EDGAR Part 75 Subpart D (How Grants Are Made)
Subpart D_How Grants Are Made
Selection of New Projects
Sec. 75.200 How applications for new grants and cooperative agreements
are selected for funding; standards for use of cooperative
agreements.
(a) Direct grant programs. The Department administers two kinds of
direct grant programs. A direct grant program is either a discretionary
grant or a formula grant program.
(b) Discretionary grant programs. (1) A discretionary grant program
is one that permits the Secretary to use discretionary judgment in
selecting applications for funding.
Cross reference: See Sec. 75.219 Exceptions to the procedures under
Sec. 75.217.
(2) The Secretary uses selection criteria to evaluate the
applications submitted for new grants under a discretionary grant
program.
(3) To evaluate the applications for new grants under the program
the Secretary may use:
(i) Selection criteria established under Sec. 75.209.
(ii) Selection criteria in program-specific regulations.
(iii) Selection criteria established under Sec. 75.210.
(iv) Any combination of criteria from paragraphs (b)(3)(i),
(b)(3)(ii), and (b)(3)(iii) of this section.
(4) The Secretary may award a cooperative agreement instead of a
grant if the Secretary determines that substantial involvement between
the Department and the recipient is necessary to carry out a
collaborative project.
(5) The Secretary uses the selection procedures in this subpart to
select recipients of cooperative agreements.
(c) Formula grant programs. (1) A formula grant program is one that
entitles certain applicants to receive grants if they meet the
requirements of the program. Applicants do not compete with each other
for the funds, and each grant is either for a set amount or for an
amount determined under a formula.
(2) The Secretary applies the program statute and regulations to
fund projects under a formula grant program.
(Authority: 20 U.S.C. 1221e-3 and 3474)
[45 FR 22497, Apr. 3, 1980. Redesignated at 45 FR 77368, Nov. 21, 1980,
as amended at 52 FR 27803, July 24, 1987; 57 FR 30338, July 8, 1992; 60
FR 63873, Dec. 12, 1995; 62 FR 10401, Mar. 6, 1997]
Sec. 75.201 How the selection criteria will be used.
(a) In the application package or a notice published in the Federal
Register, the Secretary informs applicants of--
(1) The selection criteria chosen; and
(2) The factors selected for considering the selection criteria, if
any.
(b) If points or weights are assigned to the selection criteria, the
Secretary informs applicants in the application package or a notice
published in the Federal Register of--
(1) The total possible score for all of the criteria for a program;
and
(2) The assigned weight or the maximum possible score for each
criterion or factor under that criterion.
(c) If no points or weights are assigned to the selection criteria
and selected factors, the Secretary evaluates each criterion equally
and, within each criterion, each factor equally.
(Authority: 20 U.S.C. 1221e-3 and 3474)
[62 FR 10401, Mar. 6, 1997]
Sections 75.202-75.206 [Reserved]
Sec. 75.209 Selection criteria based on statutory provisions.
(a) The Secretary may evaluate applications by--
(1) Establishing selection criteria based on statutory provisions
that apply to the authorized program, which may include, but are not
limited to--
(i) Specific statutory selection criteria;
(ii) Allowable activities;
(iii) Application content requirements; or
(iv) Other pre-award and post-award conditions; and
(2) Assigning the maximum possible score for each of the criteria
established under paragraph (a)(1) of this section.
(b) The Secretary evaluates an application by determining how well
the project proposed by the applicant meets each statutory provision
selected under paragraph (a)(1) of this section.
Example: If a program statute requires that each application address
how the applicant will serve the needs of limited English proficient
children, under Sec. 75.209 the Secretary could establish a criterion
and evaluate applications based on how well the applicant's proposed
project meets that statutory provision. The Secretary might decide to
award up to 10 points for this criterion. Applicants who have the best
proposals to serve the needs of limited English proficient children
would score highest under the criterion in this example.
(Authority: 20 U.S.C. 1221e-3 and 3474)
[60 FR 63873, Dec. 12, 1995, as amended at 62 FR 10401, Mar. 6, 1997]
Sec. 75.210 General selection criteria.
In determining the selection criteria to be used in each grant
competition, the Secretary may select one or more of the following
criteria and may select from among the list of optional factors under
each criterion. However, paragraphs (d)(2) and (e)(2) of this section
are mandatory factors under their respective criteria:
(a) Need for project. (1) The Secretary considers the need for the
proposed project.
(2) In determining the need for the proposed project, the Secretary
considers one or more of the following factors:
(i) The magnitude or severity of the problem to be addressed by the
proposed project.
(ii) The magnitude of the need for the services to be provided or
the activities to be carried out by the proposed project.
(iii) The extent to which the proposed project will provide services
or otherwise address the needs of students at risk of educational
failure.
(iv) The extent to which the proposed project will focus on serving
or otherwise addressing the needs of disadvantaged individuals.
(v) The extent to which specific gaps or weaknesses in services,
infrastructure, or opportunities have been identified and will be
addressed by the proposed project, including the nature and magnitude of
those gaps or weaknesses.
(vi) The extent to which the proposed project will prepare personnel
for fields in which shortages have been demonstrated.
(b) Significance. (1) The Secretary considers the significance of
the proposed project.
(2) In determining the significance of the proposed project, the
Secretary considers one or more of the following factors:
(i) The national significance of the proposed project.
(ii) The significance of the problem or issue to be addressed by the
proposed project.
(iii) The potential contribution of the proposed project to
increased knowledge or understanding of educational problems, issues, or
effective strategies.
(iv) The potential contribution of the proposed project to increased
knowledge or understanding of rehabilitation problems, issues, or
effective strategies.
(v) The likelihood that the proposed project will result in system
change or improvement.
(vi) The potential contribution of the proposed project to the
development and advancement of theory, knowledge, and practices in the
field of study.
(vii) The potential for generalizing from the findings or results of
the proposed project.
(viii) The extent to which the proposed project is likely to yield
findings that may be utilized by other appropriate agencies and
organizations.
(ix) The extent to which the proposed project is likely to build
local capacity to provide, improve, or expand services that address the
needs of the target population.
(x) The extent to which the proposed project involves the
development or demonstration of promising new strategies that build on,
or are alternatives to, existing strategies.
(xi) The likely utility of the products (such as information,
materials, processes, or techniques) that will result from the proposed
project, including the potential for their being used effectively in a
variety of other settings.
(xii) The extent to which the results of the proposed project are to
be disseminated in ways that will enable others to use the information
or strategies.
(xiii) The potential replicability of the proposed project or
strategies, including, as appropriate, the potential for implementation
in a variety of settings.
(xiv) The importance or magnitude of the results or outcomes likely
to be attained by the proposed project, especially improvements in
teaching and student achievement.
(xv) The importance or magnitude of the results or outcomes likely
to be attained by the proposed project, especially improvements in
employment, independent living services, or both, as appropriate.
(xvi) The importance or magnitude of the results or outcomes likely
to be attained by the proposed project.
(c) Quality of the project design. (1) The Secretary considers the
quality of the design of the proposed project.
(2) In determining the quality of the design of the proposed
project, the Secretary considers one or more of the following factors:
(i) The extent to which the goals, objectives, and outcomes to be
achieved by the proposed project are clearly specified and measurable.
(ii) The extent to which the design of the proposed project is
appropriate to, and will successfully address, the needs of the target
population or other identified needs.
(iii) The extent to which there is a conceptual framework underlying
the proposed research or demonstration activities and the quality of
that framework.
(iv) The extent to which the proposed activities constitute a
coherent, sustained program of research and development in the field,
including, as appropriate, a substantial addition to an ongoing line of
inquiry.
(v) The extent to which the proposed activities constitute a
coherent, sustained program of training in the field.
(vi) The extent to which the proposed project is based upon a
specific research design, and the quality and appropriateness of that
design, including the scientific rigor of the studies involved.
(vii) The extent to which the proposed research design includes a
thorough, high-quality review of the relevant literature, a high-quality
plan for research activities, and the use of appropriate theoretical and
methodological tools, including those of a variety of disciplines, if
appropriate.
(viii) The extent to which the design of the proposed project
includes a thorough, high-quality review of the relevant literature, a
high-quality plan for project implementation, and the use of appropriate
methodological tools to ensure successful achievement of project
objectives.
(ix) The quality of the proposed demonstration design and procedures
for documenting project activities and results.
(x) The extent to which the design for implementing and evaluating
the proposed project will result in information to guide possible
replication of project activities or strategies, including information
about the effectiveness of the approach or strategies employed by the
project.
(xi) The extent to which the proposed development efforts include
adequate quality controls and, as appropriate, repeated testing of
products.
(xii) The extent to which the proposed project is designed to build
capacity and yield results that will extend beyond the period of Federal
financial assistance.
(xiii) The extent to which the design of the proposed project
reflects up-to-date knowledge from research and effective practice.
(xiv) The extent to which the proposed project represents an
exceptional approach for meeting statutory purposes and requirements.
(xv) The extent to which the proposed project represents an
exceptional approach to the priority or priorities established for the
competition.
(xvi) The extent to which the proposed project will be coordinated
with similar or related efforts, and with other appropriate community,
State, and Federal resources.
(xvii) The extent to which the proposed project will establish
linkages with other appropriate agencies and organizations providing
services to the target population.
(xviii) The extent to which the proposed project is part of a
comprehensive effort to improve teaching and learning and support
rigorous academic standards for students.
(xix) The extent to which the proposed project encourages parental
involvement.
(xx) The extent to which the proposed project encourages consumer
involvement.
(xxi) The extent to which performance feedback and continuous
improvement are integral to the design of the proposed project.
(xxii) The quality of the methodology to be employed in the proposed
project.
(xxiii) The extent to which fellowship recipients or other project
participants are to be selected on the basis of academic excellence.
(d) Quality of project services. (1) The Secretary considers the
quality of the services to be provided by the proposed project.
(2) In determining the quality of the services to be provided by the
proposed project, the Secretary considers the quality and sufficiency of
strategies for ensuring equal access and treatment for eligible project
participants who are members of groups that have traditionally been
underrepresented based on race, color, national origin, gender, age, or
disability.
(3) In addition, the Secretary considers one or more of the
following factors:
(i) The extent to which the services to be provided by the proposed
project are appropriate to the needs of the intended recipients or
beneficiaries of those services.
(ii) The extent to which entities that are to be served by the
proposed technical assistance project demonstrate support for the
project.
(iii) The extent to which the services to be provided by the
proposed project reflect up-to-date knowledge from research and
effective practice.
(iv) The likely impact of the services to be provided by the
proposed project on the intended recipients of those services.
(v) The extent to which the training or professional development
services to be provided by the proposed project are of sufficient
quality, intensity, and duration to lead to improvements in practice
among the recipients of those services.
(vi) The extent to which the training or professional development
services to be provided by the proposed project are likely to alleviate
the personnel shortages that have been identified or are the focus of
the proposed project.
(vii) The likelihood that the services to be provided by the
proposed project will lead to improvements in the achievement of
students as measured against rigorous academic standards.
(viii) The likelihood that the services to be provided by the
proposed project will lead to improvements in the skills necessary to
gain employment or build capacity for independent living.
(ix) The extent to which the services to be provided by the proposed
project involve the collaboration of appropriate partners for maximizing
the effectiveness of project services.
(x) The extent to which the technical assistance services to be
provided by the proposed project involve the use of efficient
strategies, including the use of technology, as appropriate, and the
leveraging of non-project resources.
(xi) The extent to which the services to be provided by the proposed
project are focused on those with greatest needs.
(xii) The quality of plans for providing an opportunity for
participation in the proposed project of students enrolled in private
schools.
(e) Quality of project personnel. (1) The Secretary considers the
quality of the personnel who will carry out the proposed project.
(2) In determining the quality of project personnel, the Secretary
considers the extent to which the applicant encourages applications for
employment from persons who are members of groups that have
traditionally been underrepresented based on race, color, national
origin, gender, age, or disability.
(3) In addition, the Secretary considers one or more of the
following factors:
(i) The qualifications, including relevant training and experience,
of the project director or principal investigator.
(ii) The qualifications, including relevant training and experience,
of key project personnel.
(iii) The qualifications, including relevant training and
experience, of project consultants or subcontractors.
(f) Adequacy of resources. (1) The Secretary considers the adequacy
of resources for the proposed project.
(2) In determining the adequacy of resources for the proposed
project, the Secretary considers one or more of the following factors:
(i) The adequacy of support, including facilities, equipment,
supplies, and other resources, from the applicant organization or the
lead applicant organization.
(ii) The relevance and demonstrated commitment of each partner in
the proposed project to the implementation and success of the project.
(iii) The extent to which the budget is adequate to support the
proposed project.
(iv) The extent to which the costs are reasonable in relation to the
objectives, design, and potential significance of the proposed project.
(v) The extent to which the costs are reasonable in relation to the
number of persons to be served and to the anticipated results and
benefits.
(vi) The potential for continued support of the project after
Federal funding ends, including, as appropriate, the demonstrated
commitment of appropriate entities to such support.
(vii) The potential for the incorporation of project purposes,
activities, or benefits into the ongoing program of the agency or
organization at the end of Federal funding.
(g) Quality of the management plan. (1) The Secretary considers the
quality of the management plan for the proposed project.
(2) In determining the quality of the management plan for the
proposed project, the Secretary considers one or more of the following
factors:
(i) The adequacy of the management plan to achieve the objectives of
the proposed project on time and within budget, including clearly
defined responsibilities, timelines, and milestones for accomplishing
project tasks.
(ii) The adequacy of procedures for ensuring feedback and continuous
improvement in the operation of the proposed project.
(iii) The adequacy of mechanisms for ensuring high-quality products
and services from the proposed project.
(iv) The extent to which the time commitments of the project
director and principal investigator and other key project personnel are
appropriate and adequate to meet the objectives of the proposed project.
(v) How the applicant will ensure that a diversity of perspectives
are brought to bear in the operation of the proposed project, including
those of parents, teachers, the business community, a variety of
disciplinary and professional fields, recipients or beneficiaries of
services, or others, as appropriate.
(h) Quality of the project evaluation. (1) The Secretary considers
the quality of the evaluation to be conducted of the proposed project.
(2) In determining the quality of the evaluation, the Secretary
considers one or more of the following factors:
(i) The extent to which the methods of evaluation are thorough,
feasible, and appropriate to the goals, objectives, and outcomes of the
proposed project.
(ii) The extent to which the methods of evaluation are appropriate
to the context within which the project operates.
(iii) The extent to which the methods of evaluation provide for
examining the effectiveness of project implementation strategies.
(iv) The extent to which the methods of evaluation include the use
of objective performance measures that are clearly related to the
intended outcomes of the project and will produce quantitative and
qualitative data to the extent possible.
(v) The extent to which the methods of evaluation will provide
timely guidance for quality assurance.
(vi) The extent to which the methods of evaluation will provide
performance feedback and permit periodic assessment of progress toward
achieving intended outcomes.
(vii) The extent to which the evaluation will provide guidance about
effective strategies suitable for replication or testing in other
settings.
(Approved by the Office of Management and Budget under control number
1875-0102)
(Authority: 20 U.S.C. 1221e-3 and 3474)
[62 FR 10401, Mar. 6, 1997]
Sec. 75.211 Selection criteria for unsolicited applications.
(a) If the Secretary considers an unsolicited application under 34
CFR 75.222(a)(2)(ii), the Secretary uses the selection criteria and
factors, if any, used for the competition under which the application
could have been funded.
(b) If the Secretary considers an unsolicited application under 34
CFR 75.222(a)(2)(iii), the Secretary selects from among the criteria in
Sec. 75.210(b), and may select from among the specific factors listed
under each criterion, the criteria that are most appropriate to evaluate
the activities proposed in the application.
(Authority: 20 U.S.C. 1221e-3 and 3474)
[62 FR 10403, Mar. 6, 1997]
Selection Procedures
Sec. 75.215 How the Department selects a new project: purpose of
Sec. Sec. 75.216-75.222.
Sections 75.216-75.222 describe the process the Secretary uses to
select applications for new grants. All of these sections apply to a
discretionary grant program. However, only Sec. 75.216 applies also to
a formula grant program.
Cross reference: See Sec. 75.200(b) Discretionary grant program,
and (c) Formula grant program.
(Authority: 20 U.S.C. 1221e-3 and 3474)
Sec. 75.216 Applications not evaluated for funding.
The Secretary does not evaluate an application if--
(a) The applicant is not eligible;
(b) The applicant does not comply with all of the procedural rules
that govern the submission of the application;
(c) The application does not contain the information required under
the program; or
(d) The proposed project cannot be funded under the authorizing
statute or implementing regulations for the program.
(Authority: 20 U.S.C. 1221e-3 and 3474)
[57 FR 30338, July 8, 1992]
Sec. 75.217 How the Secretary selects applications for new grants.
(a) The Secretary selects applications for new grants on the basis
of the authorizing statute, the selection criteria, and any priorities
or other requirements that have been published in the Federal Register
and apply to the selection of those applications.
(b)(1) The Secretary may use experts to evaluate the applications
submitted under a program.
(2) These experts may include persons who are not employees of the
Federal Government.
(c) The Secretary prepares a rank order of the applications based
solely on the evaluation of their quality according to the selection
criteria.
(d) The Secretary then determines the order in which applications
will be selected for grants. The Secretary considers the following in
making these determinations:
(1) The information in each application.
(2) The rank ordering of the applications.
(3) Any other information--
(i) Relevant to a criterion, priority, or other requirement that
applies to the selection of applications for new grants;
(ii) Concerning the applicant's performance and use of funds under a
previous award under any Department program; and
(iii) Concerning the applicant's failure under any Department
program to submit a performance report or its submission of a
performance report of unacceptable quality.
(Authority: 20 U.S.C. 1221e-3 and 3474)
[52 FR 27804, July 24, 1987, as amended at 62 FR 4167, Jan. 29, 1997]
Sec. 75.218 Applications not evaluated or selected for funding.
(a) The Secretary informs an applicant if its application--
(1) Is not evaluated; or
(2) Is not selected for funding.
(b) If an applicant requests an explanation of the reason its
application was not evaluated or selected, the Secretary provides that
explanation.
(Authority: 20 U.S.C. 1221e-3 and 3474)
[57 FR 30338, July 8, 1992]
Sec. 75.219 Exceptions to the procedures under Sec. 75.217.
The Secretary may select an application for funding without
following the procedures in Sec. 75.217 if:
(a) The objectives of the project cannot be achieved unless the
Secretary makes the grant before the date grants can be made under the
procedures in Sec. 75.217;
(b)(1) The application was evaluated under the preceding competition
of the program;
(2) The application rated high enough to deserve selection under
Sec. 75.217; and
(3) The application was not selected for funding because the
application was mishandled by the Department; or
(c) The Secretary receives an unsolicited application that meets the
requirements of Sec. 75.222.
(Authority: 20 U.S.C. 1221e-3 and 3474)
[45 FR 22497, Apr. 3, 1980. Redesignated at 45 FR 77368, Nov. 21, 1980,
as amended at 52 FR 27804, July 24, 1987; 60 FR 12096, Mar. 3, 1995]
Sec. 75.220 Procedures the Department uses under Sec. 75.219(a).
If the special circumstances of Sec. 75.219(a) appear to exist for
an application, the Secretary uses the following procedures:
(a) The Secretary assembles a board to review the application.
(b) The board consists of:
(1) A program officer of the program under which the applicant wants
a grant;
(2) An employee from the Office of the Chief Financial Officer
(OCFO) with responsibility for grant policy; and
(3) A Department employee who is not a program officer of the
program but who is qualified to evaluate the application.
(c) The board reviews the application to decide if:
(1) The special circumstances under Sec. 75.219(a) are satisfied;
(2) The application rates high enough, based on the selection
criteria, priorities, and other requirements that apply to the program,
to deserve selection; and
(3) Selection of the application will not have an adverse impact on
the budget of the program.
(d) The board forwards the results of its review to the Secretary.
(e) If each of the conditions in paragraph (c) of this section is
satisfied, the Secretary may select the application for funding.
(f) Even if the Secretary does not select the application for
funding, the applicant may submit its application under the procedures
in Subpart C of this part.
(Authority: 20 U.S.C. 1221e-3 and 3474)
[45 FR 22497, Apr. 3, 1980. Redesignated at 45 FR 77368, Nov. 21, 1980,
as amended at 45 FR 86297, Dec. 30, 1980; 64 FR 50391, Sept. 16, 1999]
Sec. 75.221 Procedures the Department uses under Sec. 75.219(b).
If the special circumstances of Sec. 75.219(b) appear to exist for
an application, the Secretary may select the application for funding if:
(a) The Secretary has documentary evidence that the special
circumstances of Sec. 75.219(b) exist; and
(b) The Secretary has a statement that explains the circumstances of
the mishandling.
(Authority: 20 U.S.C. 1221e-3(a)(1) and 3474)
[45 FR 22497, Apr. 3, 1980. Redesignated at 45 FR 77368, Nov. 21, 1980,
as amended at 52 FR 27804, July 24, 1987. Redesignated at 60 FR 12096,
Mar. 3, 1995]
Sec. 75.222 Procedures the Department uses under Sec. 75.219(c).
If the Secretary receives an unsolicited application, the Secretary
may consider the application under the following procedures unless the
Secretary has published a notice in the Federal Register stating that
the program that would fund the application would not consider
unsolicited applications:
(a)(1) The Secretary determines whether the application could be
funded under a competition planned or conducted for the fiscal year
under which funds would be used to fund the application.
(2)(i) If the application could be funded under a competition
described in paragraph (a)(1) of this section and the deadline for
submission of applications has not passed, the Secretary refers the
application to the appropriate competition for consideration under the
procedures in Sec. 75.217.
(ii)(A) If the application could have been funded under a
competition described in paragraph (a)(1) of this section and the
deadline for submission of applications has passed, the Secretary may
consider the application only in exceptional circumstances, as
determined by the Secretary.
(B) If the Secretary considers an application under paragraph
(a)(2)(ii) of this section, the Secretary considers the application
under paragraphs (b) through (e) of this section.
(iii) If the application could not be funded under a competition
described in paragraph (a)(1) of this section, the Secretary considers
the application under paragraphs (b) through (e) of this section.
(b) If an application may be considered under paragraphs (a)(2)(ii)
or (iii) of this section, the Secretary determines if--
(1) There is a substantial likelihood that the application is of
exceptional quality and national significance for a program administered
by ED;
(2) The application meets the requirements of all applicable
statutes and codified regulations that apply to the program; and
(3) Selection of the project will not have an adverse impact on the
funds available for other awards planned for the program.
(c) If the Secretary determines that the criteria in paragraph (b)
of this section have been met, the Secretary assembles a panel of
experts that does not include any employees of the Department to review
the application.
(d) The experts--
(1) Evaluate the application based on the selection criteria; and
(2) Determine whether the application is of such exceptional quality
and national significance that it should be funded as an unsolicited
application.
(e) If the experts highly rate the application and determine that
the application is of such exceptional quality and national significance
that it should be funded as an unsolicited application, the Secretary
may fund the application.
Note to Sec. 75.222: To assure prompt consideration, applicants
submitting unsolicited applications should send the application, marked
``Unsolicited Application'' on the outside, to the Chief, Application
Control Center, U.S. Department of Education, Washington, DC 20202-4725.
(Authority: 20 U.S.C. 1221e-3 and 3474)
[60 FR 12096, Mar. 3, 1995]
Sec. 75.223 [Reserved]
Sec. 75.224 What are the procedures for using a multiple tier review
process to evaluate applications?
(a) The Secretary may use a multiple tier review process to evaluate
applications.
(b) The Secretary may refuse to review applications in any tier that
do not meet a minimum cut-off score established for the prior tier.
(c) The Secretary may establish the minimum cut-off score--
(1) In the application notice published in the Federal Register; or
(2) After reviewing the applications to determine the overall range
in the quality of applications received.
(d) The Secretary may, in any tier--
(1) Use more than one group of experts to gain different
perspectives on an application; and
(2) Refuse to consider an application if the application is rejected
under paragraph (b) of this section by any one of the groups used in the
prior tier.
(Authority: 20 U.S.C. 1221e-3 and 3474)
[66 FR 60138, Nov. 30, 2001]
Sec. 75.225 What procedures does the Secretary use if the Secretary
decides to give special consideration to novice applications?
(a) As used in this section, ``novice applicant'' means--
(1) Any applicant for a grant from ED that--
(i) Has never received a grant or subgrant under the program from
which it seeks funding;
(ii) Has never been a member of a group application, submitted in
accordance with Sec. Sec. 75.127-75.129, that received a grant under
the program from which it seeks funding; and
(iii) Has not had an active discretionary grant from the Federal
Government in the five years before the deadline date for applications
under the program.
(2) In the case of a group application submitted in accordance with
Sec. Sec. 75.127-75.129, a group that includes only parties that meet
the requirements of paragraph (a)(1) of this section.
(b) For the purposes of paragraph (a)(1)(iii) of this section, a
grant is active until the end of the grant's project or funding period,
including any extensions of those periods that extend the grantee's
authority to obligate funds.
(c) If the Secretary determines that special consideration of novice
applications is appropriate, the Secretary may either--
(1) Establish a separate competition for novice applicants; or
(2) Give competitive preference to novice applicants under the
procedures in 34 CFR 75.105(c)(2).
(d) Before making a grant to a novice applicant, the Secretary
imposes special conditions, if necessary, to ensure the grant is managed
effectively and project objectives are achieved.
(Authority: 20 U.S.C. 1221e-3 and 3474)
[66 FR 60138, Nov. 30, 2001; 67 FR 4316, Jan. 29, 2002]
Procedures To Make a Grant
Sec. 75.230 How the Department makes a grant; purpose of Sec. Sec.
75.231-75.236.
If the Secretary selects an application under Sec. Sec. 75.217,
75.220, or 75.222, the Secretary follows the procedures in Sec. Sec.
75.231-75.236 to set the amount and determine the conditions of a grant.
Sections 75.235-75.236 also apply to grants under formula grant
programs.
Cross reference: See Sec. 75.200 How applications for new grants
are selected for funding.
(Authority: 20 U.S.C. 1221e-3 and 3474)
Sec. 75.231 Additional information.
After selecting an application for funding, the Secretary may
require the applicant to submit additional information.
(Authority: 20 U.S.C. 1221e-3 and 3474)
Sec. 75.232 The cost analysis; basis for grant amount.
(a) Before the Secretary sets the amount of a new grant, the
Secretary does a cost analysis of the project. The Secretary:
(1) Verifies the cost data in the detailed budget for the project;
(2) Evaluates specific elements of costs; and
(3) Examines costs to determine if they are necessary, reasonable,
and allowable under applicable statutes and regulations.
(b) The Secretary uses the cost analysis as a basis for determining
the amount of the grant to the applicant. The cost analysis shows
whether the applicant can achieve the objectives of the project with
reasonable efficiency and economy under the budget in the application.
(Authority: 20 U.S.C. 1221e-3 and 3474)
[45 FR 22497, Apr. 3, 1980. Redesignated at 45 FR 77368, Nov. 21, 1980,
as amended at 59 FR 30261, June 10, 1994]
Sec. 75.233 Setting the amount of the grant.
(a) Subject to any applicable matching or cost-sharing requirements,
the Secretary may fund up to 100 percent of the allowable costs in the
applicant's budget.
(b) In deciding what percentage of the allowable costs to fund, the
Secretary may consider any other financial resources available to the
applicant.
(Authority: 20 U.S.C. 1221e-3 and 3474)
[57 FR 30338, July 8, 1992]
Sec. 75.234 The conditions of the grant.
(a) The Secretary makes a grant to an applicant only after
determining--
(1) The approved costs; and
(2) Any special conditions.
(b) In awarding a cooperative agreement, the Secretary includes
conditions that state the explicit character and extent of anticipated
collaboration between the Department and the recipient.
(Authority: 20 U.S.C. 1221e-3 and 3474)
[57 FR 30338, July 8, 1992]
Sec. 75.235 The notification of grant award.
(a) To make a grant, the Secretary issues a notification of grant
award and sends it to the grantee.
(b) The notification of grant award sets the amount of the grant
award and establishes other specific conditions, if any.
(Authority: 20 U.S.C. 1221e-3 and 3474)
[45 FR 22497, Apr. 3, 1980. Redesignated at 45 FR 77368, Nov. 21, 1980,
as amended at 57 FR 30338, July 8, 1992]
Sec. 75.236 Effect of the grant.
The grant obligates both the Federal Government and the grantee to
the requirements that apply to the grant.
(Authority: 20 U.S.C. 1221e-3 and 3474)
Cross reference: See 34 CFR part 74, Subpart L--Programmatic Changes
and Budget Revisions.
Approval of Multi-Year Projects
Sec. 75.250 Project period can be up to 60 months.
The Secretary may approve a project period of up to 60 months.
(Authority: 20 U.S.C. 1221e-3 and 3474)
[45 FR 22497, Apr. 3, 1980. Redesignated at 45 FR 77368, Nov. 21, 1980,
as amended at 52 FR 27804, July 24, 1987]
Sec. 75.251 The budget period.
(a) The Secretary usually approves a budget period of not more than
12 months, even if the project has a multi-year project period.
(b) If the Secretary approves a multi-year project period, the
Secretary:
(1) Makes a grant to the project for the initial budget period; and
(2) Indicates his or her intention to make contination awards to
fund the remainder of the project period.
(Authority: 20 U.S.C. 1221e-3 and 3474)
Sec. 75.253 Continuation of a multi-year proj ect after the first
budget period.
(a) The Secretary may make a continuation award for a budget period
after the first budget period of an approved multi-year project if:
(1) The Congress has appropriated sufficient funds under the
program;
(2) The recipient has either--
(i) Made substantial progress toward meeting the objectives in its
approved application; or
(ii) Obtained the Secretary's approval of changes in the project
that--
(A) Do not increase the cost of the grant; and
(B) Enable the recipient to meet those objectives in succeeding
budget periods;
(3) The recipient has submitted all reports as required by
Sec. 75.118, and
(4) Continuation of the project is in the best interest of the
Federal Government.
(b) Subject to the criteria in paragraph (a) of this section, in
selecting applications for funding under a program the Secretary gives
priority to contination awards over new grants.
(c)(1) Notwithstanding any regulatory requirements in 34 CFR part
80, a grantee may expend funds that have not been obligated at the end
of a budget period for obligations of the subsequent budget period if--
(i) The obligation is for an allowable cost that falls within the
scope and objectives of the project; and
(ii) ED regulations other than 34 CFR part 80, statutes, or the
conditions of the grant do not prohibit the obligation.
Note: See 34 CFR 74.25(e)(2).
(2) The Secretary may--
(i) Require the grantee to send a written statement describing how
the funds made available under this section will be used; and
(ii) Determine the amount of new funds that the Department will make
available for the subsequent budget period after considering the
statement the grantee provides under paragraph (c)(2)(i) of this section
or any other information available to the Secretary about the use of
funds under the grant.
(3) In determining the amount of new funds to make available to a
grantee under this section, the Secretary considers whether the
unobligated funds made available are needed to complete activities that
were planned for completion in the prior budget period.
(d)(1) If the Secretary decides, under this section, not to make a
continuation award, the Secretary may authorize a no-cost extension of
the last budget period of the grant in order to provide for the orderly
closeout of the grant.
(2) If the Secretary makes a continuation award under this section--
(i) The Secretary makes the award under Sec. Sec. 75.231-75.236;
and
(ii) The new budget period begins on the day after the previous
budget period ends.
(e) Unless prohibited by program regulations, a recipient that is in
the final budget period of a project period may seek continued
assistance for the project under the procedures for selecting new
projects.
(Authority: 20 U.S.C. 1221e-3 and 3474)
[45 FR 22497, Apr. 3, 1980. Redesignated at 45 FR 77368, Nov. 21, 1980,
as amended at 57 FR 30338, July 8, 1992; 59 FR 30261, June 10, 1994; 62
FR 40424, July 28, 1997]
Cross references: 1. See Subpart C--How to Apply for a Grant.
2. See Sec. 75.117 Information needed for a multi-year project; and
Sec. 75.118 Application for a continuation award.
Sec. 75.254 [Reserved]
Miscellaneous
Sec. 75.260 Allotments and reallotments.
(a) Under some of the programs covered by this part, the Secretary
allots funds under a statutory or regulatory formula.
(b) Any reallotment to other grantees will be made by the Secretary
in accordance with the authorizing statute for that program.
(Authority: 20 U.S.C. 1221e-3 and 3474)
[45 FR 22497, Apr. 3, 1980. Redesignated at 45 FR 77368, Nov. 21, 1980,
as amended at 52 FR 27804, July 24, 1987]
Sec. 75.261 Extension of a project period.
(a) General rule. A grantee may, notwithstanding any regulatory
requirement in 34 CFR part 80, extend the project period of an award one
time for a period up to twelve months without the prior approval of the
Secretary, if--
(1) The grantee meets the requirements for extension of 34 CFR
74.25(e)(2); and
(2) ED regulations other than the regulations in 34 CFR part 80,
statutes or the conditions of an award do not prohibit the extension.
(b) Specific rule for certain programs of the National Institute on
Disability and Rehabilitation Research. Notwithstanding paragraph (a) of
this section, grantees under the following programs of NIDRR must
request prior approval to extend their grants under paragraph (c) of
this section:
(1) The Knowledge Dissemination and Utilization Centers and
Disability and Technical Assistance Centers authorized under 29 U.S.C.
761a(b)(2), (4), (5), (6), and (11) and implemented at 34 CFR part 350,
subpart B, Sec. Sec. 350.17-350.19.
(2) The Rehabilitation Research and Training Centers program
authorized under 29 U.S.C. 762(b) and implemented at 34 CFR part 350,
subpart C.
(3) The Rehabilitation Engineering Research Centers authorized under
29 U.S.C. 762(b)(3) and implemented at 34 CFR part 350, subpart D.
(4) The Special Projects and Demonstrations for Spinal Cord Injuries
authorized under 29 U.S.C. 762(b)(4) and implemented at 34 CFR part 359.
(c) Other regulations. If ED regulations, other than the regulations
in 34 CFR part 80, or the conditions of the award require the grantee to
get prior approval to extend the project period, the Secretary may
permit the grantee to extend the project period if--
(1) The extension does not violate any statute or regulations;
(2) The extension does not involve the obligation of additional
Federal funds;
(3) The extension is to carry out the activities in the approved
application; and
(4)(i) The Secretary determines that, due to special or unusual
circumstances applicable to a class of grantees, the project periods for
the grantees should be extended; or
(ii)(A) The Secretary determines that special or unusual
circumstances would delay completion of the project beyond the end of
the project period;
(B) The grantee requests an extension of the project at least 45
calendar days before the end of the project period; and
(C) The grantee provides a written statement before the end of the
project period giving the reasons why the extension is appropriate under
paragraph (c)(4)(ii)(A) of this section and the period for which the
project needs extension.
(d) Waiver. The Secretary may waive the requirement in paragraph
(a)(4)(ii)(B) of this section if--
(1) The grantee could not reasonably have known of the need for the
extension on or before the start of the 45-day time period; or
(2) The failure to give notice on or before the start of the 45-day
time period was unavoidable.
(Authority: 20 U.S.C. 1221e-3 and 3474)
[57 FR 30338, July 8, 1992, as amended at 62 FR 40424, July 28, 1997]
Sec. 75.262 Conversion of a grant or a cooperative agreement.
(a)(1) The Secretary may convert a grant to a cooperative agreement
or a cooperative agreement to a grant at the time a continuation award
is made under Sec. 75.253.
(2) In deciding whether to convert a grant to a cooperative
agreement or a cooperative agreement to a grant, the Secretary considers
the factors included in Sec. 75.200(b) (4) and (5).
(b) The Secretary and a recipient may agree at any time to convert a
grant to a cooperative agreement or a cooperative agreement to a grant,
subject to the factors included in Sec. 75.200(b) (4) and (5).
(Authority: 20 U.S.C. 1221e-3 and 3474)
[57 FR 30339, July 8, 1992]
Sec. 75.263 Pre-award costs; waiver of approval.
A grantee may, notwithstanding any requirement in 34 CFR part 80,
incur pre-award costs as specified in 34 CFR 74.25(e)(1) unless--
(a) ED regulations other than 34 CFR part 80 or a statute prohibit
these costs; or
(b) The conditions of the award prohibit these costs.
(Authority: 20 U.S.C. 1221e-3 and 3474; OMB Circulars A-21, A-87, and A-
122)
[62 FR 40425, July 28, 1997]
Sec. 75.264 Transfers among budget categories.
A grantee may, notwithstanding any requirement in 34 CFR part 80,
make transfers as specified in 34 CFR 74.25 unless--
(a) ED regulations other than 34 CFR part 80 or a statute prohibit
these transfers; or
(b) The conditions of the grant prohibit these transfers.
(Authority: 20 U.S.C. 1221e-3 and 3474)
[62 FR 40425, July 28, 1997]
EDGAR version June 23, 2005
