ability to provide adequately education or training at the location. In making that evaluation, the Secretary uses such factors as—</P> <P>(1) The percentage of an educational program offered at the location; and</P> <P>(2) The financial and administrative capability of the institution.</P> <SECAUTH>(Authority: 20 U.S.C. 1088, 1099c, and 1141)</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Maintaining Eligibility</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>59 FR 22336, Apr. 29, 1994, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 600.30</SECTNO> <SUBJECT>Institutional notification requirements.</SUBJECT> <P>(a) Except as provided in paragraph (b) of this section, an eligible institution shall notify the Secretary in writing, at an address specified by the Secretary in a notice published in the <E T="04">Federal Register,</E> no later than 10 days after the change occurs, of any change in the following information provided in the institution's eligibility application:</P> <P>(1) Its name.</P> <P>(2) Its address.</P> <P>(3) The name, number, and address of locations other than the main campus at which it offers at least 50 percent of an educational program and the percentages of the educational programs that it provides at each location.</P> <P>(4) The way it measures program length, <E T="03">e.g.</E> clock hours or credit hours.</P> <P>(5) Its ownership, if that ownership change results in a change in control of the institution.</P> <P>(6) Its status as a proprietary, nonprofit, or public institution.</P> <P>(7) A persons ability to affect substantially the actions of the institution, if that person did not previously have this ability. The Secretary generally considers a person to have this ability if the person—</P> <P>(i) Directly or indirectly holds at least a 25 percent ownership interest in the institution;</P> <P>(ii) Holds, together with another member or members of his or her family, at least a 25 percent ownership interest in the institution;</P> <P>(iii) Represents, either alone or together with other persons, under a voting trust, power of attorney, proxy, or similar agreement one or more persons who hold either individually or in combination with the other persons represented or the person representing them, at least a 25 percent ownership in the institution; or</P> <P>(iv) Is a member of the board of directors, a general partner, the chief executive officer, or other executive officer of—</P> <P>(A) The institution; or</P> <P>(B) An entity that holds at least a 25 percent ownership interest in the institution.</P> <P>(b) An eligible institution that is owned by a publicly-traded corporation shall notify the Secretary in writing, at an address specified by the Secretary in a notice published in the <E T="04">Federal Register,</E> of any change in the information that is described in paragraphs (a) (5) through (7) of this section at the same time that the institution notifies the institution's accrediting agency, but no later than 10 days after the corporation learns of the change.</P> <P>(c) The Secretary notifies the institution in writing if any reported change affects the institution's eligibility, and the effective date of that change.</P> <P>(d) The institution's failure to inform the Secretary of the information described in paragraph (a) of this section within the time period stated in that paragraph may result in adverse action against it, including its loss of eligibility.</P> <P>(e)(1) For the purposes of this section, an <E T="03">ownership interest</E> is a share of the legal or beneficial ownership or control of, or a right to share in the <PRTPAGE P="185"/>proceeds of the operation of, an institution or institution's parent corporation.</P> <P>(2) The term <E T="03">ownership interest</E> includes, but is not limited to—</P> <P>(i) An interest as tenant in common, joint tenant, or tenant by the entireties;</P> <P>(ii) A partnership; and</P> <P>(iii) An interest in a trust.</P> <P>(3) The term <E T="03">ownership interest</E> does not include any share of the ownership or control of, or any right to share in the proceeds of the operation of—</P> <P>(i) A mutual fund that is regularly and publicly traded;</P> <P>(ii) An institutional investor; or</P> <P>(iii) A profit-sharing plan, provided that all employees are covered by the plan.</P> <P>(f) For the purposes of this section, the Secretary considers a member of a person's family to be a parent, sibling, spouse or child; spouse's parent or sibling; or sibling's or child's spouse.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1840-0098)</APPRO> <SECAUTH>(<E T="04">Authority:</E> 20 U.S.C. 1088 and 1141)</SECAUTH> <CITA>[59 FR 22336, Apr. 29, 1994, as amended at 59 FR 47801, Sept. 19, 1994; 60 FR 34430, June 30, 1995]</CITA> </SECTION> <SECTION> <SECTNO>§ 600.31</SECTNO> <SUBJECT>Change in ownership resulting in a change of control.</SUBJECT> <P>(a)(1) Except as provided in § 668.12(f), an institution that undergoes a change in ownership that results in a change of control ceases to qualify as an eligible institution upon the change in ownership and control. A change in ownership that results in a change in control includes any change by which a person who has or thereby acquires an ownership interest in the entity that owns this institution or the parent corporation of that entity, acquires or loses the ability to control the institution.</P> <P>(2) In order to reestablish eligibility and to resume participation in the title IV, HEA programs, the institution must demonstrate to the Secretary that after the change in ownership and control—</P> <P>(i) The institution satisfies all the applicable requirements contained in §§ 600.4, 600.5, and 600.6, except that if the institution is a proprietary institution of higher education or postsecondary vocational institution, it need not have been in existence for two years before seeking eligibility; and</P> <P>(ii) The institution qualifies to be certified to participate under 34 CFR part 668, subpart B.</P> <P>(b) <E T="03">Definitions.</E> The following definitions apply to terms used in this section:</P> <P> <E T="03">Closely-held corporation.</E> Closely-held corporation (including the term close corporation) means—</P> <P>(1) A corporation that qualifies under the law of the State of its incorporation as a closely-held corporation; or</P> <P>(2) If the State of incorporation has no definition of closely-held corporation, a corporation the stock of which—</P> <P>(i) Is held by no more than 30 persons; and</P> <P>(ii) Has not been and is not planned to be publicly offered.</P> <P> <E T="03">Control.</E> Control (including the terms controlling, controlled by and under common control with) means the possession, direct or indirect, of the power to direct or cause the direction of the management and policies of a person, whether through the ownership of voting securities, by contract, or otherwise.</P> <P> <E T="03">Ownership.</E> Ownership or ownership interest means a legal or beneficial interest in an entity, or a right to share in the profits derived from the operation of an entity. The term does not include the interests of a mutual fund that is regularly and publicly traded, of an institutional investor, or of a profit-sharing plan in which all employees of an entity may participate.</P> <P> <E T="03">Parent.</E> The parent or parent corporation of a specified corporation is the corporation or partnership that controls the specified corporation directly or indirectly through one or more intermediaries.</P> <P> <E T="03">Person.</E> Person includes a legal person (corporation or partnership) or an individual.</P> <P> <E T="03">Wholly-owned subsidiary.</E> A wholly-owned subsidiary is one substantially all of whose outstanding voting securities are owned by its parent together with the parent's other wholly-owned subsidiaries.</P> <P>(c) <E T="03">Standards for identifying changes of ownership and control</E>—(1) <E T="03">Closely-held <PRTPAGE P="186"/>corporation.</E> A change in ownership and control occurs when—</P> <P>(i) A person acquires more than 50 percent of the total outstanding voting stock of the corporation;</P> <P>(ii) A person who holds an ownership interest in the corporation acquires control of more than 50 percent of the outstanding voting stock of the corporation; or</P> <P>(iii) A person who holds or controls 50 percent or more of the total outstanding stock of the corporation ceases to hold or control that proportion of the stock of the corporation.</P> <P>(2) <E T="03">Publicly-traded corporation required to be registered with the Securities and Exchange Commission (SEC).</E> A change in ownership and control occurs when a change of control of the corporation takes place that gives rise to the obligation to file a Form 8K with the SEC notifying that agency of the change in control.</P> <P>(3) <E T="03">Other corporations.</E> A change in ownership and control of a corporation that is neither closely-held nor required to be registered with the SEC occurs when—</P> <P>(i) A person who has or acquires an ownership interest acquires both control of at least 25 percent of the total outstanding voting stock of the corporation and control of the corporation;</P> <P>(ii) A person who holds both ownership or control of at least 25 percent of the total outstanding voting stock of the corporation and control of the corporation, ceases to own or control that proportion of the stock of the corporation, or to control the corporation; or</P> <P>(iii) For a membership corporation, a person who is or becomes a member acquires or loses control of 25 percent of the voting interests of the corporation and control of the corporation.</P> <P>(4) <E T="03">Partnership or sole proprietorship.</E> A change in ownership and control occurs when a person who has or acquires an ownership interest acquires or loses control as described in this section.</P> <P>(5) <E T="03">Parent corporation.</E> An institution that is a wholly-owned subsidiary changes ownership and control when the parent corporation changes ownership and control as described in this section.</P> <P>(6) <E T="03">Nonprofit corporation or association.</E> An institution that is owned by a nonprofit corporation or association changes ownership and control when a change specifically described in this paragraph (c) takes place.</P> <P>(7) <E T="03">Public institution.</E> Notwithstanding paragraph (d) of this section, an institution owned and operated by a governmental entity changes ownership and control only when the ownership of the institution is transferred to a different governmental entity or to another person.</P> <P>(d) <E T="03">Covered transactions.</E> For the purposes of this section, a change in ownership of an institution that results in a change of control may include, but is not limited to—</P> <P>(1) The sale of the institution;</P> <P>(2) The transfer of the controlling interest of stock of the institution or its parent corporation;</P> <P>(3) The merger of two or more eligible institutions;</P> <P>(4) The division of one institution into two or more institutions;</P> <P>(5) The transfer of the liabilities of an institution to its parent corporation;</P> <P>(6) A transfer of assets that comprise a substantial portion of the educational business of the institution, except where the transfer consists exclusively in the granting of a security interest in those assets; or</P> <P>(7) A conversion of the institution from a for-profit to a nonprofit institution.</P> <P>(e) <E T="03">Excluded transactions.</E> A change in ownership and control otherwise subject to this section does not include a transfer of ownership and control upon the retirement or death of the owner, to—</P> <P>(1) A member of the owner's family, as described in § 600.30(f);</P> <P>(2) A person with an ownership interest in the institution who has been involved in management of the institution for at least two years preceding the transfer.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1840-0098)</APPRO> <SECAUTH>(Authority: <E T="01">20 U.S.C. 1099c)</E> </SECAUTH> <CITA>[59 FR 22336, Apr. 29, 1994, as amended at 59 FR 47801, Sept. 19, 1994; 60 FR 33430, June 30, 1995; 64 FR 58616, Oct. 29, 1999]</CITA> </SECTION> <SECTION> <PRTPAGE P="187"/> <SECTNO>§ 600.32</SECTNO> <SUBJECT>Eligibility of additional locations.</SUBJECT> <P>(a) Except as provided in paragraphs (b) and (c) of this section, to qualify as an eligible location, an additional location of an eligible institution must satisfy the applicable requirements of this section and §§ 600.4, 600.5, 600.6, 600.8, and 600.10.</P> <P>(b) To qualify as an eligible location, an additional location is not required to satisfy the two-year requirement of §§ 600.5(a)(7) or 600.6(a)(6), unless—</P> <P>(1) The location was a facility of another institution that has closed or ceased to provide educational programs for a reason other than a normal vacation period or a natural disaster that directly affects the institution or the institution's students;</P> <P>(2) The applicant institution acquired, either directly from the institution that closed or ceased to provide educational programs, or through an intermediary, the assets at the location; and</P> <P>(3) The institution from which the applicant institution acquired the assets of the location—</P> <P>(i) Owes a liability for a violation of an HEA program requirement; and</P> <P>(ii) Is not making payments in accordance with an agreement to repay that liability.</P> <P>(c) Notwithstanding paragraph (b) of this section, an additional location is not required to satisfy the two-year requirement of § 600.5(a)(7) or § 600.6(a)(6) if the applicant institution agrees—</P> <P>(1) To be liable for all improperly expended or unspent title IV, HEA program funds received by the institution that has closed or ceased to provide educational programs;</P> <P>(2) To be liable for all unpaid refunds owed to students who received title IV, HEA program funds; and</P> <P>(3) To abide by the policy of the institution that has closed or ceased to provide educational programs regarding refunds of institutional charges to students in effect before the date of the acquisition of the assets of the additional location for the students who were enrolled before that date.</P> <P>(d) For purposes of this section, an “additional location” is a location of an institution that was not designated as an eligible location in the eligibility notification provided to an institution under § 600.21.</P> <SECAUTH>(Authority: <E T="01">20 U.S.C. 1088 and 1141)</E> </SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Loss of Eligibility</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>59 FR 22336, Apr. 29, 1994, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 600.40</SECTNO> <SUBJECT>Loss of eligibility.</SUBJECT> <P>(a)(1) Except as provided in paragraphs (a) (2) and (3) of this section, an institution, or a location or educational program of an institution, loses its eligibility on the date that—</P> <P>(i) The institution, location, or educational program fails to meet any of the eligibility requirements of this part;</P> <P>(ii) The institution or location permanently closes;</P> <P>(iii) The institution or location ceases to provide educational programs for a reason other than a normal vacation period or a natural disaster that directly affects the institution, particular location, or the students of the institution or location; or</P> <P>(iv) For purposes of the title IV, HEA programs—</P> <P>(A) The institution's period of participation as specified under 34 CFR 668.13 expires; or</P> <P>(B) The institution's provisional certification is revoked under 34 CFR 668.13.</P> <P>(2) If an institution loses its eligibility because it violated the requirements of § 600.5(a)(8), as evidenced by the determination under provisions contained in § 600.5(d), it loses its eligibility on the last day of the fiscal year used in § 600.5(d), except that if an institution's latest fiscal year was described in § 600.7(h)(1), it loses its eligibility as of June 30, 1994.</P> <P>(3) If an institution loses its eligibility under the provisions of § 600.7(a)(1), it loses its eligibility on the last day of the award year being evaluated under that provision.</P> <P>(b) If the Secretary undertakes to terminate the eligibility of an institution because it violated the provisions of § 600.5(a)(8) or § 600.7(a), and the institution requests a hearing, the presiding official must terminate the institution's eligibility if it violated those <PRTPAGE P="188"/>provisions, notwithstanding its status at the time of the hearing.</P> <P>(c)(1) If the Secretary designates an institution or any of its educational programs or locations as eligible on the basis of inaccurate information or documentation, the Secretary's designation is void from the date the Secretary made the designation, and the institution or program or location, as applicable, never qualified as eligible.</P> <P>(2) If an institution closes its main campus or stops providing any educational programs on its main campus, it loses its eligibility as an institution, and that loss of eligibility includes all its locations and all its programs. Its loss of eligibility is effective on the date it closes that campus or stops providing any educational program at that campus.</P> <P>(d) Except as otherwise provided in this part, if an institution ceases to satisfy any of the requirements for eligibility under this part—</P> <P>(1) It must notify the Secretary within 30 days of the date that it ceases to satisfy that requirement; and</P> <P>(2) It becomes ineligible to continue to participate in any HEA program as of the date it ceases to satisfy any of the requirements.</P> <SECAUTH>(Authority: 20 U.S.C. 1088, 1099a-3, and 1141)</SECAUTH> <CITA>[59 FR 22336, Apr. 29, 1994, as amended at 63 FR 40622, July 29, 1998]</CITA> </SECTION> <SECTION> <SECTNO>§ 600.41</SECTNO> <SUBJECT>Termination and emergency action proceedings.</SUBJECT> <P>(a) If the Secretary believes that a previously designated eligible institution as a whole, or at one or more of its locations, does not satisfy the statutory or regulatory requirements that define that institution as an eligible institution, the Secretary may—</P> <P>(1) Terminate the institution's eligibility designation in whole or as to a particular location—</P> <P>(i) Under the procedural provisions applicable to terminations contained in 34 CFR 668.81, 668.83, 668.86, 668.87, 668.88, 668.89, 668.90 (a)(1), (a)(4), and (c) through (f), and 668.91; or</P> <P>(ii) Under a show-cause hearing, if the institution's loss of eligibility results from—</P> <P>(A) Its previously qualifying as an eligible vocational school;</P> <P>(B) Its previously qualifying as an eligible institution, notwithstanding its unaccredited status, under the transfer-of-credit alternative to accreditation (as that alternative existed in 20 U.S.C. 1085, 1088, and 1141(a)(5)(B) and § 600.8 until July 23, 1992);</P> <P>(C) Its loss of accreditation or preaccreditation;</P> <P>(D) Its loss of legal authority to provide postsecondary education in the State in which it is physically located;</P> <P>(E) Its violations of the provisions contained in § 600.5(a)(8) or § 600.7(a);</P> <P>(F) Its permanently closing; or</P> <P>(G) Its ceasing to provide educational programs for a reason other than a normal vacation period or a natural disaster that directly affects the institution, a particular location, or the students of the institution or location;</P> <P>(2) Limit, under the provisions of 34 CFR 668.86, the authority of the institution to disburse, deliver, or cause the disbursement or delivery of funds under one or more title IV, HEA programs as otherwise provided under 34 CFR 668.26 for the benefit of students enrolled at the ineligible institution or location prior to the loss of eligibility of that institution or location; and</P> <P>(3) Initiate an emergency action under the provisions contained in 34 CFR 668.83 with regard to the institution's participation in one or more title IV, HEA programs.</P> <P>(b) If the Secretary believes that an educational program offered by an institution that was previously designated by the Secretary as an eligible institution under the HEA does not satisfy relevant statutory or regulatory requirements that define that educational program as part of an eligible institution, the Secretary may in accordance with the procedural provisions described in paragraph (a) of this section—</P> <P>(1) Undertake to terminate that educational program's eligibility under one or more of the title IV, HEA programs under the procedural provisions applicable to terminations described in paragraph (a) of this section;</P> <P>(2) Limit the institution's authority to deliver, disburse, or cause the delivery or disbursement of funds provided under that title IV, HEA program to students enrolled in that educational <PRTPAGE P="189"/>program, as otherwise provided in 34 CFR 668.26; and</P> <P>(3) Initiate an emergency action under the provisions contained in 34 CFR 668.83 with regard to the institution's participation in one or more title IV, HEA programs with respect to students enrolled in that educational program.</P> <P>(c)(1) An action to terminate and limit the eligibility of an institution as a whole or as to any of its locations or educational programs is initiated in accordance with 34 CFR 668.86(b) and becomes final 20 days after the Secretary notifies the institution of the proposed action, unless the designated department official receives by that date a request for a hearing or written material that demonstrates that the termination and limitation should not take place.</P> <P>(2) Once a termination under this section becomes final, the termination is effective with respect to any commitment, delivery, or disbursement of funds provided under an applicable title IV, HEA program by the institution—</P> <P>(i) Made to students enrolled in the ineligible institution, location, or educational program; and</P> <P>(ii) Made on or after the date of the act or omission that caused the loss of eligibility as to the institution, location, or educational program.</P> <P>(3) Once a limitation under this section becomes final, the limitation is effective with regard to any commitment, delivery, or disbursement of funds under the applicable title IV, HEA program by the institution—</P> <P>(i) Made after the date on which the limitation became final; and</P> <P>(ii) Made to students enrolled in the ineligible institution, location, or educational program.</P> <P>(d) After a termination under this section of the eligibility of an institution as a whole or as to a location or educational program becomes final, the institution may not certify applications for, make awards of or commitments for, deliver, or disburse funds under the applicable title IV, HEA program, except—</P> <P>(1) In accordance with the requirements of 34 CFR 668.26(c) with respect to students enrolled in the ineligible institution, location, or educational program; and</P> <P>(2) After satisfaction of any additional requirements, imposed pursuant to a limitation under paragraph (a)(2) of this section, which may include the following:</P> <P>(i) Completion of the actions required by 34 CFR 668.26(a) and (b).</P> <P>(ii) Demonstration that the institution has made satisfactory arrangements for the completion of actions required by 34 CFR 668.26(a) and (b).</P> <P>(iii) Securing the confirmation of a third party selected by the Secretary that the proposed disbursements or delivery of title IV, HEA program funds meet the requirements of the applicable program.</P> <P>(iv) Using institutional funds to make disbursements permitted under this paragraph and seeking reimbursement from the Secretary for those disbursements.</P> <P>(e) If the Secretary undertakes to terminate the eligibility of an institution, location, or program under paragraphs (a) and (b) of this section:</P> <P>(1) If the basis for the loss of eligibility is the loss of accreditation or preaccreditation, the sole issue is whether the institution, location, or program has the requisite accreditation or preaccreditation. The presiding official has no authority to consider challenges to the action of the accrediting agency.</P> <P>(2) If the basis for the loss of eligibility is the loss of legal authorization, the sole issue is whether the institution, location, or program has the requisite legal authorization. The presiding official has no authority to consider challenges to the action of a State agency in removing the legal authorization.</P> <SECAUTH>(Authority: 20 U.S.C. 1088, 1091, 1094, 1099a-3, and 1141)</SECAUTH> <CITA>[59 FR 22336, Apr. 29, 1994, as amended at 63 FR 40623, July 29, 1998]</CITA> </SECTION> </SUBPART> <SUBPART> <PRTPAGE P="190"/> <HD SOURCE="HED">Subpart E—Eligibility of Foreign Institutions To Apply To Participate in the Federal Family Education Loan (FFEL) Programs</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>59 FR 22063, Apr. 28, 1994, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 600.51</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <P>(a) A foreign institution is eligible to apply to participate in the Federal Family Education Loan (FFEL) programs if it is comparable to an eligible institution of higher education located in the United States and has been approved by the Secretary in accordance with the provisions of this subpart.</P> <P>(b) This subpart E contains the procedures and criteria under which a foreign institution may be deemed eligible to apply to participate in the FFEL programs.</P> <P>(c) This subpart E does not include the procedures and criteria by which a foreign institution that is deemed eligible to apply to participate in the FFEL programs actually applies for that participation. Those procedures and criteria are contained in the regulations for the FFEL programs, 34 CFR part 682, subpart F.</P> <SECAUTH>(Authority: 20 U.S.C. 1082, 1088)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 600.52</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>The following definitions apply to this subpart E:</P> <P> <E T="03">Foreign graduate medical school:</E> A foreign institution that qualifies to be listed in, and is listed as a medical school in, the most current edition of the <E T="03">World Directory of Medical Schools</E> published by the World Health Organization (WHO).</P> <P> <E T="03">Foreign institution:</E> An institution that is not located in a State.</P> <P> <E T="03">Passing score:</E> The minimum passing score as defined by the Educational Commission for Foreign Medical Graduates (ECFMG).</P> <P> <E T="03">Secondary school:</E> A school that provides secondary education as determined under the laws of the country in which the school is located.</P> <SECAUTH>(Authority: 20 U.S.C. 1082, 1088)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 600.53</SECTNO> <SUBJECT>Requesting an eligibility determination.</SUBJECT> <P>(a) To be designated as eligible to apply to participate in the FFEL programs or to continue to be eligible beyond the scheduled expiration of the institution's current period of eligibility, a foreign institution must—</P> <P>(1) Apply on the form prescribed by the Secretary; and</P> <P>(2) Provide all the information and documentation requested by the Secretary to make a determination of that eligibility.</P> <P>(b) If a foreign institution fails to provide, release, or authorize release to the Secretary of information that is required in this subpart E, the institution is ineligible to apply to participate in the FFEL programs.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1840-0673)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 1082, 1088)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 600.54</SECTNO> <SUBJECT>Criteria for determining whether a foreign institution is eligible to apply to participate in the FFEL programs.</SUBJECT> <P>The Secretary considers a foreign institution to be comparable to an eligible institution of higher education in the United States and eligible to apply to participate in the FFEL programs if the foreign institution is a public or private nonprofit educational institution that—</P> <P>(a) Admits as regular students only persons who—</P> <P>(1) Have a secondary school completion credential; or</P> <P>(2) Have the recognized equivalent of a secondary school completion credential;</P> <P>(b) Is legally authorized by an appropriate authority to provide an eligible educational program beyond the secondary school level in the country in which the institution is located; and</P> <P>(c) Provides an eligible education program—</P> <P>(1) For which the institution is legally authorized to award a degree that is equivalent to an associate, baccalaureate, graduate, or professional degree awarded in the United States;</P> <P>(2) That is at least a two-academic-year program acceptable for full credit <PRTPAGE P="191"/>toward the equivalent of a baccalaureate degree awarded in the United States; or</P> <P>(3) That is equivalent to at least a one-academic-year training program in the United States that leads to a certificate, degree, or other recognized educational credential and prepares students for gainful employment in a recognized occupation.</P> <SECAUTH>(Authority: 20 U.S.C. 1082, 1088)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 600.55</SECTNO> <SUBJECT>Additional criteria for determining whether a foreign graduate medical school is eligible to apply to participate in the FFEL programs.</SUBJECT> <P>(a) The Secretary considers a foreign graduate medical school to be eligible to apply to participate in the FFEL programs if, in addition to satisfying the criteria in § 600.54 (except the criterion that the institution be public or private nonprofit), the school satisfies all of the following criteria:</P> <P>(1) The school provides, and in the normal course requires its students to complete, a program of clinical and classroom medical instruction of not less that 32 months in length, that is supervised closely by members of the school's faculty and that is provided either—</P> <P>(i) Outside the United States, in facilities adequately equipped and staffed to afford students comprehensive clinical and classroom medical instruction; or</P> <P>(ii) In the United States, through a training program for foreign medical students that has been approved by all medical licensing boards and evaluating bodies whose views are considered relevant by the Secretary.</P> <P>(2) The school has graduated classes during each of the two twelve-month periods immediately preceding the date the Secretary receives the school's request for an eligibility determination.</P> <P>(3) The school employs for the program described in paragraph (a)(1) of this section only those faculty members whose academic credentials are the equivalent of credentials required of faculty members teaching the same or similar courses at medical schools in the United States.</P> <P>(4)(i) The school has been approved by an accrediting body—</P> <P>(A) That is legally authorized to evaluate the quality of graduate medical school educational programs and facilities in the country where the school is located; and</P> <P>(B) Whose standards of accreditation of graduate medical schools—</P> <P>(<E T="03">1</E>) Have been evaluated by the advisory panel of medical experts established by the Secretary; and</P> <P>(<E T="03">2</E>) Have been determined to be comparable to standards of accreditation applied to medical schools in the United States; or</P> <P>(ii) The school is a public or private nonprofit educational institution that satisfies the requirements in § 600.4(a)(5)(i).</P> <P>(5)(i)(A) During the academic year preceding the year for which any of the school's students seeks an FFEL program loan, at least 60 percent of those enrolled as full-time regular students in the school and at least 60 percent of the school's most recent graduating class were persons who did not meet the citizenship and residency criteria contained in section 484(a)(5) of the HEA, 20 U.S.C. 1091(a)(5); and</P> <P>(B) At least 60 percent of the school's students and graduates who took any step of the examinations administered by the Educational Commission for Foreign Medical Graduates (ECFMG) (including the ECFMG English test) in the year preceding the year for which any of the school's students seeks an FFEL program loan received passing scores on the exams; or</P> <P>(ii) The school's clinical training program was approved by a State as of January 1, 1992, and is currently approved by that State.</P> <P>(b) In performing the calculation required in paragraph (a)(5)(i)(B) of this section, a foreign graduate medical school shall count as a graduate each person who graduated from the school during the three years preceding the year for which the calculation is performed.</P> <SECAUTH>(Authority: 20 U.S.C. 1082, 1088)</SECAUTH> <CITA>[59 FR 22063, Apr. 28, 1994; 59 FR 33681, June 30, 1994, as amended at 63 FR 40623, July 29, 1998; 64 FR 58616, Oct. 29, 1999]</CITA> </SECTION> <SECTION> <PRTPAGE P="192"/> <SECTNO>§ 600.56</SECTNO> <SUBJECT>Additional criteria for determining whether a foreign veterinary school is eligible to apply to participate in the FFEL programs.</SUBJECT> <P>(a) The Secretary considers a foreign veterinary school to be eligible to apply to participate in the FFEL programs if, in addition to satisfying the criteria in § 600.54 (except the criterion that the institution be public or private nonprofit), the school satisfies all of the following criteria:</P> <P>(1) The school provides, and in the normal course requires its students to complete, a program of clinical and classroom veterinary instruction that is supervised closely by members of the school's faculty, and that is provided either—</P> <P>(i) Outside the United States, in facilities adequately equipped and staffed to afford students comprehensive clinical and classroom veterinary instruction; or</P> <P>(ii) In the United States, through a training program for foreign veterinary students that has been approved by all veterinary licensing boards and evaluating bodies whose views are considered relevant by the Secretary.</P> <P>(2) The school has graduated classes during each of the two twelve-month periods immediately preceding the date the Secretary receives the school's request for an eligibility determination.</P> <P>(3) The school employs for the program described in paragraph (a)(1) of this section only those faculty members whose academic credentials are the equivalent of credentials required of faculty members teaching the same or similar courses at veterinary schools in the United States.</P> <P>(4) Either—</P> <P>(i) The veterinary school's clinical training program was approved by a State as of January 1, 1992, and is currently approved by that State; or</P> <P>(ii) The veterinary school's students complete their clinical training at an approved veterinary school located in the United States.</P> <P>(b) [Reserved]</P> <SECAUTH>(Authority: 20 U.S.C. 1082 and 1088)</SECAUTH> <CITA>[64 FR 58616, Oct. 29, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 600.57</SECTNO> <SUBJECT>Duration of eligibility determination.</SUBJECT> <P>(a) The eligibility of a foreign institution under this subpart expires four years after the date of the Secretary's determination that the institution is eligible to apply for participation, except that the Secretary may specify a shorter period of eligibility. In the case of a foreign graduate medical school, continued eligibility is dependent upon annual submission of the data and information required under § 600.55(a)(5)(i), subject to the terms described in § 600.53(b).</P> <P>(b) A foreign institution that has been determined eligible loses its eligibility on the date that the institution no longer meets any of the criteria in this subpart E.</P> <P>(c) Notwithstanding the provisions of 34 CFR 668.26, if a foreign institution loses its eligibility under this subpart E, an otherwise eligible student, continuously enrolled at the institution before the loss of eligibility, may receive an FFEL program loan for attendance at that institution for the academic year succeeding the academic year in which that institution lost its eligibility, if the student actually received an FFEL program loan for attendance at the institution for a period during which the institution was eligible under this subpart E.</P> <SECAUTH>(Authority: 20 U.S.C. 1082, 1088, 1099c)</SECAUTH> <CITA>[59 FR 22063, Apr. 28, 1994. Redesignated at 64 FR 58616, Oct. 29, 1999]</CITA> </SECTION> </SUBPART> </PART> <PART> <RESERVED>PART 601[RESERVED]</RESERVED> </PART> <PART> <EAR>Pt. 602</EAR> <HD SOURCE="HED">PART 602—THE SECRETARY’S RECOGNITION OF ACCREDITING AGENCIES</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>602.1</SECTNO> <SUBJECT>Why does the Secretary recognize accrediting agencies?</SUBJECT> <SECTNO>602.2</SECTNO> <SUBJECT>How do I know which agencies the Secretary recognizes?</SUBJECT> <SECTNO>602.3</SECTNO> <SUBJECT>What definitions apply to this part?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—The Criteria for Recognition</HD> <SUBJGRP> <HD SOURCE="HED">Basic Eligibility Requirements</HD> <SECTNO>602.10</SECTNO> <SUBJECT>Link to Federal programs.<PRTPAGE P="193"/> </SUBJECT> <SECTNO>602.11</SECTNO> <SUBJECT>Geographic scope of accrediting activities.</SUBJECT> <SECTNO>602.12</SECTNO> <SUBJECT>Accrediting experience.</SUBJECT> <SECTNO>602.13</SECTNO> <SUBJECT>Acceptance of the agency by others.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Organizational and Administrative Requirements</HD> <SECTNO>602.14</SECTNO> <SUBJECT>Purpose and organization.</SUBJECT> <SECTNO>602.15</SECTNO> <SUBJECT>Administrative and fiscal responsibilities.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Required Standards and Their Application</HD> <SECTNO>602.16</SECTNO> <SUBJECT>Accreditation and preaccreditation standards.</SUBJECT> <SECTNO>602.17</SECTNO> <SUBJECT>Application of standards in reaching an accrediting decision.</SUBJECT> <SECTNO>602.18</SECTNO> <SUBJECT>Ensuring consistency in decision-making.</SUBJECT> <SECTNO>602.19</SECTNO> <SUBJECT>Monitoring and reevaluation of accredited institutions and programs.</SUBJECT> <SECTNO>602.20</SECTNO> <SUBJECT>Enforcement of standards.</SUBJECT> <SECTNO>602.21</SECTNO> <SUBJECT>Review of standards.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Required Operating Policies and Procedures</HD> <SECTNO>602.22</SECTNO> <SUBJECT>Substantive change.</SUBJECT> <SECTNO>602.23</SECTNO> <SUBJECT>Operating procedures all agencies must have.</SUBJECT> <SECTNO>602.24</SECTNO> <SUBJECT>Additional procedures certain institutional accreditors must have.</SUBJECT> <SECTNO>602.25</SECTNO> <SUBJECT>Due process.</SUBJECT> <SECTNO>602.26</SECTNO> <SUBJECT>Notification of accrediting decisions.</SUBJECT> <SECTNO>602.27</SECTNO> <SUBJECT>Other information an agency must provide the Department.</SUBJECT> <SECTNO>602.28</SECTNO> <SUBJECT>Regard for decisions of States and other accrediting agencies.</SUBJECT> </SUBJGRP> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—The Recognition Process</HD> <SUBJGRP> <HD SOURCE="HED">Application and Review by Department Staff</HD> <SECTNO>602.30</SECTNO> <SUBJECT>How does an agency apply for recognition?</SUBJECT> <SECTNO>602.31</SECTNO> <SUBJECT>How does Department staff review an agency's application?</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Review by the National Advisory Committee on Institutional Quality and Integrity</HD> <SECTNO>602.32</SECTNO> <SUBJECT>What is the role of the Advisory Committee and the senior Department official in the review of an agency's application?</SUBJECT> <SECTNO>602.33</SECTNO> <SUBJECT>How may an agency appeal a recommendation of the Advisory Committee?</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Review and Decision by the Secretary</HD> <SECTNO>602.34</SECTNO> <SUBJECT>What does the Secretary consider when making a recognition decision?</SUBJECT> <SECTNO>602.35</SECTNO> <SUBJECT>What information does the Secretary's recognition decision include?</SUBJECT> <SECTNO>602.36</SECTNO> <SUBJECT>May an agency appeal the Secretary's final recognition decision?</SUBJECT> </SUBJGRP> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Limitation, Suspension, or Termination of Recognition</HD> <SUBJGRP> <HD SOURCE="HED">Limitation, Suspension, and Termination Procedures</HD> <SECTNO>602.40</SECTNO> <SUBJECT>How may the Secretary limit, suspend, or terminate an agency's recognition?</SUBJECT> <SECTNO>602.41</SECTNO> <SUBJECT>What are the notice procedures?</SUBJECT> <SECTNO>602.42</SECTNO> <SUBJECT>What are the response and hearing procedures?</SUBJECT> <SECTNO>602.43</SECTNO> <SUBJECT>How is a decision on limitation, suspension, or termination of recognition reached?</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Appeal Rights and Procedures</HD> <SECTNO>602.44</SECTNO> <SUBJECT>How may an agency appeal the subcommittee's recommendation?</SUBJECT> <SECTNO>602.45</SECTNO> <SUBJECT>May an agency appeal the Secretary's final decision to limit, suspend, or terminate its recognition?</SUBJECT> </SUBJGRP> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Department Responsibilities</HD> <SECTNO>602.50</SECTNO> <SUBJECT>What information does the Department share with a recognized agency about its accredited institutions and programs?</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>20 U.S.C. 1099b, unless otherwise noted.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>64 FR 56617, Oct. 20, 1999, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 602.1</SECTNO> <SUBJECT>Why does the Secretary recognize accrediting agencies?</SUBJECT> <P>(a) The Secretary recognizes accrediting agencies to ensure that these agencies are, for the purposes of the Higher Education Act of 1965, as amended (HEA), or for other Federal purposes, reliable authorities regarding the quality of education or training offered by the institutions or programs they accredit.</P> <P>(b) The Secretary lists an agency as a nationally recognized accrediting agency if the agency meets the criteria for recognition listed in subpart B of this part.</P> <SECAUTH>(Authority: 20 U.S.C. 1099b)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 602.2</SECTNO> <SUBJECT>How do I know which agencies the Secretary recognizes?</SUBJECT> <P>(a) Periodically, the Secretary publishes a list of recognized agencies in the <E T="04">Federal Register</E>, together with each agency's scope of recognition. You may obtain a copy of the list from the Department at any time. The list is <PRTPAGE P="194"/>also available on the Department's web site.</P> <P>(b) If the Secretary denies continued recognition to a previously recognized agency, or if the Secretary limits, suspends, or terminates the agency's recognition before the end of its recognition period, the Secretary publishes a notice of that action in the <E T="04">Federal Register</E>. The Secretary also makes the reasons for the action available to the public, on request.</P> <SECAUTH>(Authority: 20 U.S.C. 1099b)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 602.3</SECTNO> <SUBJECT>What definitions apply to this part?</SUBJECT> <P>The following definitions apply to this part:</P> <P> <E T="03">Accreditation</E> means the status of public recognition that an accrediting agency grants to an educational institution or program that meets the agency's standards and requirements.</P> <P> <E T="03">Accrediting agency</E> or <E T="03">agency</E> means a legal entity, or that part of a legal entity, that conducts accrediting activities through voluntary, non-Federal peer review and makes decisions concerning the accreditation or preaccreditation status of institutions, programs, or both.</P> <P> <E T="03">Act</E> means the Higher Education Act of 1965, as amended.</P> <P> <E T="03">Adverse accrediting action</E> or <E T="03">adverse action</E> means the denial, withdrawal, suspension, revocation, or termination of accreditation or preaccreditation, or any comparable accrediting action an agency may take against an institution or program.</P> <P> <E T="03">Advisory Committee</E> means the National Advisory Committee on Institutional Quality and Integrity.</P> <P> <E T="03">Branch campus</E> means a location of an institution that meets the definition of branch campus in 34 CFR 600.2.</P> <P> <E T="03">Distance education</E> means an educational process that is characterized by the separation, in time or place, between instructor and student. The term includes courses offered principally through the use of—</P> <P>(1) Television, audio, or computer transmission, such as open broadcast, closed circuit, cable, microwave, or satellite transmission;</P> <P>(2) Audio or computer conferencing;</P> <P>(3) Video cassettes or disks; or</P> <P>(4) Correspondence.</P> <P> <E T="03">Final accrediting action</E> means a final determination by an accrediting agency regarding the accreditation or preaccreditation status of an institution or program. A final accrediting action is not appealable within the agency.</P> <P> <E T="03">Institution of higher education</E> or <E T="03">institution</E> means an educational institution that qualifies, or may qualify, as an eligible institution under 34 CFR part 600.</P> <P> <E T="03">Institutional accrediting agency</E> means an agency that accredits institutions of higher education.</P> <P> <E T="03">Nationally recognized accrediting agency, nationally recognized agency,</E> or <E T="03">recognized agency</E> means an accrediting agency that the Secretary recognizes under this part.</P> <P> <E T="03">Preaccreditation</E> means the status of public recognition that an accrediting agency grants to an institution or program for a limited period of time that signifies the agency has determined that the institution or program is progressing towards accreditation and is likely to attain accreditation before the expiration of that limited period of time.</P> <P> <E T="03">Program</E> means a postsecondary educational program offered by an institution of higher education that leads to an academic or professional degree, certificate, or other recognized educational credential.</P> <P> <E T="03">Programmatic accrediting agency</E> means an agency that accredits specific educational programs that prepare students for entry into a profession, occupation, or vocation.</P> <P> <E T="03">Representative of the public</E> means a person who is not—</P> <P>(1) An employee, member of the governing board, owner, or shareholder of, or consultant to, an institution or program that either is accredited or preaccredited by the agency or has applied for accreditation or preaccreditation;</P> <P>(2) A member of any trade association or membership organization related to, affiliated with, or associated with the agency; or</P> <P>(3) A spouse, parent, child, or sibling of an individual identified in paragraph (1) or (2) of this definition.</P> <P> <E T="03">Scope of recognition</E> or <E T="03">scope</E> means the range of accrediting activities for <PRTPAGE P="195"/>which the Secretary recognizes an agency. The Secretary may place a limitation on the scope of an agency's recognition for Title IV, HEA purposes. The Secretary's designation of scope defines the recognition granted according to—</P> <P>(1) Geographic area of accrediting activities;</P> <P>(2) Types of degrees and certificates covered;</P> <P>(3) Types of institutions and programs covered;</P> <P>(4) Types of preaccreditation status covered, if any; and</P> <P>(5) Coverage of accrediting activities related to distance education, if any.</P> <P> <E T="03">Secretary</E> means the Secretary of the U.S. Department of Education or any official or employee of the Department acting for the Secretary under a delegation of authority.</P> <P> <E T="03">Senior Department official</E> means the senior official in the U.S. Department of Education who reports directly to the Secretary regarding accrediting agency recognition.</P> <P> <E T="03">State</E> means a State of the Union, American Samoa, the Commonwealth of Puerto Rico, the District of Columbia, Guam, the United States Virgin Islands, the Commonwealth of the Northern Mariana Islands, the Republic of the Marshall Islands, the Federated States of Micronesia, and the Republic of Palau. The latter three are also known as the Freely Associated States.</P> <P> <E T="03">Teach-out agreement</E> means a written agreement between institutions that provides for the equitable treatment of students if one of those institutions stops offering an educational program before all students enrolled in that program have completed the program.</P> <SECAUTH>(Authority: 20 U.S.C. 1099b)</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—The Criteria for Recognition</HD> <SUBJGRP> <HD SOURCE="HED">Basic Eligibility Requirements</HD> <SECTION> <SECTNO>§ 602.10</SECTNO> <SUBJECT>Link to Federal programs.</SUBJECT> <P>The agency must demonstrate that—</P> <P>(a) If the agency accredits institutions of higher education, its accreditation is a required element in enabling at least one of those institutions to establish eligibility to participate in HEA programs; or</P> <P>(b) If the agency accredits institutions of higher education or higher education programs, or both, its accreditation is a required element in enabling at least one of those entities to establish eligibility to participate in non-HEA Federal programs.</P> <SECAUTH>(Authority: 20 U.S.C. 1099b)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 602.11</SECTNO> <SUBJECT>Geographic scope of accrediting activities.</SUBJECT> <P>The agency must demonstrate that its accrediting activities cover—</P> <P>(a) A State, if the agency is part of a State government;</P> <P>(b) A region of the United States that includes at least three States that are reasonably close to one another; or</P> <P>(c) The United States.</P> <SECAUTH>(Authority: 20 U.S.C. 1099b)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 602.12</SECTNO> <SUBJECT>Accrediting experience.</SUBJECT> <P>(a) An agency seeking initial recognition must demonstrate that it has—</P> <P>(1) Granted accreditation or preaccreditation—</P> <P>(i) To one or more institutions if it is requesting recognition as an institutional accrediting agency and to one or more programs if it is requesting recognition as a programmatic accrediting agency;</P> <P>(ii) That covers the range of the specific degrees, certificates, institutions, and programs for which it seeks recognition; and</P> <P>(iii) In the geographic area for which it seeks recognition; and</P> <P>(2) Conducted accrediting activities, including deciding whether to grant or deny accreditation or preaccreditation, for at least two years prior to seeking recognition.</P> <P>(b) A recognized agency seeking an expansion of its scope of recognition must demonstrate that it has granted accreditation or preaccreditation covering the range of the specific degrees, certificates, institutions, and programs for which it seeks the expansion of scope. </P> <SECAUTH>(Authority: 20 U.S.C. 1099b)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 602.13</SECTNO> <SUBJECT>Acceptance of the agency by others.</SUBJECT> <P>The agency must demonstrate that its standards, policies, procedures, and <PRTPAGE P="196"/>decisions to grant or deny accreditation are widely accepted in the United States by—</P> <P>(a) Educators and educational institutions; and</P> <P>(b) Licensing bodies, practitioners, and employers in the professional or vocational fields for which the educational institutions or programs within the agency's jurisdiction prepare their students.</P> <SECAUTH>(Authority: 20 U.S.C. 1099b)</SECAUTH> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Organizational and Administrative Requirements</HD> <SECTION> <SECTNO>§ 602.14</SECTNO> <SUBJECT>Purpose and organization.</SUBJECT> <P>(a) The Secretary recognizes only the following four categories of agencies:</P> <GPOTABLE CDEF="s100,r200" COLS="2" OPTS="L2,i1"> <BOXHD> <CHED H="1">The Secretary recognizes . . .</CHED> <CHED H="1">that . . .</CHED> </BOXHD> <ROW> <ENT I="01">(1) An accrediting agency</ENT> <ENT>(i) Has a voluntary membership of institutions of higher education;</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>(ii) Has as a principal purpose the accrediting of institutions of higher education and that accreditation is a required element in enabling those institutions to participate in HEA programs; and</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>(iii) Satisfies the “separate and independent” requirements in paragraph (b) of this section.</ENT> </ROW> <ROW> <ENT I="01">(2) An accrediting agency</ENT> <ENT>(i) Has a voluntary membership; and</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>(ii) Has as its principal purpose the accrediting of higher education programs, or higher education programs and institutions of higher education, and that accreditation is a required element in enabling those entities to participate in non-HEA Federal programs.</ENT> </ROW> <ROW> <ENT I="01">(3) An accrediting agency</ENT> <ENT>for purposes of determining eligibility for Title IV, HEA programs—</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>(i) Either has a voluntary membership of individuals participating in a profession or has as its principal purpose the accrediting of programs within institutions that are accredited by a nationally recognized accrediting agency; and</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>(ii) Either satisfies the “separate and independent” requirements in paragraph (b) of this section or obtains a waiver of those requirements under paragraphs (d) and (e) of this section.</ENT> </ROW> <ROW> <ENT I="01">(4) A State agency</ENT> <ENT>(i) Has as a principal purpose the accrediting of institutions of higher education, higher education programs, or both; and</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>(ii) The Secretary listed as a nationally recognized accrediting agency on or before October 1, 1991 and has recognized continuously since that date. </ENT> </ROW> </GPOTABLE> <P>(b) For purposes of this section, the term <E T="03">separate and independent</E> means that—</P> <P>(1) The members of the agency's decision-making body—who decide the accreditation or preaccreditation status of institutions or programs, establish the agency's accreditation policies, or both—are not elected or selected by the board or chief executive officer of any related, associated, or affiliated trade association or membership organization;</P> <P>(2) At least one member of the agency's decision-making body is a representative of the public, and at least one-seventh of that body consists of representatives of the public;</P> <P>(3) The agency has established and implemented guide lines for each member of the decision-making body to avoid conflicts of interest in making decisions;</P> <P>(4) The agency's dues are paid separately from any dues paid to any related, associated, or affiliated trade association or membership organization; and</P> <P>(5) The agency develops and determines its own budget, with no review by or consultation with any other entity or organization.</P> <P>(c) The Secretary considers that any joint use of personnel, services, equipment, or facilities by an agency and a related, associated, or affiliated trade association or membership organization does not violate the “separate and independent” requirements in paragraph (b) of this section if—</P> <P>(1) The agency pays the fair market value for its proportionate share of the joint use; and</P> <P>(2) The joint use does not compromise the independence and confidentiality of the accreditation process.</P> <P>(d) For purposes of paragraph (a)(3) of this section, the Secretary may waive the “separate and independent” requirements in paragraph (b) of this section if the agency demonstrates that—<PRTPAGE P="197"/> </P> <P>(1) The Secretary listed the agency as a nationally recognized agency on or before October 1, 1991 and has recognized it continuously since that date;</P> <P>(2) The related, associated, or affiliated trade association or membership organization plays no role in making or ratifying either the accrediting or policy decisions of the agency;</P> <P>(3) The agency has sufficient budgetary and administrative autonomy to carry out its accrediting functions independently; and</P> <P>(4) The agency provides to the related, associated, or affiliated trade association or membership organization only information it makes available to the public.</P> <P>(e) An agency seeking a waiver of the “separate and independent” requirements under paragraph (d) of this section must apply for the waiver each time the agency seeks recognition or continued recognition.</P> <SECAUTH>(Authority: 20 U.S.C. 1099b)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 602.15</SECTNO> <SUBJECT>Administrative and fiscal responsibilities.</SUBJECT> <P>The agency must have the administrative and fiscal capability to carry out its accreditation activities in light of its requested scope of recognition. The agency meets this requirement if the agency demonstrates that—</P> <P>(a) The agency has—</P> <P>(1) Adequate administrative staff and financial resources to carry out its accrediting responsibilities;</P> <P>(2) Competent and knowledgeable individuals, qualified by education and experience in their own right and trained by the agency on its standards, policies, and procedures, to conduct its on-site evaluations, establish its policies, and make its accrediting and preaccrediting decisions;</P> <P>(3) Academic and administrative personnel on its evaluation, policy, and decision-making bodies, if the agency accredits institutions;</P> <P>(4) Educators and practitioners on its evaluation, policy, and decision-making bodies, if the agency accredits programs or single-purpose institutions that prepare students for a specific profession;</P> <P>(5) Representatives of the public on all decision-making bodies; and</P> <P>(6) Clear and effective controls against conflicts of interest, or the appearance of conflicts of interest, by the agency's—</P> <P>(i) Board members;</P> <P>(ii) Commissioners;</P> <P>(iii) Evaluation team members;</P> <P>(iv) Consultants;</P> <P>(v) Administrative staff; and</P> <P>(vi) Other agency representatives; and</P> <P>(b) The agency maintains complete and accurate records of—</P> <P>(1) Its last two full accreditation or preaccreditation reviews of each institution or program, including on-site evaluation team reports, the institution's or program's responses to on-site reports, periodic review reports, any reports of special reviews conducted by the agency between regular reviews, and a copy of the institution's or program's most recent self-study; and</P> <P>(2) All decisions regarding the accreditation and preaccreditation of any institution or program, including all correspondence that is significantly related to those decisions.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1845-0003)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 1099b)</SECAUTH> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Required Standards and Their Application</HD> <SECTION> <SECTNO>§ 602.16</SECTNO> <SUBJECT>Accreditation and preaccreditation standards.</SUBJECT> <P>(a) The agency must demonstrate that it has standards for accreditation, and preaccreditation, if offered, that are sufficiently rigorous to ensure that the agency is a reliable authority regarding the quality of the education or training provided by the institutions or programs it accredits. The agency meets this requirement if—</P> <P>(1) The agency's accreditation standards effectively address the quality of the institution or program in the following areas:</P> <P>(i) Success with respect to student achievement in relation to the institution's mission, including, as appropriate, consideration of course completion, State licensing examination, and job placement rates.</P> <P>(ii) Curricula.</P> <P>(iii) Faculty.<PRTPAGE P="198"/> </P> <P>(iv) Facilities, equipment, and supplies.</P> <P>(v) Fiscal and administrative capacity as appropriate to the specified scale of operations.</P> <P>(vi) Student support services.</P> <P>(vii) Recruiting and admissions practices, academic calendars, catalogs, publications, grading, and advertising.</P> <P>(viii) Measures of program length and the objectives of the degrees or credentials offered.</P> <P>(ix) Record of student complaints received by, or available to, the agency.</P> <P>(x) Record of compliance with the institution's program responsibilities under Title IV of the Act, based on the most recent student loan default rate data provided by the Secretary, the results of financial or compliance audits, program reviews, and any other information that the Secretary may provide to the agency; and</P> <P>(2) The agency's preaccreditation standards, if offered, are appropriately related to the agency's accreditation standards and do not permit the institution or program to hold preaccreditation status for more than five years.</P> <P>(b) If the agency only accredits programs and does not serve as an institutional accrediting agency for any of those programs, its accreditation standards must address the areas in paragraph (a)(1) of this section in terms of the type and level of the program rather than in terms of the institution.</P> <P>(c) If none of the institutions an agency accredits participates in any Title IV, HEA program, or if the agency only accredits programs within institutions that are accredited by a nationally recognized institutional accrediting agency, the agency is not required to have the accreditation standards described in paragraphs (a)(1)(viii) and (a)(1)(x) of this section.</P> <P>(d) An agency that has established and applies the standards in paragraph (a) of this section may establish any additional accreditation standards it deems appropriate.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1845-0003)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 1099b)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 602.17</SECTNO> <SUBJECT>Application of standards in reaching an accrediting decision.</SUBJECT> <P>The agency must have effective mechanisms for evaluating an institution's or program's compliance with the agency's standards before reaching a decision to accredit or preaccredit the institution or program. The agency meets this requirement if the agency demonstrates that it—</P> <P>(a) Evaluates whether an institution or program—</P> <P>(1) Maintains clearly specified educational objectives that are consistent with its mission and appropriate in light of the degrees or certificates awarded;</P> <P>(2) Is successful in achieving its stated objectives; and</P> <P>(3) Maintains degree and certificate requirements that at least conform to commonly accepted standards;</P> <P>(b) Requires the institution or program to prepare, following guidance provided by the agency, an in-depth self-study that includes the assessment of educational quality and the institution's or program's continuing efforts to improve educational quality;</P> <P>(c) Conducts at least one on-site review of the institution or program during which it obtains sufficient information to determine if the institution or program complies with the agency's standards;</P> <P>(d) Allows the institution or program the opportunity to respond in writing to the report of the on-site review;</P> <P>(e) Conducts its own analysis of the self-study and supporting documentation furnished by the institution or program, the report of the on-site review, the institution's or program's response to the report, and any other appropriate information from other sources to determine whether the institution or program complies with the agency's standards; and</P> <P>(f) Provides the institution or program with a detailed written report that assesses—</P> <P>(1) The institution's or program's compliance with the agency's standards, including areas needing improvement; and</P> <P>(2) The institution's or program's performance with respect to student achievement.</P> <SECAUTH>(Authority: 20 U.S.C. 1099b)</SECAUTH> </SECTION> <SECTION> <PRTPAGE P="199"/> <SECTNO>§ 602.18</SECTNO> <SUBJECT>Ensuring consistency in decision-making.</SUBJECT> <P>The agency must consistently apply and enforce its standards to ensure that the education or training offered by an institution or program, including any offered through distance education, is of sufficient quality to achieve its stated objective for the duration of any accreditation or preaccreditation period granted by the agency. The agency meets this requirement if the agency—</P> <P>(a) Has effective controls against the inconsistent application of the agency's standards;</P> <P>(b) Bases decisions regarding accreditation and preaccreditation on the agency's published standards; and</P> <P>(c) Has a reasonable basis for determining that the information the agency relies on for making accrediting decisions is accurate.</P> <SECAUTH>(Authority: 20 U.S.C. 1099b)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 602.19</SECTNO> <SUBJECT>Monitoring and reevaluation of accredited institutions and programs.</SUBJECT> <P>(a) The agency must reevaluate, at regularly established intervals, the institutions or programs it has accredited or preaccredited.</P> <P>(b) The agency must monitor institutions or programs throughout their accreditation or preaccreditation period to ensure that they remain in compliance with the agency's standards. This includes conducting special evaluations or site visits, as necessary.</P> <SECAUTH>(Authority: 20 U.S.C. 1099b)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 602.20</SECTNO> <SUBJECT>Enforcement of standards.</SUBJECT> <P>(a) If the agency's review of an institution or program under any standard indicates that the institution or program is not in compliance with that standard, the agency must—</P> <P>(1) Immediately initiate adverse action against the institution or program; or</P> <P>(2) Require the institution or program to take appropriate action to bring itself into compliance with the agency's standards within a time period that must not exceed—</P> <P>(i) Twelve months, if the program, or the longest program offered by the institution, is less than one year in length;</P> <P>(ii) Eighteen months, if the program, or the longest program offered by the institution, is at least one year, but less than two years, in length; or</P> <P>(iii) Two years, if the program, or the longest program offered by the institution, is at least two years in length.</P> <P>(b) If the institution or program does not bring itself into compliance within the specified period, the agency must take immediate adverse action unless the agency, for good cause, extends the period for achieving compliance.</P> <SECAUTH>(Authority: 20 U.S.C. 1099b)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 602.21</SECTNO> <SUBJECT>Review of standards.</SUBJECT> <P>(a) The agency must maintain a systematic program of review that demonstrates that its standards are adequate to evaluate the quality of the education or training provided by the institutions and programs it accredits and relevant to the educational or training needs of students.</P> <P>(b) The agency determines the specific procedures it follows in evaluating its standards, but the agency must ensure that its program of review—</P> <P>(1) Is comprehensive;</P> <P>(2) Occurs at regular, yet reasonable, intervals or on an ongoing basis;</P> <P>(3) Examines each of the agency's standards and the standards as a whole; and</P> <P>(4) Involves all of the agency's relevant constituencies in the review and affords them a meaningful opportunity to provide input into the review.</P> <P>(c) If the agency determines, at any point during its systematic program of review, that it needs to make changes to its standards, the agency must initiate action within 12 months to make the changes and must complete that action within a reasonable period of time. Before finalizing any changes to its standards, the agency must—</P> <P>(1) Provide notice to all of the agency's relevant constituencies, and other parties who have made their interest known to the agency, of the changes the agency proposes to make;</P> <P>(2) Give the constituencies and other interested parties adequate opportunity to comment on the proposed changes; and<PRTPAGE P="200"/> </P> <P>(3) Take into account any comments on the proposed changes submitted timely by the relevant constituencies and by other interested parties.</P> <SECAUTH>(Authority: 20 U.S.C. 1099b)</SECAUTH> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Required Operating Policies and Procedures</HD> <SECTION> <SECTNO>§ 602.22</SECTNO> <SUBJECT>Substantive change.</SUBJECT> <P>(a) If the agency accredits institutions, it must maintain adequate substantive change policies that ensure that any substantive change to the educational mission, program, or programs of an institution after the agency has accredited or preaccredited the institution does not adversely affect the capacity of the institution to continue to meet the agency's standards. The agency meets this requirement if—</P> <P>(1) The agency requires the institution to obtain the agency's approval of the substantive change before the agency includes the change in the scope of accreditation or preaccreditation it previously granted to the institution; and</P> <P>(2) The agency's definition of substantive change includes at least the following types of change:</P> <P>(i) Any change in the established mission or objectives of the institution.</P> <P>(ii) Any change in the legal status, form of control, or ownership of the institution.</P> <P>(iii) The addition of courses or programs that represent a significant departure, in either content or method of delivery, from those that were offered when the agency last evaluated the institution.</P> <P>(iv) The addition of courses or programs at a degree or credential level above that which is included in the institution's current accreditation or preaccreditation.</P> <P>(v) A change from clock hours to credit hours.</P> <P>(vi) A substantial increase in the number of clock or credit hours awarded for successful completion of a program.</P> <P>(vii) The establishment of an additional location geographically apart from the main campus at which the institution offers at least 50 percent of an educational program.</P> <P>(b) The agency may determine the procedures it uses to grant prior approval of the substantive change. Except as provided in paragraph (c) of this section, these may, but need not, require a visit by the agency.</P> <P>(c) If the agency's accreditation of an institution enables the institution to seek eligibility to participate in Title IV, HEA programs, the agency's procedures for the approval of an additional location described in paragraph (a)(2)(vii) of this section must determine if the institution has the fiscal and administrative capacity to operate the additional location. In addition, the agency's procedures must include—</P> <P>(1) A visit, within six months, to each additional location the institution establishes, if the institution—</P> <P>(i) Has a total of three or fewer additional locations;</P> <P>(ii) Has not demonstrated, to the agency's satisfaction, that it has a proven record of effective educational oversight of additional locations; or</P> <P>(iii) Has been placed on warning, probation, or show cause by the agency or is subject to some limitation by the agency on its accreditation or preaccreditation status;</P> <P>(2) An effective mechanism for conducting, at reasonable intervals, visits to additional locations of institutions that operate more than three additional locations; and</P> <P>(3) An effective mechanism, which may, at the agency's discretion, include visits to additional locations, for ensuring that accredited and preaccredited institutions that experience rapid growth in the number of additional locations maintain educational quality.</P> <P>(d) The purpose of the visits described in paragraph (c) of this section is to verify that the additional location has the personnel, facilities, and resources it claimed to have in its application to the agency for approval of the additional location.</P> <SECAUTH>(Authority: 20 U.S.C. 1099b)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 602.23</SECTNO> <SUBJECT>Operating procedures all agencies must have.</SUBJECT> <P>(a) The agency must maintain and make available to the public, upon request, written materials describing—<PRTPAGE P="201"/> </P> <P>(1) Each type of accreditation and preaccreditation it grants;</P> <P>(2) The procedures that institutions or programs must follow in applying for accreditation or preaccreditation;</P> <P>(3) The standards and procedures it uses to determine whether to grant, reaffirm, reinstate, restrict, deny, revoke, terminate, or take any other action related to each type of accreditation and preaccreditation that the agency grants;</P> <P>(4) The institutions and programs that the agency currently accredits or preaccredits and, for each institution and program, the year the agency will next review or reconsider it for accreditation or preaccreditation; and</P> <P>(5) The names, academic and professional qualifications, and relevant employment and organizational affiliations of—</P> <P>(i) The members of the agency's policy and decision-making bodies; and</P> <P>(ii) The agency's principal administrative staff.</P> <P>(b) In providing public notice that an institution or program subject to its jurisdiction is being considered for accreditation or preaccreditation, the agency must provide an opportunity for third-party comment concerning the institution's or program's qualifications for accreditation or preaccreditation. At the agency's discretion, third-party comment may be received either in writing or at a public hearing, or both.</P> <P>(c) The accrediting agency must—</P> <P>(1) Review in a timely, fair, and equitable manner any complaint it receives against an accredited institution or program that is related to the agency's standards or procedures;</P> <P>(2) Take follow-up action, as necessary, including enforcement action, if necessary, based on the results of its review; and</P> <P>(3) Review in a timely, fair, and equitable manner, and apply unbiased judgment to, any complaints against itself and take follow-up action, as appropriate, based on the results of its review.</P> <P>(d) If an institution or program elects to make a public disclosure of its accreditation or preaccreditation status, the agency must ensure that the institution or program discloses that status accurately, including the specific academic or instructional programs covered by that status and the name, address, and telephone number of the agency.</P> <P>(e) The accrediting agency must provide for the public correction of incorrect or misleading information an accredited or preaccredited institution or program releases about—</P> <P>(1) The accreditation or preaccreditation status of the institution or program;</P> <P>(2) The contents of reports of on-site reviews; and</P> <P>(3) The agency's accrediting or preaccrediting actions with respect to the institution or program.</P> <P>(f) The agency may establish any additional operating procedures it deems appropriate. At the agency's discretion, these may include unannounced inspections.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1845-0003)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 1099b)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 602.24</SECTNO> <SUBJECT>Additional procedures certain institutional accreditors must have.</SUBJECT> <P>If the agency is an institutional accrediting agency and its accreditation or preaccreditation enables those institutions to obtain eligibility to participate in Title IV, HEA programs, the agency must demonstrate that it has established and uses all of the following procedures:</P> <P>(a) <E T="03">Branch campus.</E> (1) The agency must require the institution to notify the agency if it plans to establish a branch campus and to submit a business plan for the branch campus that describes—</P> <P>(i) The educational program to be offered at the branch campus;</P> <P>(ii) The projected revenues and expenditures and cash flow at the branch campus; and</P> <P>(iii) The operation, management, and physical resources at the branch campus.</P> <P>(2) The agency may extend accreditation to the branch campus only after it evaluates the business plan and takes whatever other actions it deems necessary to determine that the branch campus has sufficient educational, financial, operational, management, and <PRTPAGE P="202"/>physical resources to meet the agency's standards.</P> <P>(3) The agency must undertake a site visit to the branch campus as soon as practicable, but no later than six months after the establishment of that campus.</P> <P>(b) <E T="03">Change in ownership.</E> The agency must undertake a site visit to an institution that has undergone a change of ownership that resulted in a change of control as soon as practicable, but no later than six months after the change of ownership.</P> <P>(c) <E T="03">Teach-out agreements.</E> (1) The agency must require an institution it accredits or preaccredits that enters into a teach-out agreement with another institution to submit that teach-out agreement to the agency for approval.</P> <P>(2) The agency may approve the teach-out agreement only if the agreement is between institutions that are accredited or preaccredited by a nationally recognized accrediting agency, is consistent with applicable standards and regulations, and provides for the equitable treatment of students by ensuring that—</P> <P>(i) The teach-out institution has the necessary experience, resources, and support services to provide an educational program that is of acceptable quality and reasonably similar in content, structure, and scheduling to that provided by the closed institution; and</P> <P>(ii) The teach-out institution demonstrates that it can provide students access to the program and services without requiring them to move or travel substantial distances.</P> <P>(3) If an institution the agency accredits or preaccredits closes, the agency must work with the Department and the appropriate State agency, to the extent feasible, to ensure that students are given reasonable opportunities to complete their education without additional charge.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1845-0003)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 1099b)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 602.25</SECTNO> <SUBJECT>Due process.</SUBJECT> <P>The agency must demonstrate that the procedures it uses throughout the accrediting process satisfy due process. The agency meets this requirement if the agency does the following:</P> <P>(a) The agency uses procedures that afford an institution or program a reasonable period of time to comply with the agency's requests for information and documents.</P> <P>(b) The agency notifies the institution or program in writing of any adverse accrediting action or an action to place the institution or program on probation or show cause. The notice describes the basis for the action.</P> <P>(c) The agency permits the institution or program the opportunity to appeal an adverse action and the right to be represented by counsel during that appeal. If the agency allows institutions or programs the right to appeal other types of actions, the agency has the discretion to limit the appeal to a written appeal.</P> <P>(d) The agency notifies the institution or program in writing of the result of its appeal and the basis for that result.</P> <SECAUTH>(Authority: 20 U.S.C. 1099b)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 602.26</SECTNO> <SUBJECT>Notification of accrediting decisions.</SUBJECT> <P>The agency must demonstrate that it has established and follows written procedures requiring it to provide written notice of its accrediting decisions to the Secretary, the appropriate State licensing or authorizing agency, the appropriate accrediting agencies, and the public. The agency meets this requirement if the agency, following its written procedures—</P> <P>(a) Provides written notice of the following types of decisions to the Secretary, the appropriate State licensing or authorizing agency, the appropriate accrediting agencies, and the public no later than 30 days after it makes the decision:</P> <P>(1) A decision to award initial accreditation or preaccreditation to an institution or program.</P> <P>(2) A decision to renew an institution's or program's accreditation or preaccreditation;</P> <P>(b) Provides written notice of the following types of decisions to the Secretary, the appropriate State licensing or authorizing agency, and the appropriate accrediting agencies at the same <PRTPAGE P="203"/>time it notifies the institution or program of the decision, but no later than 30 days after it reaches the decision:</P> <P>(1) A final decision to place an institution or program on probation or an equivalent status.</P> <P>(2) A final decision to deny, withdraw, suspend, revoke, or terminate the accreditation or preaccreditation of an institution or program;</P> <P>(c) Provides written notice to the public of the decisions listed in paragraphs (b)(1) and (b)(2) of this section within 24 hours of its notice to the institution or program;</P> <P>(d) For any decision listed in paragraph (b)(2) of this section, makes available to the Secretary, the appropriate State licensing or authorizing agency, and the public upon request, no later than 60 days after the decision, a brief statement summarizing the reasons for the agency's decision and the comments, if any, that the affected institution or program may wish to make with regard to that decision; and</P> <P>(e) Notifies the Secretary, the appropriate State licensing or authorizing agency, the appropriate accrediting agencies, and, upon request, the public if an accredited or preaccredited institution or program—</P> <P>(1) Decides to withdraw voluntarily from accreditation or preaccreditation, within 30 days of receiving notification from the institution or program that it is withdrawing voluntarily from accreditation or preaccreditation; or</P> <P>(2) Lets its accreditation or preaccreditation lapse, within 30 days of the date on which accreditation or preaccreditation lapses.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1845-0003)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 1099b)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 602.27</SECTNO> <SUBJECT>Other information an agency must provide the Department.</SUBJECT> <P>The agency must submit to the Department—</P> <P>(a) A copy of any annual report it prepares;</P> <P>(b) A copy, updated annually, of its directory of accredited and preaccredited institutions and programs;</P> <P>(c) A summary of the agency's major accrediting activities during the previous year (an annual data summary), if requested by the Secretary to carry out the Secretary's responsibilities related to this part;</P> <P>(d) Any proposed change in the agency's policies, procedures, or accreditation or preaccreditation standards that might alter its—</P> <P>(1) Scope of recognition; or</P> <P>(2) Compliance with the criteria for recognition;</P> <P>(e) The name of any institution or program it accredits that the agency has reason to believe is failing to meet its Title IV, HEA program responsibilities or is engaged in fraud or abuse, along with the agency's reasons for concern about the institution or program; and</P> <P>(f) If the Secretary requests, information that may bear upon an accredited or preaccredited institution's compliance with its Title IV, HEA program responsibilities, including the eligibility of the institution or program to participate in Title IV, HEA programs. The Secretary may ask for this information to assist the Department in resolving problems with the institution's participation in the Title IV, HEA programs.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1845-0003)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 1099b)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 602.28</SECTNO> <SUBJECT>Regard for decisions of States and other accrediting agencies.</SUBJECT> <P>(a) If the agency is an institutional accrediting agency, it may not accredit or preaccredit institutions that lack legal authorization under applicable State law to provide a program of education beyond the secondary level.</P> <P>(b) Except as provided in paragraph (c) of this section, the agency may not grant initial or renewed accreditation or preaccreditation to an institution, or a program offered by an institution, if the agency knows, or has reasonable cause to know, that the institution is the subject of—</P> <P>(1) A pending or final action brought by a State agency to suspend, revoke, withdraw, or terminate the institution's legal authority to provide postsecondary education in the State;</P> <P>(2) A decision by a recognized agency to deny accreditation or preaccreditation;<PRTPAGE P="204"/> </P> <P>(3) A pending or final action brought by a recognized accrediting agency to suspend, revoke, withdraw, or terminate the institution's accreditation or preaccreditation; or</P> <P>(4) Probation or an equivalent status imposed by a recognized agency.</P> <P>(c) The agency may grant accreditation or preaccreditation to an institution or program described in paragraph (b) of this section only if it provides to the Secretary, within 30 days of its action, a thorough and reasonable explanation, consistent with its standards, why the action of the other body does not preclude the agency's grant of accreditation or preaccreditation.</P> <P>(d) If the agency learns that an institution it accredits or preaccredits, or an institution that offers a program it accredits or preaccredits, is the subject of an adverse action by another recognized accrediting agency or has been placed on probation or an equivalent status by another recognized agency, the agency must promptly review its accreditation or preaccreditation of the institution or program to determine if it should also take adverse action or place the institution or program on probation or show cause.</P> <P>(e) The agency must, upon request, share with other appropriate recognized accrediting agencies and recognized State approval agencies information about the accreditation or preaccreditation status of an institution or program and any adverse actions it has taken against an accredited or preaccredited institution or program.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1845-0003)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 1099b)</SECAUTH> </SECTION> </SUBJGRP> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—The Recognition Process</HD> <SUBJGRP> <HD SOURCE="HED">Application and Review by Department Staff</HD> <SECTION> <SECTNO>§ 602.30</SECTNO> <SUBJECT>How does an agency apply for recognition?</SUBJECT> <P>(a) An accrediting agency seeking initial or continued recognition must submit a written application to the Secretary. The application must consist of—</P> <P>(1) A statement of the agency's requested scope of recognition;</P> <P>(2) Evidence that the agency complies with the criteria for recognition listed in subpart B of this part; and</P> <P>(3) Supporting documentation.</P> <P>(b) By submitting an application for recognition, the agency authorizes Department staff to observe its site visits and decision meetings and to gain access to agency records, personnel, and facilities on an announced or unannounced basis.</P> <P>(c) The Secretary does not make available to the public any confidential agency materials a Department employee reviews during the evaluation of either the agency's application for recognition or the agency's compliance with the criteria for recognition.</P> <APPRO>(Approved by the Office of Management and Budget under control number 1845-0003)</APPRO> <SECAUTH>(Authority: 20 U.S.C. 1099b)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 602.31</SECTNO> <SUBJECT>How does Department staff review an agency's application?</SUBJECT> <P>(a) Upon receipt of an agency's application for either initial or continued recognition, Department staff—</P> <P>(1) Establishes a schedule for the review of the agency by Department staff, the National Advisory Committee on Institutional Quality and Integrity, and the Secretary;</P> <P>(2) Publishes a notice of the agency's application in the <E T="04">Federal Register</E>, inviting the public to comment on the agency's compliance with the criteria for recognition and establishing a deadline for receipt of public comment; and</P> <P>(3) Provides State licensing or authorizing agencies, all currently recognized accrediting agencies, and other appropriate organizations with copies of the <E T="04">Federal Register</E> notice.</P> <P>(b) Department staff analyzes the agency's application to determine whether the agency satisfies the criteria for recognition, taking into account all available relevant information concerning the compliance of the agency with those criteria and any deficiencies in the agency's performance with respect to the criteria. The analysis includes—</P> <P>(1) Site visits, on an announced or unannounced basis, to the agency and, at the Secretary's discretion, to some <PRTPAGE P="205"/>of the institutions or programs it accredits or preaccredits;</P> <P>(2) Review of the public comments and other third-party information the Department staff receives by the established deadline, as well as any other information Department staff assembles for purposes of evaluating the agency under this part; and</P> <P>(3) Review of complaints or legal actions involving the agency.</P> <P>(c) Department staff's evaluation may also include a review of information directly related to institutions or programs accredited or preaccredited by the agency relative to their compliance with the agency's standards, the effectiveness of the standards, and the agency's application of those standards.</P> <P>(d) If, at any point in its evaluation of an agency seeking initial recognition, Department staff determines that the agency fails to demonstrate substantial compliance with the basic eligibility requirements in §§ 602.10 through 602.13, the staff—</P> <P>(1) Returns the agency's application and provides the agency with an explanation of the deficiencies that caused staff to take that action; and</P> <P>(2) Recommends that the agency withdraw its application and reapply when the agency can demonstrate compliance.</P> <P>(e) Except with respect to an application that is withdrawn under paragraph (d) of this section, when Department staff completes its evaluation of the agency, the staff—</P> <P>(1) Prepares a written analysis of the agency, which includes a recognition recommendation;</P> <P>(2) Sends the analysis and all supporting documentation, including all third-party comments the Department received by the established deadline, to the agency no later than 45 days before the Advisory Committee meeting; and</P> <P>(3) Invites the agency to provide a written response to the staff analysis and third-party comments, specifying a deadline for the response that is at least two weeks before the Advisory Committee meeting.</P> <P>(f) If Department staff fails to provide the agency with the materials described in paragraph (e)(2) of this section at least 45 days before the Advisory Committee meeting, the agency may request that the Advisory Committee defer acting on the application at that meeting. If Department staff's failure to send the materials at least 45 days before the Advisory Committee meeting is due to the failure of the agency to submit reports or other information the Secretary requested by the deadline the Secretary established, the agency forfeits its right to request a deferral.</P> <P>(g) Department staff reviews any response to the staff analysis that the agency submits. If necessary, Department staff prepares an addendum to the staff analysis and provides the agency with a copy.</P> <P>(h) Before the Advisory Committee meeting, Department staff provides the Advisory Committee with the following information:</P> <P>(1) The agency's application for recognition and supporting documentation.</P> <P>(2) The Department staff analysis of the agency.</P> <P>(3) Any written third-party comments the Department received about the agency on or before the established deadline.</P> <P>(4) Any agency response to either the Department staff analysis or third-party comments.</P> <P>(5) Any addendum to the Department staff analysis.</P> <P>(6) Any other information Department staff relied on in developing its analysis.</P> <P>(i) At least 30 days before the Advisory Committee meeting, the Department publishes a notice of the meeting in the <E T="04">Federal Register</E> inviting interested parties, including those who submitted third-party comments concerning the agency's compliance with the criteria for recognition, to make oral presentations before the Advisory Committee.</P> <SECAUTH>(Authority: 20 U.S.C. 1099b)</SECAUTH> </SECTION> </SUBJGRP> <SUBJGRP> <PRTPAGE P="206"/> <HD SOURCE="HED">Review by the National Advisory Committee on Institutional Quality and Integrity</HD> <SECTION> <SECTNO>§ 602.32</SECTNO> <SUBJECT>What is the role of the Advisory Committee and the senior Department official in the review of an agency's application?</SUBJECT> <P>(a) The Advisory Committee considers an agency's application for recognition at a public meeting and invites Department staff, the agency, and other interested parties to make oral presentations at the meeting. A transcript is made of each Advisory Committee meeting.</P> <P>(b) When it concludes its review, the Advisory Committee recommends that the Secretary either approve or deny recognition or that the Secretary defer a decision on the agency's application for recognition.</P> <P>(1)(i) The Advisory Committee recommends approval of recognition if the agency complies with the criteria for recognition listed in subpart B of this part and if the agency is effective in its performance with respect to those criteria.</P> <P>(ii) If the Advisory Committee recommends approval, the Advisory Committee also recommends a recognition period and a scope of recognition.</P> <P>(iii) If the recommended scope or period of recognition is less than that requested by the agency, the Advisory Committee explains its reasons for recommending the lesser scope or recognition period.</P> <P>(2)(i) If the agency fails to comply with the criteria for recognition in subpart B of this part, or if the agency is not effective in its performance with respect to those criteria, the Advisory Committee recommends denial of recognition, unless the Advisory Committee concludes that a deferral under paragraph (b)(3) of this section is warranted.</P> <P>(ii) If the Advisory Committee recommends denial, the Advisory Committee specifies the reasons for its recommendation, including all criteria the agency fails to meet and all areas in which the agency fails to perform effectively.</P> <P>(3)(i) The Advisory Committee may recommend deferral of a decision on recognition if it concludes that the agency's deficiencies do not warrant immediate loss of recognition and if it concludes that the agency will demonstrate or achieve compliance with the criteria for recognition and effective performance with respect to those criteria before the expiration of the deferral period.</P> <P>(ii) In its deferral recommendation, the Advisory Committee states the bases for its conclusions, specifies any criteria for recognition the agency fails to meet, and identifies any areas in which the agency fails to perform effectively with respect to the criteria.</P> <P>(iii) The Advisory Committee also recommends a deferral period, which may not exceed 12 months, either as a single deferral period or in combination with any expiring deferral period in which similar deficiencies in compliance or performance were cited by the Secretary.</P> <P>(c) At the conclusion of its meeting, the Advisory Committee forwards its recommendations to the Secretary through the senior Department official.</P> <P>(d) For any Advisory Committee recommendation not appealed under § 602.33, the senior Department official includes with the Advisory Committee materials forwarded to the Secretary a memorandum containing the senior Department official's recommendations regarding the actions proposed by the Advisory Committee.</P> <SECAUTH>(Authority: 20 U.S.C. 1099b and 1145)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 602.33</SECTNO> <SUBJECT>How may an agency appeal a recommendation of the Advisory Committee?</SUBJECT> <P>(a) Either the agency or the senior Department official may appeal the Advisory Committee's recommendation. If a party wishes to appeal, that party must—</P> <P>(1) Notify the Secretary and the other party in writing of its intent to appeal the recommendation no later than 10 days after the Advisory Committee meeting;</P> <P>(2) Submit its appeal in writing to the Secretary no later than 30 days after the Advisory Committee meeting; and</P> <P>(3) Provide the other party with a copy of the appeal at the same time it submits the appeal to the Secretary.<PRTPAGE P="207"/> </P> <P>(b) The non-appealing party may file a written response to the appeal. If that party wishes to do so, it must—</P> <P>(1) Submit its response to the Secretary no later than 30 days after receiving its copy of the appeal; and</P> <P>(2) Provide the appealing party with a copy of its response at the same time it submits its response to the Secretary.</P> <P>(c) Neither the agency nor the senior Department official may include any new evidence in its submission; i.e., evidence it did not previously submit to the Advisory Committee.</P> <SECAUTH>(Authority: 20 U.S.C. 1099b and 1145)</SECAUTH> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Review and Decision by the Secretary</HD> <SECTION> <SECTNO>§ 602.34</SECTNO> <SUBJECT>What does the Secretary consider when making a recognition decision?</SUBJECT> <P>The Secretary makes the decision regarding recognition of an agency based on the entire record of the agency's application, including the following:</P> <P>(a) The Advisory Committee's recommendation.</P> <P>(b) The senior Department official's recommendation, if any.</P> <P>(c) The agency's application and supporting documentation.</P> <P>(d) The Department staff analysis of the agency.</P> <P>(e) All written third-party comments forwarded by Department staff to the Advisory Committee for consideration at the meeting.</P> <P>(f) Any agency response to the Department staff analysis and third-party comments.</P> <P>(g) Any addendum to the Department staff analysis.</P> <P>(h) All oral presentations at the Advisory Committee meeting.</P> <P>(i) Any materials submitted by the parties, within the established timeframes, in an appeal taken in accordance with § 602.33.</P> <SECAUTH>(Authority: 20 U.S.C. 1099b)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 602.35</SECTNO> <SUBJECT>What information does the Secretary's recognition decision include?</SUBJECT> <P>(a) The Secretary notifies the agency in writing of the Secretary's decision regarding the agency's application for recognition.</P> <P>(b) The Secretary either approves or denies recognition or defers a decision on the agency's application for recognition.</P> <P>(1)(i) The Secretary approves recognition if the agency complies with the criteria for recognition listed in subpart B of this part and if the agency is effective in its performance with respect to those criteria.</P> <P>(ii) If the Secretary approves recognition, the Secretary's recognition decision defines the scope of recognition and the recognition period.</P> <P>(iii) If the scope or period of recognition is less than that requested by the agency, the Secretary explains the reasons for approving a lesser scope or recognition period.</P> <P>(2)(i) If the agency fails to comply with the criteria for recognition in subpart B of this part, or if the agency is not effective in its performance with respect to those criteria, the Secretary denies recognition, unless the Secretary concludes that a deferral under paragraph (b)(3) of this section is warranted.</P> <P>(ii) If the Secretary denies recognition, the Secretary specifies the reasons for this decision, including all criteria the agency fails to meet and all areas in which the agency fails to perform effectively.</P> <P>(3)(i) The Secretary may defer a decision on recognition if the Secretary concludes that the agency's deficiencies do not warrant immediate loss of recognition and if the Secretary concludes that the agency will demonstrate or achieve compliance with the criteria for recognition and effective performance with respect to those criteria before the expiration of the deferral period.</P> <P>(ii) In the deferral decision, the Secretary states the bases for the Secretary's conclusions, specifies any criteria for recognition the agency fails to meet, and identifies any areas in which the agency fails to perform effectively with respect to the criteria.</P> <P>(iii) The Secretary also establishes a deferral period, which begins on the date of the Secretary's decision.</P> <P>(iv) The deferral period may not exceed 12 months, either as a single deferral period or in combination with any <PRTPAGE P="208"/>expiring deferral period in which similar deficiencies in compliance or performance were cited by the Secretary, except that the Secretary may grant an extension of an expiring deferral period at the request of the agency for good cause shown.</P> <P>(c) The recognition period may not exceed five years.</P> <P>(d) If the Secretary does not reach a final decision to approve or deny an agency's application for continued recognition before the expiration of its recognition period, the Secretary automatically extends the recognition period until the final decision is reached.</P> <SECAUTH>(Authority: 20 U.S.C. 1099b)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 602.36</SECTNO> <SUBJECT>May an agency appeal the Secretary's final recognition decision?</SUBJECT> <P>An agency may appeal the Secretary's decision under this part in the Federal courts as a final decision in accordance with applicable Federal law.</P> <SECAUTH>(Authority: 20 U.S.C. 1099b)</SECAUTH> </SECTION> </SUBJGRP> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Limitation, Suspension, or Termination of Recognition Limitation, Suspension, and Termination Procedures</HD> <SECTION> <SECTNO>§ 602.40</SECTNO> <SUBJECT>How may the Secretary limit, suspend, or terminate an agency's recognition?</SUBJECT> <P>(a) If the Secretary determines, after notice and an opportunity for a hearing, that a recognized agency does not comply with the criteria for recognition in subpart B of this part or that the agency is not effective in its performance with respect to those criteria, the Secretary—</P> <P>(1) Limits, suspends, or terminates the agency's recognition; or</P> <P>(2) Requires the agency to take appropriate action to bring itself into compliance with the criteria and achieve effectiveness within a timeframe that may not exceed 12 months.</P> <P>(b) If, at the conclusion of the timeframe specified in paragraph (a)(2) of this section, the Secretary determines, after notice and an opportunity for a hearing, that the agency has failed to bring itself into compliance or has failed to achieve effectiveness, the Secretary limits, suspends, or terminates recognition, unless the Secretary extends the timeframe, on request by the agency for good cause shown.</P> <SECAUTH>(Authority: 20 U.S.C. 1099b).</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 602.41</SECTNO> <SUBJECT>What are the notice procedures?</SUBJECT> <P>(a) Department staff initiates an action to limit, suspend, or terminate an agency's recognition by notifying the agency in writing of the Secretary's intent to limit, suspend, or terminate recognition. The notice—</P> <P>(1) Describes the specific action the Secretary seeks to take against the agency and the reasons for that action, including the criteria with which the agency has failed to comply;</P> <P>(2) Specifies the effective date of the action; and</P> <P>(3) Informs the agency of its right to respond to the notice and request a hearing.</P> <P>(b) Department staff may send the notice described in paragraph (a) of this section at any time the staff concludes that the agency fails to comply with the criteria for recognition in subpart B of this part or is not effective in its performance with respect to those criteria.</P> <SECAUTH>(Authority: 20 U.S.C. 1099b)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 602.42</SECTNO> <SUBJECT>What are the response and hearing procedures?</SUBJECT> <P>(a) If the agency wishes either to respond to the notice or request a hearing, or both, it must do so in writing no later than 30 days after it receives the notice of the Secretary's intent to limit, suspend, or terminate recognition.</P> <P>(1) The agency's submission must identify the issues and facts in dispute and the agency's position on them.</P> <P>(2) If neither a response nor a request for a hearing is filed by the deadline, the notice of intent becomes a final decision by the Secretary.</P> <P>(b)(1) After receiving the agency's response and hearing request, if any, the Secretary chooses a subcommittee composed of five members of the Advisory Committee to adjudicate the matter and notifies the agency of the subcommittee's membership.</P> <P>(2) The agency may challenge membership of the subcommittee on grounds of conflict of interest on the <PRTPAGE P="209"/>part of one or more members and, if the agency's challenge is successful, the Secretary will replace the member or members challenged.</P> <P>(c) After the subcommittee has been selected, Department staff sends the members of the subcommittee copies of the notice to limit, suspend, or terminate recognition, along with the agency's response, if any.</P> <P>(d)(1) If a hearing is requested, it is held in Washington, DC, at a date and time set by Department staff.</P> <P>(2) A transcript is made of the hearing.</P> <P>(3) Except as provided in paragraph (e) of this section, the subcommittee allows Department staff, the agency, and any interested party to make an oral or written presentation, which may include the introduction of written and oral evidence.</P> <P>(e) On agreement by Department staff and the agency, the subcommittee review may be based solely on the written materials submitted.</P> <SECAUTH>(Authority: 20 U.S.C. 1099b)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 602.43</SECTNO> <SUBJECT>How is a decision on limitation, suspension, or termination of recognition reached?</SUBJECT> <P>(a) After consideration of the notice of intent to limit, suspend, or terminate recognition, the agency's response, if any, and all submissions and presentations made at the hearing, if any, the subcommittee issues a written opinion and sends it to the Secretary, with copies to the agency and the senior Department official. The opinion includes—</P> <P>(1) Findings of fact, based on consideration of all the evidence, presentations, and submissions before the subcommittee;</P> <P>(2) A recommendation as to whether a limitation, suspension, or termination of the agency's recognition is warranted; and</P> <P>(3) The reasons supporting the subcommittee's recommendation.</P> <P>(b) Unless the subcommittee's recommendation is appealed under § 602.44, the Secretary issues a final decision on whether to limit, suspend, or terminate the agency's recognition. The Secretary bases the decision on consideration of the full record before the subcommittee and the subcommittee's opinion.</P> <SECAUTH>(Authority: 20 U.S.C. 1099b)</SECAUTH> </SECTION> <SUBJGRP> <HD SOURCE="HED">Appeal Rights and Procedures</HD> <SECTION> <SECTNO>§ 602.44</SECTNO> <SUBJECT>How may an agency appeal the subcommittee's recommendation?</SUBJECT> <P>(a) Either the agency or the senior Department official may appeal the subcommittee's recommendation. If a party wishes to appeal, that party must—</P> <P>(1) Notify the Secretary and the other party in writing of its intent to appeal the recommendation no later than 10 days after receipt of the recommendation;</P> <P>(2) Submit its appeal to the Secretary in writing no later than 30 days after receipt of the recommendation; and</P> <P>(3) Provide the other party with a copy of the appeal at the same time it submits the appeal to the Secretary.</P> <P>(b) The non-appealing party may file a written response to the appeal. If that party wishes to do so, it must—</P> <P>(1) Submit its response to the Secretary no later than 30 days after receiving its copy of the appeal; and</P> <P>(2) Provide the appealing party with a copy of its response at the same time it submits its response to the Secretary.</P> <P>(c) Neither the agency nor the senior Department official may include any new evidence in its submission, i.e., evidence it did not previously submit to the subcommittee.</P> <P>(d) If the subcommittee's recommendation is appealed, the Secretary renders a final decision after taking into account that recommendation and the parties’ written submissions on appeal, as well as the entire record before the subcommittee and the subcommittee's opinion.</P> <SECAUTH>(Authority: 20 U.S.C. 1099b)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 602.45</SECTNO> <SUBJECT>May an agency appeal the Secretary's final decision to limit, suspend, or terminate its recognition?</SUBJECT> <P>An agency may appeal the Secretary's final decision limiting, suspending, or terminating its recognition <PRTPAGE P="210"/>to the Federal courts as a final decision in accordance with applicable Federal law.</P> <SECAUTH>(Authority: 20 U.S.C. 1099b)</SECAUTH> </SECTION> </SUBJGRP> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Department Responsibilities</HD> <SECTION> <SECTNO>§ 602.50</SECTNO> <SUBJECT>What information does the Department share with a recognized agency about its accredited institutions and programs?</SUBJECT> <P>(a) If the Department takes an action against an institution or program accredited by the agency, it notifies the agency no later than 10 days after taking that action.</P> <P>(b) If another Federal agency or a State agency notifies the Department that it has taken an action against an institution or program accredited by the agency, the Department notifies the agency as soon as possible but no later than 10 days after receiving the written notice from the other Government agency.</P> <SECAUTH>(Authority: 20 U.S.C. 1099b)</SECAUTH> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 603</EAR> <HD SOURCE="HED">PART 603—SECRETARY'S RECOGNITION PROCEDURES FOR STATE AGENCIES</HD> <CONTENTS> <SUBPART> <RESERVED>Subpart A [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Criteria for State Agencies</HD> <SECHD>Sec.</SECHD> <SECTNO>603.20</SECTNO> <SUBJECT>Scope.</SUBJECT> <SECTNO>603.21</SECTNO> <SUBJECT>Publication of list.</SUBJECT> <SECTNO>603.22</SECTNO> <SUBJECT>Inclusion on list.</SUBJECT> <SECTNO>603.23</SECTNO> <SUBJECT>Initial recognition, and reevaluation.</SUBJECT> <SECTNO>603.24</SECTNO> <SUBJECT>Criteria for State agencies.</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>20 U.S.C. 403(b), 1085(b), 1141(a), 1248(11); 42 U.S.C. 293a(b), 295f-3(b), 295h-4(1)(D), 298b(f); 38 U.S.C. 1775(a), unless otherwise noted.</P> </AUTH> <SUBPART> <RESERVED>Subpart A [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Criteria for State Agencies</HD> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>Sec. 438(b) of the Higher Education Act of 1965, Pub. L. 89-329 as amended by Pub. L. 92-318, 86 Stat. 235, 264 (20 U.S.C. 1087-1(b)), unless otherwise noted.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>39 FR 30042, Aug. 20, 1974, unless otherwise noted. Redesignated at 45 FR 77369, Nov. 21, 1980.</P> </SOURCE> <SECTION> <SECTNO>§ 603.20</SECTNO> <SUBJECT>Scope.</SUBJECT> <P>(a) Pursuant to section 438(b) of the Higher Education Act of 1965 as amended by Pub. L. 92-318, the Secretary is required to publish a list of State agencies which he determines to be reliable authorities as to the quality of public postsecondary vocational education in their respective States for the purpose of determining eligibility for Federal student assistance programs administered by the Department.</P> <P>(b) Approval by a State agency included on the list will provide an alternative means of satisfying statutory standards as to the quality of public postsecondary vocational education to be undertaken by students receiving assistance under such programs.</P> <SECAUTH>(Authority: 20 U.S.C. 1087-1(b))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 603.21</SECTNO> <SUBJECT>Publication of list.</SUBJECT> <P>Periodically the Secretary will publish a list in the <E T="04">Federal Register</E> of the State agencies which he determines to be reliable authorities as to the quality of public postsecondary vocational education in their respective States.</P> <SECAUTH>(Authority: 20 U.S.C. 1087-1(b))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 603.22</SECTNO> <SUBJECT>Inclusion on list.</SUBJECT> <P>Any State agency which desires to be listed by the Secretary as meeting the criteria set forth in § 603.24 should apply in writing to the Director, Division of Eligibility and Agency Evaluation, Office of Postsecondary Education, Department of Education, Washington, DC 20202.</P> <SECAUTH>(Authority: 20 U.S.C. 1087-1(b))</SECAUTH> <CITA>[45 FR 86300, Dec. 30, 1980]</CITA> </SECTION> <SECTION> <SECTNO>§ 603.23</SECTNO> <SUBJECT>Initial recognition, and reevaluation.</SUBJECT> <P>For initial recognition and for renewal of recognition, the State agency will furnish information establishing its compliance with the criteria set forth in § 603.24. This information may be supplemented by personal interviews or by review of the agency's facilities, records, personnel qualifications, and administrative management. <PRTPAGE P="211"/>Each agency listed will be reevaluated by the Secretary at his discretion, but at least once every four years. No adverse decision will become final without affording an opportunity for a hearing.</P> <SECAUTH>(Authority: 20 U.S.C. 1087-1(b))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 603.24</SECTNO> <SUBJECT>Criteria for State agencies.</SUBJECT> <P>The following are the criteria which the Secretary will utilize in designating a State agency as a reliable authority to assess the quality of public postsecondary vocational education in its respective State.</P> <P>(a) <E T="03">Functional aspects.</E> The functional aspects of the State agency must be shown by:</P> <P>(1) <E T="03">Its scope of operations.</E> The agency:</P> <P>(i) Is statewide in the scope of its operations and is legally authorized to approve public postsecondary vocational institutions or programs;</P> <P>(ii) Clearly sets forth the scope of its objectives and activities, both as to kinds and levels of public postsecondary vocational institutions or programs covered, and the kinds of operations performed;</P> <P>(iii) Delineates the process by which it differentiates among and approves programs of varying levels.</P> <P>(2) <E T="03">Its organization.</E> The State agency:</P> <P>(i) Employs qualified personnel and uses sound procedures to carry out its operations in a timely and effective manner;</P> <P>(ii) Receives adequate and timely financial support, as shown by its appropriations, to carry out its operations;</P> <P>(iii) Selects competent and knowledgeable persons, qualified by experience and training, and selects such persons in accordance with nondiscriminatory practices, (A) to participate on visiting teams, (B) to engage in consultative services for the evaluation and approval process, and (C) to serve on decision-making bodies.</P> <P>(3) <E T="03">Its procedures.</E> The State agency:</P> <P>(i) Maintains clear definitions of approval status and has developed written procedures for granting, reaffirming, revoking, denying, and reinstating approval status;</P> <P>(ii) Requires, as an integral part of the approval and reapproval process, institutional or program self-analysis and onsite reviews by visiting teams, and provides written and consultative guidance to institutions or programs and visiting teams.</P> <P>(A) Self-analysis shall be a qualitative assessment of the strengths and limitations of the instructional program, including the achievement of institutional or program objectives, and should involve a representative portion of the institution's administrative staff, teaching faculty, students, governing body, and other appropriate constituencies.</P> <P>(B) The visiting team, which includes qualified examiners other than agency staff, reviews instructional content, methods and resources, administrative management, student services, and facilities. It prepares written reports and recommendations for use by the State agency.</P> <P>(iii) Reevaluates at reasonable and regularly scheduled intervals institutions or programs which it has approved.</P> <P>(b) <E T="03">Responsibility and reliability.</E> The responsibility and reliability of the State agency will be demonstrated by:</P> <P>(1) Its responsiveness to the public interest. The State agency:</P> <P>(i) Has an advisory body which provides for representation from public employment services and employers, employees, postsecondary vocational educators, students, and the general public, including minority groups. Among its functions, this structure provides counsel to the State agency relating to the development of standards, operating procedures and policy, and interprets the educational needs and manpower projections of the State's public postsecondary vocational education system;</P> <P>(ii) Demonstrates that the advisory body makes a real and meaningful contribution to the approval process;</P> <P>(iii) Provides advance public notice of proposed or revised standards or regulations through its regular channels of communications, supplemented, if necessary, with direct communication to inform interested members of the affected community. In addition, it provides such persons the opportunity to comment on the standards or regulations prior to their adoption;<PRTPAGE P="212"/> </P> <P>(iv) Secures sufficient qualitative information regarding the applicant institution or program to enable the institution or program to demonstrate that it has an ongoing program of evaluation of outputs consistent with its educational goals;</P> <P>(v) Encourages experimental and innovative programs to the extent that these are conceived and implemented in a manner which ensures the quality and integrity of the institution or program;</P> <P>(vi) Demonstrates that it approves only those institutions or programs which meet its published standards; that its standards, policies, and procedures are fairly applied; and that its evaluations are conducted and decisions are rendered under conditions that assure an impartial and objective judgment;</P> <P>(vii) Regularly reviews its standards, policies and procedures in order that the evaluative process shall support constructive analysis, emphasize factors of critical importance, and reflect the educational and training needs of the student;</P> <P>(viii) Performs no function that would be inconsistent with the formation of an independent judgment of the quality of an educational institution or program;</P> <P>(ix) Has written procedures for the review of complaints pertaining to institutional or program quality as these relate to the agency's standards, and demonstrates that such procedures are adequate to provide timely treatment of such complaints in a manner fair and equitable to the complainant and to the institution or program;</P> <P>(x) Annually makes available to the public (A) its policies for approval, (B) reports of its operations, and (C) list of institutions or programs which it has approved;</P> <P>(xi) Requires each approved school or program to report on changes instituted to determine continued compliance with standards or regulations;</P> <P>(xii) Confers regularly with counterpart agencies that have similar responsibilities in other and neighboring States about methods and techniques that may be used to meet those responsibilities.</P> <P>(2) Its assurances that due process is accorded to institutions or programs seeking approval. The State agency:</P> <P>(i) Provides for adequate discussion during the on-site visit between the visiting team and the faculty, administrative staff, students, and other appropriate persons;</P> <P>(ii) Furnishes as a result of the evaluation visit, a written report to the institution or program commenting on areas of strength, areas needing improvement, and, when appropriate, suggesting means of improvement and including specific areas, if any, where the institution or program may not be in compliance with the agency's standards;</P> <P>(iii) Provides the chief executive officer of the institution or program with opportunity to comment upon the written report and to file supplemental materials pertinent to the facts and conclusions in the written report of the visiting team before the agency takes action on the report;</P> <P>(iv) Provides the chief executive officer of the institution with a specific statement of reasons for any adverse action, and notice of the right to appeal such action before an appeal body designated for that purpose;</P> <P>(v) Publishes rules of procedure regarding appeals;</P> <P>(vi) Continues the approval status of the institution or program pending disposition of an appeal;</P> <P>(vii) Furnishes the chief executive officer of the institution or program with a written decision of the appeal body, including a statement of its reasons therefor.</P> <P>(c) <E T="03">Capacity to foster ethical practices.</E> The State agency must demonstrate its capability and willingness to foster ethical practices by showing that it:</P> <P>(i) Promotes a well-defined set of ethical standards governing institutional or programmatic practices, including recruitment, advertising, transcripts, fair and equitable student tuition refunds, and student placement services;</P> <P>(ii) Maintains appropriate review in relation to the ethical practices of each approved institution or program.</P> <SECAUTH>(Authority: 20 U.S.C. 1087-1(b))</SECAUTH> </SECTION> </SUBPART> </PART> <PART> <PRTPAGE P="213"/> <EAR>Pt. 604</EAR> <HD SOURCE="HED">PART 604—FEDERAL-STATE RELATIONSHIP AGREEMENTS</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>604.1</SECTNO> <SUBJECT>Federal-State relationship agreements.</SUBJECT> <SECTNO>604.2</SECTNO> <SUBJECT>Regulations that apply to Federal-State relationship agreements.</SUBJECT> <SECTNO>604.3</SECTNO> <SUBJECT>Definitions that apply to Federal-State relationship agreements.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Federal-State Relationship Agreements</HD> <SECTNO>604.10</SECTNO> <SUBJECT>Administrative requirements.</SUBJECT> <SECTNO>604.11</SECTNO> <SUBJECT>Planning requirements.</SUBJECT> <SECTNO>604.12</SECTNO> <SUBJECT>Changes in the agreement.</SUBJECT> <SECTNO>604.13</SECTNO> <SUBJECT>Denial of eligibility.</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>Sec. 1203 of the Higher Education Act of 1965, as amended by Pub. L. 96-374 (20 U.S.C. 1143), unless otherwise noted.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>45 FR 83221, Dec. 18, 1980, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 604.1</SECTNO> <SUBJECT>Federal-State relationship agreements.</SUBJECT> <P>(a) A State shall enter into an agreement with the Secretary if it wishes to participate in the following programs authorized by the Higher Education Act of 1965, as amended: The Continuing Education Outreach program, title I-B, with the exception of sections 116 and 117 of the Act; the State Student Incentive Grant program, subpart 3 of title IV-A of the Act; and the Undergraduate Academic Facilities Grant program, title VII-A of the Act. The agreement must contain assurances relating to administration, financial management, treatment of applicants for subgrants and contracts, supplement, not supplant requirements, and planning. These assurances are listed in subpart B of this part. The means by which these assurances will be met must also be described.</P> <P>(b) The provisions of the agreement replace comparable provisions in annual plans previously required by each applicable program.</P> <SECAUTH>(Authority: 20 U.S.C. 1143)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 604.2</SECTNO> <SUBJECT>Regulations that apply to Federal-State relationship agreements.</SUBJECT> <P>The following regulations apply to Federal-State relationship agreements:</P> <P>(a) The Education Department General Administrative Regulations (EDGAR) in 34 CFR part 76 (State Administered Programs) and 34 CFR part 77 (Definitions).</P> <P>(b) The regulations in this part 604.</P> <SECAUTH>(Authority: 20 U.S.C. 1232(a))</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 604.3</SECTNO> <SUBJECT>Definitions that apply to Federal-State relationship agreements.</SUBJECT> <P>(a) <E T="03">Definitions in EDGAR.</E> The following terms used in this part are defined in 34 CFR part 77: </P> <EXTRACT> <SCOL2> <LI>Applicant</LI> <LI>Application</LI> <LI>Contract</LI> <LI>Private</LI> <LI>Public</LI> <LI>Secretary</LI> <LI>State</LI> <LI>Subgrant</LI> </SCOL2> </EXTRACT> <P>(b) <E T="03">Definitions that apply to this part.</E> The following definitions apply to this part:</P> <P> <E T="03">Act</E> means the Higher Education Act of 1965, as amended.</P> <P> <E T="03">Applicable programs</E> means the Continuing Education Outreach program, the State Student Incentive Grant program, and the Undergraduate Academic Facilities Grant program.</P> <SECAUTH>(Authority: 20 U.S.C. 1143)</SECAUTH> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Federal-State Relationship Agreements</HD> <SECTION> <SECTNO>§ 604.10</SECTNO> <SUBJECT>Administrative requirements.</SUBJECT> <P>The agreement shall contain the following assurances and a description of the means by which they will be met:</P> <P>(a) Management practices and procedures will assure proper and efficient administration of each applicable program. The description of these methods shall include the identification of the State entity or entities designated to administer each applicable program as well as the name of the responsible official.</P> <P>(b) Appropriate fiscal control and fund accounting procedures will be provided for Federal funds received under all titles of the Act.</P> <P>(c) Federal funds under the applicable programs will not supplant non-Federal funds.<PRTPAGE P="214"/> </P> <P>(d) Equitable and appropriate criteria will be used in evaluating applications for subgrants or proposals for contracts under each applicable program.</P> <SECAUTH>(Authority: 20 U.S.C. 1143)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 604.11</SECTNO> <SUBJECT>Planning requirements.</SUBJECT> <P>(a) The agreement shall contain an assurance by the State that it has a comprehensive planning or policy formulation process which:</P> <P>(1) Considers the relationship between State administration of each applicable program and administration of similar State programs or processes;</P> <P>(2) Encourages State policies that consider the effects of declining enrollments on all sectors of postsecondary education within the State;</P> <P>(3) Considers the postsecondary educational needs of unserved and underserved individuals within the State, including individuals beyond traditional college age;</P> <P>(4) Considers the resources of public and private institutions, organizations, and agencies within the State that are capable of providing postsecondary educational opportunities; and</P> <P>(5) Provides for direct, equitable, and active participation in the comprehensive planning or policy formulation processes by representatives of institutions of higher education—including community colleges, proprietary institutions, and independent colleges and universities—other providers of postsecondary education services, students, and the general public in the State.</P> <P>(i) Participation shall be achieved through membership on State planning commissions, State advisory councils, or other State entities established by the State to conduct federally assisted comprehensive planning or policy formulation.</P> <P>(ii) Participation shall be consistent with State law.</P> <P>(b) The agreement shall include a description of the planning or policy formulation process through which these assurances will be fulfilled.</P> <SECAUTH>(Authority: 20 U.S.C. 1143)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 604.12</SECTNO> <SUBJECT>Changes in the agreement.</SUBJECT> <P>(a) The agreement shall remain in effect until substantial changes in administrative practices or planning processes would require its modification.</P> <P>(b) Routine organizational or personnel changes are not subject to prior modification of the agreement, but information concerning these changes shall be promptly communicated to the Secretary.</P> <SECAUTH>(Authority: 20 U.S.C. 1143)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 604.13</SECTNO> <SUBJECT>Denial of eligibility.</SUBJECT> <P>(a) If the Secretary finds that there is a failure to comply substantially with the assurances of § 604.10 then the Secretary, after giving a State reasonable notice and the opportunity for a hearing, shall notify the State that it is ineligible to participate in any applicable program.</P> <P>(b) To regain eligibility, a State must satisfy the Secretary that the failure to comply has been remedied.</P> <SECAUTH>(Authority: 20 U.S.C. 1143)</SECAUTH> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 606</EAR> <HD SOURCE="HED">PART 606—DEVELOPING HISPANIC-SERVING INSTITUTIONS PROGRAM</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>606.1</SECTNO> <SUBJECT>What is the Developing Hispanic-Serving Institutions Program?</SUBJECT> <SECTNO>606.2</SECTNO> <SUBJECT>What institutions are eligible to receive a grant under the Developing Hispanic-Serving Institutions Program?</SUBJECT> <SECTNO>606.3</SECTNO> <SUBJECT>What is an enrollment of needy students?</SUBJECT> <SECTNO>606.4</SECTNO> <SUBJECT>What are low educational and general expenditures?</SUBJECT> <SECTNO>606.5</SECTNO> <SUBJECT>How does an institution apply to be designated an eligible institution?</SUBJECT> <SECTNO>606.6</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <SECTNO>606.7</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> <SECTNO>606.8</SECTNO> <SUBJECT>What is a comprehensive development plan and what must it contain?</SUBJECT> <SECTNO>606.9</SECTNO> <SUBJECT>What are the type, duration, and limitations in the awarding of grants under this part?</SUBJECT> <SECTNO>606.10</SECTNO> <SUBJECT>What activities may and may not be carried out under a grant?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—How Does an Institution Apply for a Grant?</HD> <SECTNO>606.11</SECTNO> <SUBJECT>What must be included in individual development grant applications?</SUBJECT> <SECTNO>606.12</SECTNO> <SUBJECT>What must be included in cooperative arrangement grant applications?</SUBJECT> <SECTNO>606.13</SECTNO> <SUBJECT>How many applications for a development grant may an institution submit?</SUBJECT> </SUBPART> <SUBPART> <PRTPAGE P="215"/> <HD SOURCE="HED">Subpart C—How Does the Secretary Make an Award?</HD> <SECTNO>606.20</SECTNO> <SUBJECT>How does the Secretary choose applications for funding?</SUBJECT> <SECTNO>606.21</SECTNO> <SUBJECT>What are the selection criteria for planning grants?</SUBJECT> <SECTNO>606.22</SECTNO> <SUBJECT>What are the selection criteria for development grants?</SUBJECT> <SECTNO>606.23</SECTNO> <SUBJECT>What special funding consideration does the Secretary provide?</SUBJECT> <SECTNO>606.24</SECTNO> <SUBJECT>How does the Secretary use an applicant's performance under a previous development grant when awarding a development grant?</SUBJECT> <SECTNO>606.25</SECTNO> <SUBJECT>What priority does the Secretary use in awarding cooperative arrangement grants?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—What Conditions Must a Grantee Meet?</HD> <SECTNO>606.30</SECTNO> <SUBJECT>What are allowable costs and what are the limitations on allowable costs?</SUBJECT> <SECTNO>606.31</SECTNO> <SUBJECT>How does a grantee maintain its eligibility? </SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>20 U.S.C. 1101 <E T="03">et seq.</E>, unless otherwise noted.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>64 FR 70147, Dec. 15, 1999, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 606.1</SECTNO> <SUBJECT>What is the Developing Hispanic-Serving Institutions Program?</SUBJECT> <P>The purpose of the Developing Hispanic-Serving Institutions Program is to provide grants to eligible institutions of higher education to—</P> <P>(a) Expand educational opportunities for, and improve the academic attainment of, Hispanic students; and</P> <P>(b) Expand and enhance the academic offerings, program quality, and institutional stability of colleges and universities that are educating the majority of Hispanic college students and helping large numbers of Hispanic students and other low-income individuals complete postsecondary degrees.</P> <SECAUTH>(Authority: 20 U.S.C. 1101)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 606.2</SECTNO> <SUBJECT>What institutions are eligible to receive a grant under the Developing Hispanic-Serving Institutions Program?</SUBJECT> <P>(a) An institution of higher education is eligible to receive a grant under this part if—</P> <P>(1) At the time of application, it has an enrollment of undergraduate full-time equivalent students that is at least 25 percent Hispanic students;</P> <P>(2) It provides assurances that not less than 50 percent of its Hispanic students are low-income individuals;</P> <P>(3) It has an enrollment of needy students as described in § 606.3(a), unless the Secretary waives this requirement under § 606.3(b);</P> <P>(4) It has low average educational and general expenditures per full-time equivalent undergraduate student as described in § 606.4(a), unless the Secretary waives this requirement under § 606.4(c);</P> <P>(5) It is legally authorized by the State in which it is located to be a junior college or to provide an educational program for which it awards a bachelor's degree; and</P> <P>(6) It is accredited or preaccredited by a nationally recognized accrediting agency or association that the Secretary has determined to be a reliable authority as to the quality of education or training offered.</P> <P>(b) A branch campus of a Hispanic-Serving institution is eligible to receive a grant under this part if—</P> <P>(1) The institution as a whole meets the requirements of paragraph (a) of this section; and</P> <P>(2) The branch satisfies the requirements of paragraphs (a)(1), (a)(2), (a)(3), and (a)(4) of this section.</P> <P>(c)(1) An institution that receives a grant under the Strengthening Institutions Program (34 CFR part 607) or the Strengthening Historically Black Colleges and Universities Program (34 CFR part 608) for a particular fiscal year is not eligible to receive a grant under this part for that same fiscal year, and may not relinquish its grant under those programs to secure a grant under this part.</P> <P>(2) A Hispanic-Serving institution under this part may not concurrently receive grant funds under the Strengthening Institutions Program, Strengthening Historically Black Colleges and Universities Program, or Strengthening Historically Black Graduate Institutions Program.</P> <SECAUTH>(Authority: 20 U.S.C. 1101a and 1101d)</SECAUTH> </SECTION> <SECTION> <PRTPAGE P="216"/> <SECTNO>§ 606.3</SECTNO> <SUBJECT>What is an enrollment of needy students?</SUBJECT> <P>(a) Except as provided in paragraph (b) of this section, for the purpose of § 606.2(a)(3), an applicant institution has an enrollment of needy students if in the base year—</P> <P>(1) At least 50 percent of its degree students received student financial assistance under one or more of the following programs: Federal Pell Grant, Federal Supplemental Educational Opportunity Grant, Federal Work-Study, and Federal Perkins Loan; or</P> <P>(2) The percentage of its undergraduate degree students who were enrolled on at least a half-time basis and received Federal Pell Grants exceeded the median percentage of undergraduate degree students who were enrolled on at least a half-time basis and received Federal Pell Grants at comparable institutions that offer similar instruction.</P> <P>(b) The Secretary may waive the requirement contained in paragraph (a) of this section if the institution demonstrates that—</P> <P>(1) The State provides more than 30 percent of the institution's budget and the institution charges not more than $99.00 for tuition and fees for an academic year;</P> <P>(2) At least 30 percent of the students served by the institution in the base year were students from low-income families;</P> <P>(3) The institution substantially increases the higher education opportunities for low-income students who are also educationally disadvantaged, underrepresented in postsecondary education, or minority students;</P> <P>(4) The institution substantially increases the higher education opportunities for individuals who reside in an area that is not included in a “metropolitan statistical area” as defined by the Office of Management and Budget and who are unserved by other postsecondary institutions; or</P> <P>(5) The institution will, if granted the waiver, substantially increase the higher education opportunities for Hispanic Americans.</P> <P>(c) For the purpose of paragraph (b) of this section, the Secretary considers “low-income” to be an amount which does not exceed 150 percent of the amount equal to the poverty level as established by the United States Bureau of the Census.</P> <P>(d) Each year, the Secretary notifies prospective applicants of the low-income figures through a notice published in the <E T="04">Federal Register</E>.</P> <SECAUTH>(Authority: 20 U.S.C. 1101a and 1103a)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 606.4</SECTNO> <SUBJECT>What are low educational and general expenditures?</SUBJECT> <P>(a)(1) Except as provided in paragraph (b) of this section, for the purpose of § 606.2(a)(2), an applicant institution's average educational and general expenditures per full-time equivalent undergraduate student in the base year must be less than the average educational and general expenditures per full-time equivalent undergraduate student in that year of comparable institutions that offer similar instruction.</P> <P>(2) For the purpose of paragraph (a)(1) of this section, the Secretary determines the average educational and general expenditure per full-time equivalent undergraduate student for institutions with graduate students that do not differentiate between graduate and undergraduate educational and general expenditures by discounting the graduate enrollment using a factor of 2.5 times the number of graduate students.</P> <P>(b) Each year, the Secretary notifies prospective applicants through a notice in the <E T="04">Federal Register</E> of the average educational and general expenditures per full-time equivalent undergraduate student at comparable institutions that offer similar instruction.</P> <P>(c) The Secretary may waive the requirement contained in paragraph (a) of this section, if the Secretary determines, based upon persuasive evidence provided by the institution, that—</P> <P>(1) The institution's failure to satisfy the criteria in paragraph (a) of this section was due to factors which, if used in determining compliance with those criteria, distorted that determination; and</P> <P>(2) The institution's designation as an eligible institution under this part is otherwise consistent with the purposes of this part.</P> <P>(d) For the purpose of paragraph (c)(1) of this section, the Secretary <PRTPAGE P="217"/>considers that the following factors may distort an institution's educational and general expenditures per full-time equivalent undergraduate student—</P> <P>(1) Low student enrollment;</P> <P>(2) Location of the institution in an unusually high cost-of-living area;</P> <P>(3) High energy costs;</P> <P>(4) An increase in State funding that was part of a desegregation plan for higher education; or</P> <P>(5) Operation of high cost professional schools such as medical or dental schools.</P> <SECAUTH>(Authority: 20 U.S.C. 1101a and 1103a)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 606.5</SECTNO> <SUBJECT>How does an institution apply to be designated an eligible institution?</SUBJECT> <P>(a) An institution applies to the Secretary to be designated an eligible institution under this part by first submitting an application to the Secretary in the form, manner, and time established by the Secretary. The application must contain—</P> <P>(1) The information necessary for the Secretary to determine whether the institution satisfies the requirements of §§ 606.2, 606.3(a), and 606.4(a);</P> <P>(2) Any waiver request under §§ 606.3(b) and 606.4(c); and</P> <P>(3) Information or explanations justifying any requested waiver.</P> <P>(b) An institution that wishes to receive a grant under this part must submit, as part of its application for that grant, an assurance that when it submits its application—</P> <P>(1) Its enrollment of undergraduate full-time equivalent students is at least 25 percent Hispanic students; and</P> <P>(2) Not less than 50 percent of its Hispanic students are low-income individuals.</P> <SECAUTH>(Authority: 20 U.S.C. 1101a and 1103)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 606.6</SECTNO> <SUBJECT>What regulations apply?</SUBJECT> <P>The following regulations apply to the Developing Hispanic-Serving Institutions Program:</P> <P>(a) The Education Department General Administrative Regulations (EDGAR) as follows:</P> <P>(1) 34 CFR part 74 (Administration of Grants to Institutions of Higher Education, Hospitals, and Nonprofit Organizations).</P> <P>(2) 34 CFR part 75 (Direct Grant Programs), except 34 CFR 75.128(a)(2) and 75.129(a) in the case of applications for cooperative arrangements.</P> <P>(3) 34 CFR part 77 (Definitions that Apply to Department Regulations).</P> <P>(4) 34 CFR part 79 (Intergovernmental Review of Department of Education Programs and Activities).</P> <P>(5) 34 CFR part 82 (New Restrictions on Lobbying).</P> <P>(6) 34 CFR part 85 (Governmentwide Debarment and Suspension (Nonprocurement) and Governmentwide Requirements for Drug-Free Workplace (Grants)).</P> <P>(7) 34 CFR part 86 (Drug-Free Schools and Campuses).</P> <P>(b) The regulations in this part 606.</P> <SECAUTH>(Authority: 20 U.S.C. 1101 <E T="03">et seq.</E>)</SECAUTH> </SECTION> <SECTION> <SECTNO>§ 606.7</SECTNO> <SUBJECT>What definitions apply?</SUBJECT> <P>(a) <E T="03">Definitions in EDGAR.</E> The terms used in this part are defined in 34 CFR 77.1: </P> <EXTRACT> <FP SOURCE="FP-1">EDGAR</FP> <FP SOURCE="FP-1">Fiscal year</FP> <FP SOURCE="FP-1">Grant</FP> <FP SOURCE="FP-1">Grantee</FP> <FP SOURCE="FP-1">Grant period</FP> <FP SOURCE="FP-1">Nonprofit</FP> <FP SOURCE="FP-1">Private</FP> <FP SOURCE="FP-1">Project period</FP> <FP SOURCE="FP-1">Public</FP> <FP SOURCE="FP-1">Secretary</FP> <FP SOURCE="FP-1">State</FP> </EXTRACT> <P>(b) The following definitions also apply to this part:</P> <P> <E T="03">Accredited</E> means the status of public recognition which a nationally recognized accrediting agency or association grants to an institution which meets certain established qualifications and educational standards.</P> <P> <E T="03">Activity</E> means an action that is incorporated into an implementation plan designed to meet one or more objectives. An activity is a part of a project and has its own budget that is approved to carry out the objectives of that subpart.</P> <P> <E T="03">Base year</E> means the second fiscal year preceding the fiscal year for which an institution seeks a grant under this part.<PRTPAGE P="218"/> </P> <P> <E T="03">Branch campus</E> means a unit of a college or university that is geographically apart from the main campus of the college or university and independent of that main campus. The Secretary considers a unit of a college or university to be independent of the main campus if the unit—</P> <P>(1) Is permanent in nature;</P> <P>(2) Offers courses for credit and programs leading to an associate or bachelor's degree; and</P> <P>(3) Is autonomous to the extent that it has—</P> <P>(i) Its own faculty and administrative or supervisory organization; and</P> <P>(ii) Its own budgetary and hiring authority.</P> <P> <E T="03">Comparable institutions that offer similar instruction</E> means institutions that are being compared with an applicant institution and that fall within one of the following four categories—</P> <P>(1) Public junior or community colleges;</P> <P>(2) Private nonprofit junior or community colleges;</P> <P>(3) Public institutions that offer an educational program for which they offer a bachelor's degree; or</P> <P>(4) Private nonprofit institutions that offer an educational program for which they offer a bachelor's degree.</P> <P> <E T="03">Cooperative arrangement</E> means an arrangement to carry out allowable grant activities between an institution eligible to receive a grant under this part and another eligible or ineligible institution of higher education, under which the resources of the cooperating institutions are combined and shared to better achieve the purposes of this part and avoid costly duplication of effort.</P> <P> <E T="03">Degree student</E> means a student who enrolls at an institution for the purpose of obtaining the degree, certificate, or other recognized educational credential offered by that institution.</P> <P> <E T="03">Developmental program and services</E> means new or improved programs and services, beyond those regularly budgeted, specifically designed to improve the self sufficiency of the school.</P> <P> <E T="03">Educational and general expenditures</E> means the total amount expended by an institution of higher education for instruction, research, public service, academic support (including library expenditures), student services, institutional support, scholarships and fellowships, operation and maintenance expenditures for the physical plant, and any mandatory transfers which the institution is required to pay by law.</P> <P> <E T="03">Educationally disadvantaged</E> means a college student who requires special services and assistance to enable them to succeed in higher education. The phrase includes, but is not limited to, students who come from—</P> <P>(1) Economically disadvantaged families;</P> <P>(2) Limited English proficiency families;</P> <P>(3) Migrant worker families; or</P> <P>(4) Families in which one or both of their parents have dropped out of secondary school.</P> <P> <E T="03">Federal Pell Grant Program</E> means the grant program authorized by title IV-A-1 of the HEA.</P> <P> <E T="03">Federal Perkins Loan Program,</E> formerly called the National Direct Student Loan Program, means the loan program authorized by title IV-E of the HEA.</P> <P> <E T="03">Federal Supplemental Education Opportunity Grant Program</E> means the grant program authorized by title IV-A-3 of the HEA.</P> <P> <E T="03">Federal Work-Study Program</E> means the part-time employment program authorized under title IV-C of the HEA.</P> <P> <E T="03">Full-time equivalent students</E> means the sum of the number of students enrolled full-time at an institution, plus the full-time equivalent of the number of students enrolled part time (determined on the basis of the quotient of the sum of the credit hours of all part-time students divided by 12) at such institution.</P> <P> <E T="03">HEA</E> means the Higher Education Act of 1965, as amended.</P> <P> <E T="03">Hispanic student</E> means a person of Mexican, Puerto Rican, Cuban, Central or South American, or other Spanish culture or origin, regardless of race.</P> <P> <E T="03">Institution of higher education</E> means an educational institution defined in section 101 of the HEA.</P> <P> <E T="03">Junior or community college</E> means an institution of higher education—</P> <P>(1) That admits as regular students persons who are beyond the age of compulsory school attendance in the State in which the institution is located and <PRTPAGE P="219"/>who have the ability to benefit from the training offered by the institution;</P> <P>(2) That does not provide an educational program for which it awards a bachelor's degree (or an equivalent degree); and</P> <P>(3) That—</P> <P>(i) Provides an educational program of not less than 2 years that is acceptable for full credit toward such a degree; or</P> <P>(ii) Offers a 2-year program in engineering, mathematics, or the physical or biological sciences, designed to prepare a student to work as a technician or at the semiprofessional level in engineering, scientific, or other technological fields requiring the understanding and application of basic engineering, scientific, or mathematical principles of knowledge.</P> <P> <E T="03">Low-income individual</E> 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.</P> <P> <E T="03">Minority student</E> means a student who is an Alaska Native, American Indian, Asian-American, Black (African-American), Hispanic American, Native Hawaiian, or Pacific Islander.</P> <P> <E T="03">Nationally recognized accrediting agency or association</E> means an accrediting agency or association that the Secretary has recognized to accredit or preaccredit a particular category of institution in accordance with the provisions contained in 34 CFR part 603. The Secretary periodically publishes a list of those nationally recognized accrediting agencies and associations in the <E T="04">Federal Register</E>.</P> <P> <E T="03">Operational programs and services</E> means the regular, ongoing budgeted programs and services at an institution.</P> <P> <E T="03">Preaccredited</E> means a status that a nationally recognized accrediting agency or association, recognized by the Secretary to grant that status, has accorded an unaccredited institution that is progressing toward accreditation within a reasonable period of time.</P> <P> <E T="03">Project</E> means all the funded activities under a grant.</P> <P> <E T=