[Federal Register: March 23, 2001 (Volume 66, Number 57)]
[Notices]
[Page 16195-16217]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr23mr01-56]
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DEPARTMENT OF EDUCATION
[CFDA No.: 84.245]
Office of Vocational and Adult Education Tribally Controlled
Postsecondary Vocational and Technical Institutions Program
ACTION: Notice inviting applications for new awards for fiscal year
(FY) 2001.
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Notice of Applicants: This notice is a complete application package.
Together with the statute authorizing the program and the Education
Department General Administrative Regulations (EDGAR), the notice
contains all of the information, application forms, and instructions
needed to apply for a grant under this competition.
SUMMARY: The Secretary invites applications for new awards for FY 2001
under the Tribally Controlled Postsecondary Vocational and Technical
Institutions Program (TCPVTIP or the program) authority of section 117
of the Carl D. Perkins Vocational and Technical Education Act of 1998
(the Act or the 1998 amendments) (20 U.S.C. 2327) and announces
deadline dates for the transmittal of applications for funding under
the program.
Purpose of Program: Section 117 of the Act authorizes the Secretary to
make grants to tribally controlled postsecondary vocational and
technical institutions to provide basic support for the education and
training of Indian students in vocational and technical education
programs.
Eligible Applicants: A tribally controlled postsecondary vocational and
technical institution is eligible to receive a grant under this program
if it is an institution of higher education (as defined section 101 of
the Higher Education Act of 1965 and in the ``DEFINITIONS'' section of
this notice) that--
(a) Is formally controlled, or has been formally sanctioned or
chartered, by the governing body of an Indian tribe or tribes;
(b) Offers a technical degree or certificate granting program;
(c) Is governed by a board of directors or trustees, a majority of
whom are Indians;
(d) 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;
(e) Has been in operation for at least 3 years;
(f) Holds accreditation with or is a candidate for accreditation by
a nationally recognized accrediting authority for postsecondary
vocational and technical education; and
(g) Enrolls the full-time equivalent of not less than 100 students,
of whom a majority are Indians.
Deadline for Transmittal of Applications
Available Funds: $5,600,000 for the first 12 months of the 36-month
project period. Funding for the second and third 12-month periods of
the project is subject to the availability of funds and to a grantee
meeting the requirements of 34 CFR 75.253.
Estimated Range of Awards: $500,000 to $1,000,000 for the first 12
months.
Estimated Average Size of Awards: $700,000.
Estimated Number of Awards: 8.
Note: The Department is not bound by any estimates in this
notice.
Project Period: 3 years.
Applicable Statute and Regulations: (a) The relevant provisions of
the Carl D. Perkins Vocational and Technical Education Act of 1998, 20
U.S.C. 2301 et seq., in particular sections 117(a)-(f) and (h) of the
Act, 20 U.S.C. 2327(a)-(f) and (h).
(b) The Education Department General Administrative Regulations
(EDGAR) as follows:
(1) 34 CFR part 74 (Administration of Grants and Agreements to
Institutions of Higher Education, Hospitals, and Other Nonprofit
Organizations).
(2) 34 CFR part 75 (Direct Grant Programs).
(3) 34 CFR part 77 (Definitions that Apply to Department
Regulations).
(4) 34 CFR part 81 (General Education Provisions Act--Enforcement).
(5) 34 CFR part 82 (New Restrictions on Lobbying).
(6) 34 CFR part 85 (Governmentwide Debarment and Suspension
(Nonprocurement) and Governmentwide Requirements for Drug-Free
Workplace (Grants)).
(7) 34 CFR part 86 (Drug and Alcohol Abuse Prevention).
(8) 34 CFR part 97 (Protection of Human Subjects).
(9) 34 CFR part 98 (Student Rights In Research, Experimental
Programs and Testing).
(10) 34 CFR part 99 (Family Educational Rights and Privacy).
SUPPLEMENTARY INFORMATION:
General
This notice implements section 117 of the Carl D. Perkins
Vocational and Technical Education Act of 1998 (Pub. L. 105-332),
enacted October 31, 1998. Section 117 authorizes the Secretary to award
grants to tribally controlled postsecondary vocational and technical
institutions to operate vocational and technical education programs.
The 1998 amendments to the Perkins Act changed many of the
requirements applicable to the TCPVTIP. Former grant recipients under
the Tribally Controlled Postsecondary Vocational Institutions Program
will find that the changes brought about by the 1998 amendments are
likely to have a noticeable impact on how tribal postsecondary
institutions must now operate projects.
The following summary is intended to help potential applicants to
become
[[Page 16196]]
familiar with important changes to the TCPVTIP and with the way in
which these changes impact on the administration of the TCPVTIP.
Changes to the Program
(a) Eligibility. Under the definition of ``tribally controlled
postsecondary vocational and technical institution'' in section 3(28)
of the Act, institutions of higher education meeting the eligibility
requirements in section 3(28)(A)-(G) of the Act are eligible to apply
for and receive awards under the TCPVTIP. Prior to the 1998 amendments,
tribally controlled community colleges generally were not considered
eligible under this program. See 57 FR 36773-74 (August 14, 1992)
(Section 410.5, definition of ``Tribally controlled postsecondary
vocational institution''.) Under this notice, funding opportunities are
provided for additional tribal institutions to strengthen their
vocational and technical education programs.
(b) Allowable expenses. (1) Unlike part H of the Carl D. Perkins
Vocational and Applied Technology Education Act of 1990 (20 U.S.C. 2301
et seq.), section 117 of the Act does not provide for grants for the
operation, maintenance, expansion, or improvement of tribally
controlled postsecondary vocational institutions. Instead, under
section 117 of the Act, grants are to be used to fund projects that
provide basic support for vocational and technical education programs
for Indian students. (20 U.S.C. 2327(a), (b), and (e)). Costs that are
not specifically authorized by section 117 of the Act or clearly
associated with vocational and technical programs for Indians, such as
the administrative expenses of the entire institution, will not be
considered by the Secretary as allowable direct costs under this
program.
(2) While section 117(e)(1)(B) of the Act continues to authorize
the use of grant funds for capital expenditures, including operations
and maintenance, and minor improvements and repair, and physical plant
maintenance costs, under the Act these costs are allowable only when
incurred for the conduct of programs funded under section 117 of the
Act. (20 U.S.C. 2327(e)(1)(B)).
(3) Section 117(e)(1)(A) of the Act specifically authorizes student
stipends, whereas the previous statute did not. Institutions may
provide a stipend to a student to enable the student to participate in
a vocational and technical education program under section 117 of the
Act. (20 U.S.C. 2327(e)(1)(A)).
(c) Supplanting. In accordance with section 311(a) of the Act,
funds awarded under this program must supplement, and cannot supplant,
non-Federal funds used to carry out vocational and technical education
activities and tech-prep activities. (20 U.S.C. 2391). Under the
Department's administrative regulations, because of this new statutory
prohibition against supplanting in the TCPVTIP, grantees will also be
required to apply their negotiated restricted indirect cost rates to
this program. (See 34 CFR 75.563). There was no supplanting provision
applicable to this program prior to the 1998 amendments.
Definitions
Indian means a person who is a member of an Indian tribe.
Indian student count means a number equal to the total number of
Indian students enrolled in a tribally controlled postsecondary
vocational and technical institution determined by adding the figures
for paragraphs (a) through (d) of this definition:
(a) Full-time students. The number of Indian students registered at
the institution on October 1 of each year, who carried a full-time
academic workload, as determined by the institution. This figure does
not include summer school registrants, continuing education
registrants, or part-time students.
(b) Part-time students. The full time equivalent of the number of
Indian students registered at the institution on October 1 of each year
who carried a part-time academic workload, as determined by the
institution. This figure does not include summer school or continuing
education registrants.
(c) Summer students. The full-time equivalent of the total number
of credit or clock hours earned toward a certificate or degree at the
institution by Indian students during the summer term. Credit or clock
hours toward a certificate or degree earned in classes during a summer
term are counted only if the tribally controlled postsecondary
vocational and technical institution has established criteria for the
admission of summer term students on the basis of the students' ability
to benefit from the education or training offered. The institution
shall be presumed to have established those criteria if the admission
procedures for those studies include counseling or testing that
measures the students' aptitude to successfully complete the courses in
which the students have enrolled.
(d) Continuing education students. The full-time equivalent of the
total number of credit or clock hours earned by Indian students
enrolled in the institution's continuing education program. (20 U.S.C.
2327(h)(2)).
Under section 117(h)(2)(C) of the Act, the Indian student count
does not include either credit earned by students for purposes of
obtaining a high school degree or its equivalent, or the number of
students registered in programs that provide a high school degree or
its equivalent. (20 U.S.C. 2327(h)(2)(C)).
If grantees use inconsistent methods for converting credit and
clock hours to a full-time equivalent, in order to arrive at a
consistent calculation of the full-time equivalent for students in
summer and continuing education programs using the semester, trimester,
or quarter system, the Secretary will divide the number of credit hours
by 12 and the number of clock hours by 24.
Indian tribe means any Indian tribe, band, nation, or other
organized group or community, including any Alaskan Native or regional
or village corporation as defined in or established pursuant to the
Alaskan Native Claims Settlement Act (43 U.S.C. 1601 et seq.), which is
recognized as eligible for the special programs and services provided
by the United States to Indians because of their status as Indians. (20
U.S.C. 2327(h)(1)); 25 U.S.C. 1801(a)(2)).
Institution of higher education, as defined in section 3(28) of the
Act and in section 101 of the Higher Education Act of 1965, means--
(a) An educational institution in any State that--
(1) 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;
(2) Provides an educational program for which the institution
awards a bachelor's degree or provides not less than a 2-year program
that is acceptable for full credit toward such a degree;
(3) Is a public or other nonprofit institution; and
(4) Is accredited by a nationally recognized accrediting agency or
association, or if not so accredited, is an institution that has been
granted preaccreditation status by such an agency or association that
has been recognized by the Secretary of the Interior for the granting
of preaccreditation status, and the Secretary of the Interior has
determined that there is satisfactory assurance that the institution
will meet the accreditation standards of such an agency or association
within a reasonable time.
(b) The term also includes--
(1) Any school that provides not less than a 1-year program of
training to prepare students for gainful employment in a recognized
occupation and that meets the provisions of
[[Page 16197]]
paragraphs (a)(1), (3), and (4) of this definition.
(2) A public or nonprofit private educational institution in any
State that, in lieu of the requirement in paragraph (a)(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.
(Authority: 20 U.S.C. 1001 and 2302(28))
Stipend means a subsistence allowance for a student that is
necessary for the student to participate in a project funded under this
program.
Tribally Controlled Community College or University means an
institution of higher education which is formally controlled, or has
been formally sanctioned, or chartered, by the governing body of an
Indian tribe or tribes, except that no more than one such institution
shall be recognized with respect to any such tribe.
(Authority: 20 U.S.C. 2302(27) and 25 U.S.C. 1801(a)(4))
Tribally Controlled Postsecondary Vocational and Technical
Institution means an institution of higher education (as defined in the
``DEFINITIONS'' section of this notice) that--
(a) Is formally controlled, or has been formally sanctioned or
chartered, by the governing body of an Indian tribe or tribes;
(b) Offers a technical degree or certificate granting program;
(c) Is governed by a board of directors or trustees, a majority of
whom is Indians;
(d) 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;
(e) Has been in operation for at least 3 years;
(f) Holds accreditation with or is a candidate for accreditation by
a nationally recognized accrediting authority for postsecondary
vocational and technical education; and
(g) Enrolls the full-time equivalent of not less than 100 students,
of whom a majority is Indians.
(Authority: 20 U.S.C. 2302(28))
Vocational and technical education means organized educational
activities that--
(1) Offer a sequence of courses that provides an individual with
the academic and technical knowledge and skills the individual needs to
prepare for further education and careers (other than careers requiring
a baccalaureate, master's, or doctoral degree) in current or emerging
employment sectors; and
(2) 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, technical
skills, and occupational-specific skills.
For the purposes of this definition, the term ``sequence of
courses'' 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.
(Authority: 20 U.S.C. 2301(2) and 2302 (29))
Note: Applicants are encouraged to review all applicable
definitions in section 3 of the Act.
Eligible Programs, Services, and Activities
Under the TCPVTIP, projects may use grant funds to pay for the
following--
(a) Authorized expenses. The Secretary awards grants to carry out
projects that provide vocational and technical education programs to
Indian students. Grants may be used to pay for expenses associated
with--
(1) The maintenance and operation of the vocational and technical
education program funded under section 117 of the Act, including
development costs, costs of basic and special instruction (including
special programs for individuals with disabilities and academic
instruction), materials, student costs, administrative expenses,
boarding costs, transportation, student services, daycare and family
support programs for students and their families (including
contributions to the costs of education for dependents) and student
stipends;
(2) Capital expenditures, including operations and maintenance, and
minor improvements and repair, and physical plant maintenance costs,
for the conduct of vocational and technical education programs funded
under section 117 of the Act; and
(3) Cost associated with the repair, upkeep, replacement, and
upgrading of instructional equipment used in vocational and technical
education programs funded under the grant. (20 U.S.C. 2327(e)(1)).
(b) Student stipends. (1) A tribally controlled postsecondary
vocational and technical institution may provide a stipend to a student
to enable the student to participate in a vocational and technical
education program under section 117 of the Act.
(2) In order to receive a stipend, the student must--
(i) Be enrolled in a vocational and technical education project
funded under this program as at least a half-time student;
(ii) Be in regular attendance in a TCPVTIP project and meet the
tribally controlled postsecondary institution's attendance requirement;
(iii) Maintain satisfactory progress in his or her course of study
according to the tribally controlled postsecondary institution's
published standards of satisfactory progress; and
(iv) Have an acute economic need that--
(A) Prevents participation in a project funded under this program;
and
(B) Cannot be met through a work-study program.
(3) Acute economic need means an income, of the family of a
dependent student or of an independent student, 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.
(4) 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 established under the Fair Labor Standards Act.
(5) An institution may only award a stipend if the stipend combined
with other resources the student receives does not exceed the student's
financial need. The student's financial need is the difference between
the student's cost of attendance and the financial aid or other
resources that will be used to defray the costs of the student
participating in the TCPVTIP.
(6) To calculate the amount of a student's stipend, a grantee would
multiply the number of hours a student actually attends vocational and
technical education instruction by the amount of the minimum hourly
wage that is prescribed by State or local law, or by the minimum hourly
wage that is established under the Fair Labor Standards Act.
Example: If a grantee uses the Fair Labor Standards Act minimum
hourly wage of $6.15 and a student attends classes for 18 hours a
week, the student's stipend would be $110.70 for the week during
which the student attends classes ($6.15 x 18 = 110.70).
Attendance Costs Under This Program May Not Be Considered as Income
(a) The portion of any student financial assistance received under
the Act that is made available for
[[Page 16198]]
attendance costs described in paragraph (b) of this section of the
notice 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.
(b) For purposes of this section, attendance costs are--
(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
(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.
(Authority: 20 U.S.C. 2415)
Eligibility for Assistance Under This Program May Not Preclude
Assistance Under Other Programs
Except as specifically provided for in the Act, eligibility for
assistance under this program shall not preclude any tribally
controlled postsecondary vocational and technical institution from
receiving Federal financial assistance under any program authorized
under the Higher Education Act of 1965, or any other applicable program
for the benefit of institutions of higher education or vocational and
technical education.
(Authority: 20 U.S.C. 2327(f)(1))
Content of the Application
To receive a grant under the TCPVTIP, an applicant must include the
following information in the application:
(a) Documentation showing that the institution is eligible
according to each of the requirements in the ``ELIGIBLE APPLICANTS''
section of this notice, including meeting the definition of the term
``institution of higher education'' (e.g., proof of the accreditation
of the institution, resolution from an Indian tribe).
(b) For each of the past three academic years--
(i) A list of the vocational and technical education certificate
and degree programs that were offered by the institution (e.g.,
Nursing, Automotive Technology); and
(ii) For the vocational and technical education program(s), the
total number of students that enrolled, dropped out, graduated, and
were placed in additional training or education, military service, or
employment after graduation.
(c) The institution's Indian student counts, as defined in this
notice, for academic years 1998-1999 and 1999-2000.
(d) The courses of study to be supported under the TCPVTIP project.
(e) The number of students to be served in the proposed project in
each course of study.
(f) Goals and objectives for the proposed project, including how
the goals and objectives further the tribal economic develop plan.
(g) Long-range and short-range needs to be addressed by the
project, including the institution's plans for the placement of
students (e.g., placement into additional training or education,
military service, or employment).
(h) 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, including any student financial aid, that will be
used to achieve the goals and objectives of the proposed project.
(i) Strategies and resources for objectively evaluating the
institution's progress towards, and success in, achieving the goals and
objectives of the project. (20 U.S.C. 2302(28); 2327(a), (c), (d), (e),
(g)(1), and (h)(2))
Competitive Priorities
Under the authority of 34 CFR 75.105(c)(2)(ii), the Secretary gives
preference to applications that meet the following competitive
priorities. The Secretary awards up to five points to applicants that
meet the competitive priority in a particularly effective way. These
priority points are in addition to any points an applicant earns under
the selection criteria for the program.
Competitive Priority 1--High Interest/High Demand Areas (Up to 5
Points)
Projects that propose to introduce, expand, or refine ``high
interest/high demand'' vocational and technical education programs in
the applicant institution. The need for ``high interest/high demand''
programs should be based on the institution reviewing such evidence as
changing trends in an occupation, documented labor market needs, or
evidence of emerging jobs in the career or occupational area (e.g.,
occupational forecast data, survey data from interested persons and
business owners in the local area).
Competitive Priority 2--Professional Development (Up to 5 Points)
Projects that propose on-going professional development activities
(e.g., internships, teacher externships, business/education
collboratives, use of technology to facilitate training activities)
intended to enhance the teaching or occupational skills and
competencies of the applicant's staff who serve vocational and
technical education students. The training should be designed to help
the staff to better meet the vocational and technical educational goals
and objectives of the proposed project. To the extent possible,
professional development activities should be related to training
students for emerging occupations relevant to the needs of the
community.
Competitive Priority 3--Student Recruitment, Retention, and Course
Completion. (Up to 5 Points)
Projects that propose, as a part of their TCPVTIP projects'
vocational and technical education program, to use effective techniques
for increasing student recruitment, enrollment, retention, and
completion. The effectiveness of the techniques must be supported by
empirical data.
Selection Criteria
The Secretary uses the following criteria to evaluate an
application. The maximum score for each criterion is indicated in
parentheses.
(a) Need for project. (15 points) (1) The Secretary considers the
need for the proposed project.
(2) In determining the need for the proposed project, the Secretary
considers the following factors:
(i) The magnitude of the need for the specific services to be
provided or specific activities to be carried out by the proposed
project, as evidenced by data such as local labor market demand,
occupational trends, advice from an advisory board for a course of
study, surveys, recommendations from accrediting agencies, or tribal
economic development plans.
(ii) 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.
(b) Significance. (10 points) (1) The Secretary considers the
significance of the proposed project.
(2) In determining the significance of the proposed project, the
Secretary considers the following factors:
(i) The likelihood that the proposed project will result in system
change or improvement in the applicant's educational program.
(ii) The extent to which the proposed project is likely to build
local capacity to provide, improve, or expand services that address the
vocational and
[[Page 16199]]
technical education needs of the target population.
(iii) 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 for providing vocational
and technical education to Native Americans.
(iv) The extent to which the results of the proposed project are to
be disseminated in ways that will enable vocational and technical
education practitioners to use the information or strategies developed
by the proposed project.
(c) Quality of the project design. (25 points) (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 the following factors:
(i) The extent to which goals, objectives, and outcomes are clearly
specified and measurable (e.g., student vocational and technical
education activities; expected enrollments, completions, and student
placements in jobs, military specialties, and continuing education/
training opportunities in each vocational training area; the number of
teachers, counselors, and administrators to be trained; identification
of requirements for each course of study; description of performance
outcomes; and description of the planned dissemination activities).
(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 the proposed activities constitute a
coherent, sustained program of training in the field and the courses of
study are accredited.
(iv) The extent to which the proposed project will establish
linkages with other appropriate agencies and organizations providing
services to the target population.
(d) Quality of project services. (25 points) (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 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 the services to be provided by the
proposed project reflect up-to-date knowledge from research and
effective practice.
(iii) The extent to which training or professional development
services to be provided by the proposed project for the staff of its
vocational and technical education program are of sufficient quality,
intensity, and duration to lead to improvements in practices among the
applicant's staff.
(iv) 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 program-defined academic
standards.
(v) The likelihood that 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.
(e) Quality of project personnel. (15 points) (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 the following factors:
(i) The qualifications, including relevant training and experience,
of the project director.
(ii) The qualifications, including relevant training and
experience, of key project personnel, especially the extent to which
the proposed project will use instructors who are qualified to teach in
the fields in which they will provide instruction.
(iii) The qualifications, including relevant training and
experience, of project consultants or subcontractors.
(f) Adequacy of resources. (5 points) (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 the following factors:
(i) The adequacy of support, including facilities, equipment,
supplies and other resources, from the applicant institution.
(ii) The relevance and demonstrated commitment (e.g., articulation
agreements, memoranda of understanding, letters of support, commitments
to employ project participants) of the applicant, tribal entities to be
served by the project, and local employers.
(iii) The extent to which the costs are reasonable in relation to
the objectives, design, services, and potential significance of the
proposed project.
(iv) 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.
(v) The potential for continued support of the key project
activities after Federal funding ends, including, as appropriate, the
demonstrated commitment of appropriate entities to provide such
support.
(g) Quality of the management plan. (10 points) (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 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 for carrying out each activity under the
project, timelines, and the milestones and performance standards for
accomplishing project tasks.
(ii) The extent to which the time commitments of the project
director and other key project personnel are appropriate and adequate
to meet the objectives of the proposed project.
(iii) The adequacy of procedures for ensuring feedback and
continuous improvement in the operation of the proposed project.
(iv) The adequacy of mechanisms for ensuring high-quality outcomes
and services from the proposed project.
(h) Quality of project evaluation. (20 points)
(1) The Secretary considers the quality of the evaluation to be
conducted by an independent evaluator of the proposed project.
(2) In determining the quality of the evaluation, the Secretary
considers the following factors:
(i) The extent to which the methods of evaluation proposed by the
grantee are thorough, feasible, and appropriate to the goals,
objectives, and outcomes of the proposed project.
(ii) The extent to which the methods of evaluation include the use
of
[[Page 16200]]
objective performance measures that are clearly related to the intended
outcomes of the project and the Government Performance and Results Act
(GPRA) objective and performance indicator discussed elsewhere in this
notice, and will produce quantitative and qualitative data to the
extent possible.
(iii) The extent to which the methods of evaluation will provide
performance feedback and permit periodic assessment of progress toward
achieving intended outcomes.
(iv) 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 No.
1830-0542)
Program Requirements
To ensure the high quality of TCPVTIP projects and the achievement
of the goals and purposes of section 117(a)-(f) and (h) of the Act, the
Secretary establishes the following program requirements:
(a) Evaluation. (1) Each grantee shall budget for and conduct an
ongoing evaluation of its effectiveness. The evaluation must be
conducted by an independent evaluator.
(2) The evaluation must--
(i) Be appropriate for the project and be both formative and
summative in nature;
(ii) Include performance measures that are clearly related to the
intended outcomes of the project and the Government Performance and
Results Act (GPRA) objective and performance indicator for the TCPVTIP,
which is discussed elsewhere in this notice; and
(iii) Measure the effectiveness of the project, including a
comparison between the intended and observed results, and a
demonstration of a clear link between the observed results and the
specific treatment given to project participants.
(3) A proposed project evaluation design must be submitted to the
Department for review and approval prior to the end of the first six
months of the project period.
(4) As required in paragraph (b)(2) of the ``PROGRAM REQUIREMENTS''
section of this notice, the interim and final results of this
evaluation must be submitted to the Secretary along with the annual
performance report. (34 CFR 75.590)
(b) Reporting. Each grantee shall submit to the Secretary the
following reports--
(1) An annual performance report, unless the Secretary requires
more frequent reporting, summarizing significant project
accomplishments and, if applicable, barriers impeding progress and
steps taken to alleviate those barriers. A performance report must
include, for the period covered by the report--
(i) A comparison of actual accomplishments in relation to the
objectives established for the period and a description of any
problems, delays, or adverse conditions that materially impair the
ability of the project to accomplish its purposes, the reasons for such
problems, delays or adverse conditions, and an explanation of any
action or actions taken or contemplated to resolve the difficulties.
Note: Grantees must request prior approval for a change in the scope or
the objectives of the project or program (even if there is no
associated budget revision requiring prior written approval). (34 CFR
74.25(c));
(ii) A description of any favorable developments that will permit
the project to accomplish its purposes sooner, at less cost, or more
effectively than projected;
(iii) The institution's Indian student counts, as defined in this
notice; and
(iv) A report covering--
(A) The extent to which the project achieved its goals with respect
to enrollment, completion, and placement (into additional training or
education, military service, or employment) of participants for the
most recently completed training cycle(s), by gender and by courses of
study for which instruction was provided;
(B) The number and kind of academic, vocational and technical, and
work credentials and competencies acquired and demonstrated by
individuals participating in the project, especially the number of
students earning certificates and degrees. Grantees should also report
students' participation in programs providing training at the associate
degree level that is articulated with an advanced degree option; and
(C) The number of referrals the project made to social services and
related services to aid participants to benefit from the project, to
prepare them for employment, or to assist them in obtaining employment.
(2) An annual evaluation report that is submitted along with the
annual performance report.
(3) An annual accurate and detailed accounting of the institution's
operating and maintenance expenses and such other information
concerning costs as the Secretary may reasonably require. (20 U.S.C.
2327(e)(2)).
(Approved by the Office of Management and Budget under Control Number
1830-0542)
Determination of Number and Funding Level of Grants
(a) The number of grants made and the amount of each grant is
determined under the provisions of 34 CFR 75.230-75.234 and section
117(e) of the Act. The formula in section 117(c) of the Act does not
apply to the first year of funding under this competition.
(b) For fiscal years subsequent to the first year of funding under
this competition--
(i) The Secretary will determine the number of grants and the
amount of each grant based on the availability of appropriations, 34
CFR 75.253, and section 117(e) of the Act; and
(ii) If appropriations for each such subsequent fiscal year are not
sufficient to fund the total amount that approved grantees are eligible
to receive, the Secretary will allocate grant amounts in accordance
with section 117(c) of the Act.
(Authority: 20 U.S.C. 2327(c))
Government Performance and Results Act
The Government Performance and Results Act of 1993 (GPRA) places
management expectations and requirements on Federal departments and
agencies by creating a framework for more effective planning,
budgeting, program evaluation, and fiscal accountability for Federal
programs. The intent of GPRA is to improve public confidence by holding
departments and agencies accountable for achieving program results.
Under GPRA, departments and agencies must clearly describe the goals
and objectives of their programs, identify resources and actions needed
to accomplish these goals and objectives, develop a means of measuring
progress made, and regularly report on their achievement. One important
source of program information on successes and ``lessons learned'' is
the project evaluation conducted under individual grants. In accordance
with GPRA requirements, TCPVTIP grantees are asked to include the
following objective and performance indicator when evaluating the
success of their projects:
The extent to which vocational students served in tribally
controlled postsecondary vocational and technical institutions make
successful transitions to work or continuing education. The
Department's performance indicator for this objective is that by fall
2001, 27% of vocational students will receive an AA degree or
certificate.
[[Page 16201]]
(Approved by the Office of Management and Budget under Control Number
1830-0542)
Waiver of Rulemaking
While it is generally the practice of the Secretary to offer
interested parties the opportunity to comment on a regulation before it
is implemented, section 437(d)(1) of the General Education Provisions
Act exempts from formal rulemaking requirements, regulations governing
the first grant competition under a new or substantially revised
program authority (20 U.S.C. 1232(d)(1)). The program authority for
what was formerly known as the Tribally Controlled Postsecondary
Vocational Institutions Program was substantially revised on October
31, 1998 by section 117 of Pub. L. 105-332. In order to make awards on
a timely basis, the Secretary has decided to publish this notice in
final form under the authority of section 437(d)(1).
Instructions for Transmittal of Applications
Applicants are required to submit one original signed application
and two copies of the application. All forms and assurances must have
ink signatures. Please mark applications as ``original'' or ``copy''.
To aid with the review of applications, the Department encourages
applicants to submit four additional paper copies of the application.
The Department will not penalize applicants who do not provide
additional copies.
(a) If an applicant wants to apply for a grant under this
competition, the applicant must either--
(1) Mail the original and two copies of the application on or
before the deadline date to: U.S. Department of Education, Application
Control Center, Attention: (CFDA #84.245), Washington, DC 20202-4725,
or
(2) Hand deliver the original and two copies of the application by
4:30 p.m. (Washington, DC time) on or before the deadline date to: U.S.
Department of Education, Application Control Center, Attention: (CFDA
#84.245), Room #3633, Regional Office Building #3, 7th and D Streets,
SW., Washington, DC.
(b) An applicant must show one of the following as proof of
mailing:
(1) A legibly dated U.S. Postal Service postmark.
(2) A legible mail receipt with the date of mailing stamped by the
U.S. Postal Service.
(3) A dated shipping label, invoice, or receipt from a commercial
carrier.
(4) Any other proof of mailing acceptable to the Secretary.
(c) If an application is mailed through the U.S. Postal Service,
the Secretary does not accept either of the following as proof of
mailing:
(1) A private metered postmark.
(2) A mail receipt that is not dated by the U.S. Postal Service.
Notes: (1) The U.S. Postal Service does not uniformly provide a
dated postmark. Before relying on this method, an applicant should
check with its local post office.
(2) The Application Control Center will mail a Grant Application
Receipt Acknowledgment to each applicant. If an applicant fails to
receive the notification of application receipt within 15 days from
the date of mailing the application, the applicant should call the
U.S. Department of Education Application Control Center at (202)
708-9494.
(3) The applicant must indicate on the envelope and--if not
provided by the Department--in Item 10 of the Application for
Federal Assistance (ED Form 424) the CFDA number--and suffix letter,
if any--of the competition under which the application is being
submitted.
Application Instructions and Forms
All forms and instructions are included in Appendix A to this
notice. Questions and answers pertaining to this program are included,
as Appendix B, to assist potential applicants.
To apply for an award under this program competition, your
application must be organized in the following order, include the
following five parts, and contain the information in the ``CONTENT OF
THE APPLICATION'' section of this notice. The parts and additional
materials are as follows:
(1) Application for Federal Education Assistance (ED Form 424 (Rev.
11-12-99)) and instructions.
(2) Budget Information--Non-Construction Programs (ED Form No. 524)
and instructions.
(3) Budget Narrative.
(4) Program Narrative.
(5) Additional Assurances and Certifications:
a. Assurances--Non-Construction Programs (Standard Form 424B).
b. Certification regarding Lobbying, Debarment, Suspension, and
Other Responsibility Matters; and Drug-Free Workplace Requirements (ED
80-0013) and instructions.
c. Certification regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion: Lower Tier Covered Transactions (ED Form 80-0014,
9/90) and instructions.
Note: ED Form 80-0014 is intended for the use of grantees and
should not be transmitted to the Department.)
d. Disclosure of Lobbying Activities (Standard Form LLL), if
applicable, and instructions.
e. Notice to All Applicants.
No grant or cooperative agreement may be awarded unless a completed
application form has been received.
FOR FURTHER INFORMATION CONTACT: Paul Geib, Special Programs Branch,
Division of National Programs, Office of Vocational and Adult
Education, U.S. Department of Education, 400 Maryland Avenue, SW. (Room
4528, Mary E. Switzer Building), Washington, DC 20202-7242. Telephone
(202) 205-9962. Internet address: paul_geib@ed.gov
Individuals who use a telecommunications device for the deaf (TDD)
may call the Federal Information Relay Service (FIRS) at 1-800-877-
8339.
Individuals with disabilities may obtain this notice in an
alternate format (e.g., Braille, large print, audiotape, or computer
diskette) on request to the contact person listed at the beginning of
this paragraph. Please note, however, that the Department is not able
to reproduce in an alternate format the standard forms included in the
notice.
Electronic Access to This Document
You may view this document, as well as all other Department of
Education documents published in the Federal Register, in text or Adobe
Portable Document Format (PDF) on the Internet at either of the
following sites:
http://ocfo.ed.gov/fedreg.htm
http://www.ed.gov/news.html
To use the PDF you must have the Adobe Acrobat Reader which is
available free at either of the preceding sites. If you have questions
about using the PDF, call the U.S. Government Printing Office (GPO),
toll free, at 1-888-293-6498; or in the Washington, DC, area at (202)
512-1530.
Note: The official version of this document is the document
published in the Federal Register. Free Internet access to the
official edition of the Federal Register and the Code of Federal
Regulations is available on GPO Access at: http://
www.access.gpo.gov/nara/index.html
Program Authority: 20 U.S.C. 2327(a)-(f) and (h).
Dated: March 20, 2001.
Robert Muller,
Deputy Assistant Secretary, Office of Vocational and Adult Education.
Estimated Public Reporting Burden
According to the Paperwork Reduction Act of 1995, no persons are
required to respond to a collection of information unless it displays a
valid OMB control number. The valid OMB control number for this
information collection is 1830-0542. Expiration date: September 30,
2003. The time
[[Page 16202]]
required to complete this information collection is estimated to
average 208 hours per response, including the time to review
instructions, search existing data resources, gather the data needed,
and complete and review the information collection.
If you have any comments concerning the accuracy of the time
estimates or suggestions for improving this form, please write to: U.S.
Department of Education, Washington, DC 20202-4651.
If you have comments or concerns regarding the status of your
individual submission of this information collection, write directly
to: Paul Geib, Division of National Programs, Office of Vocational and
Adult Education, U.S. Department of Education, 400 Maryland Avenue, SW,
Room 4512, Mary E. Switzer Building, Washington, DC 20202-7242.
Appendix A
Part II--Budget Information
Instructions for Part II--Budget Information
Sections A and B--Budget Summary by Categories
1. Personnel: Show salaries to be paid to personnel for each
budget year.
2. Fringe Benefits: Indicate the rate and amount of fringe
benefits for each budget year.
3. Travel: Indicate the amount requested both local and out of
State travel of Program Staff for each budget year. Include funds
for the 1st and 2nd year for two people to attend the Program
Director's Workshop.
4. Equipment: Indicate the cost of non-expendable personal
property that has a cost of $5,000 or more per unit for each budget
year.
5. Supplies: Include the cost of consumable supplies and
materials to be used during the project period for each budget year.
6. Contractual: Show the amount to be used for: (1) procurement
contracts (except those which belong on other lines such as supplies
and equipment); and (2) subcontracts for each budget year.
7. Construction: Not applicable.
8. Other: Indicate all direct costs not clearly covered by lines
1 through 6 above, including consultants and capital expenditures
for each budget year.
9. Total Direct Cost: Show the total for Lines 1 through 8 for
each budget year.
10. Indirect Costs: Indicate the rate and amount of indirect
costs for each budget year.
11. Training/Stipend Cost: Indicate cost per student and number
of hours of instruction. The amount of a stipend may be the greater
of the minimum hourly wage prescribed by State and local law, or the
minimum hourly wage set under the Fair Labor Standards Act.
12. Total Costs: Show total for lines 9 through 11 for each
budget year.
Instructions for Part III--Budget Narrative
The budget narrative should explain, justify, and, if needed,
clarify your budget summary. For each line item (personnel, fringe
benefits, travel, etc.) in your budget, explain why it is there and
how you computed the costs.
Please limit this section to no more than five pages. Be sure
that each page of your application is numbered consecutively.
Appendix B
Potential applicants frequently direct questions to officials of
the Department regarding application notices and programmatic and
administrative regulations governing various direct grant programs.
To assist potential applicants, the Department has assembled the
following most commonly asked questions followed by the Department's
answers.
Q. Can we get an extension of the deadline?
A. No. A closing date may be changed only under extraordinary
circumstances. Any change must be announced in the Federal Register
and must apply to all applications. Waivers for individual
applications cannot be granted regardless of the circumstances.
Q. How many copies of the application should I submit and must
they be bound?
A. Applicants are required to submit one original and two copies
of the grant application. To aid with the review of applications,
the Department encourages applicants to submit four additional
copies of the grant application. The Department will not penalize
applicants who do not provide additional copies. The binding of
applications is optional.
Q. We just missed the deadline for the XXX competition. May we
submit under another competition?
A. Yes, however, the likelihood of success is not good. A
properly prepared application must meet the specifications of the
competition to which it is submitted.
Q. I'm not sure which competition is most appropriate for my
project. What should I do?
A. We are happy to discuss any such questions with you and
provide clarification on the unique elements of the various
competitions.
Q. Will you help us prepare our application?
A. We are happy to provide general program information. Clearly,
it would not be appropriate for staff to participate in the actual
writing of an application, but we can respond to specific questions
about application requirements, evaluation criteria, and the
priorities. Applicants should understand, however, that prior
contact with the Department is not required, nor will it in any way
influence the success of an application.
Q. When will I find out if I'm going to be funded?
A. You can expect to receive notification within 3 to 4 months
depending on the number of the applications received and the number
of Department competitions with similar closing dates.
Q. Once my application has been reviewed by the review panel,
can you tell me the outcome?
A. No. Every year we are called by a number of applicants who
have a legitimate reason for needing to know the outcome of the
panel review prior to official notification. Some applicants need to
make job decisions, some need to notify a local school district,
etc. Regardless of the reason, because final funding decisions have
not been made at that point, we cannot share information about the
results of the panel review with anyone.
Q. Will my application be returned if I am not funded?
A. No. We no longer return unsuccessful applications. Thus,
applicants should retain at least one copy of the application.
Q. Can I obtain copies of reviewers' comments?
A. Upon written request, reviewers' comments will be mailed to
unsuccessful applicants.
Q. If my application receives high scores from the reviewers,
does that mean that I will receive funding?
A. Not necessarily. It is often the case that the number of
applications scored highly by the reviewers exceeds the dollars
available for funding projects under a particular competition. The
order of selection, which is based on the scores of all the
applications reviewed and other relevant factors, determines the
applications that can be funded.
Q. What happens during pre-award clarification discussions?
A. During pre-award clarification discussions, technical and
budget issues may be raised. These are issues that have been
identified during the panel and staff reviews that require
clarification. Sometimes issues are stated as ``conditions.'' These
are issues that have been identified as so critical that the award
cannot be made unless those conditions are met. Questions may also
be raised about the proposed budget. Generally, these issues are
raised because an application contains inadequate justification or
explanation of a particular budget item, or because the budget item
seems unimportant to the successful completion of the project. If
you are asked to make changes that you feel could seriously affect
the project's success, you may provide reasons for not making the
changes or provide alternative suggestions. Similarly, if proposed
budget reductions will, in your opinion, seriously affect the
project activities, you may explain why and provide additional
justification for the proposed expenses. An award cannot be made
until all issues under discussion have been resolved.
Q. Where can copies of the Federal Register, Education
Department General Administrative Regulations (EDGAR), and Federal
statutes be obtained?
A. Copies of these materials can usually be found at your local
library. If not, they can be obtained from the Government Printing
Office by writing to Superintendent of Documents, U.S. Government
Printing Office, Washington, DC 20402. Telephone: (202) 708-8228.
When requesting copies of regulations or statutes, it is helpful to
use the specific name of the public law, number of a statute, or
part number of a regulation. The material referenced in this notice
should be referred to as follows:
(1) The Carl D. Perkins Vocational and Technical Education Act
of 1998, Public Law 105-332, 20 U.S.C. 2301.
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(2) Education Department General Administrative Regulations, 34
CFR parts 74, 75, 77, 81, 82, 85, 86, 97, 98, and 99.
Copies of these materials may also be found on the World Wide
Web at http://www.access.gpo.gov/nara.
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[FR Doc. 01-7316 Filed 3-22-01; 8:45 am]
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