(12) Add

new programs during the

program year; and (13) Complete and submit required reports by the deadline date.

(d) Activities and procedures. Describe the activities and procedures to be used to address each priority or objective. It is suggested that each priority or objective be discussed individually. (Where appropriate, utilize the suggestions and planning charts referred to in section 3.2.)

(e) Evaluation. This portion of the annual program plan may include a discussion of evaluation activities, including:

(1) Evaluation activities proposed to be conducted in the year for which the annual program plan is submitted (see section 3.7); and

(2) The extent to which completed evaluation studies have indicated strengths and weaknesses that have affected the design of the currently proposed activities and procedures.

(20 U.S.C. 1205, 1208, 45 CFR 166.11, 12, 13 and 25)

PART 4-LONG-RANGE PROGRAM PLAN SEC. 4.1 Long-range program plan. The State education agency may wish to develop a long-range program plan to be updated annually and submitted to the U.S. Commissioner of Education along with the annual program plan, which is required by the new State application procedure.

(a) The long-range program plan may be developed by the State educational agency with the advice of the State advisory council, if such council exists, as permitted under section 310A of the Act, and in consultation with appropriate staff of the U.S. Office of Education. Such annual revisions should take into consideration: (1) The results of evaluations and surveys made or sponsored by the State educational agency, the State advisory council, if such council exists; and (2) recommendations of the National Advisory Council on Adult Education, and the U.S. Office of Education. Appropriate revisions and a one-year extension to the longrange program plan should be incorporated as a part of the annual program plan which is submitted to the U.S. Commissioner of Education for any given fiscal year.

(b) The long-range program plan may contain the following:

(1) A description of the State's identified projected educational needs of adults, especially as they relate to adult basic education; and

(2) A plan of action for using Federal funds available under the Act to meet identified needs for the duration of the longrange plan, beginning with the fiscal year in which the annual program plan is submitted.

PART 5-SPECIAL EXPERIMENTAL DEMONSTRATION PROJECTS AND TEACHER TRAINING

SEC. 5.1 Applicability.

Federal funds are authorized to be administered by the State educational agency for special projects in adult education under subsection (1) and adult education personnel training under subsection (2) of section 309 of the Act.

(20 U.S.C. 1208)

SEC. 5.2 Allocation of resources.

(a) The State educational agency must establish and set forth in its annual program plan the policies and procedures under which it will use not less than 15 percent of the funds allotted to it for any given fiscal year under section 305 of the Act for special projects and teacher training, as prescribed by section 309 of the Act.

(b) The funds available for the purposes of section 309 of the Act must be expended by the State educational agency in such a way as to provide support from each annual allotment for both special projects and teacher training programs. The distribution of such funds among the two programs must be determined by the State educational agency in accordance with the overall objectives of its annual program plan.

SEC. 5.3 Eligible projects.

(a) Special projects. From each annual Federal allotment to the State educational agency for the purposes of the Act, funds will be available under section 309(1) for special projects which:

(1) Involve the use of innovative methods, systems, materials, or programs which

(i) may have national significance, or (ii) may be of special value in promoting effective programs under the Act, or

(2) Involve programs of adult education which are part of community school programs carried out in cooperation with other Federal, federally assisted, State, or local programs which have unusual promise in promoting a comprehensive or coordinated approach to the problems of persons with educational deficiencies.

(b) Teacher training. From each annual Federal allotment to the State educational agency, funds will be available under section 309(2) of the Act to train persons engaged, or preparing to engage, as personneì in programs designed to carry out the purposes of this Act.

(20 U.S.C. 1208(2); 45 CFR 166.22)

90-215 O 78 - 15

SEC. 5.4 Eligible applicants.

(a) Special projects and teacher training. Federal funds authorized for the purposes of section 309 of the Act may be used for grants, contracts, or other arrangements, if appropriate under applicable State laws, to provide support for special projects and teacher training. Eligible applicants include the following:

(1) State and local educational agencies; (2) Public and private agencies, institutions, and organizations, and

(3) Individuals (unless precluded by State law).

(20 U.S.C. 1208; 45 CFR 166.23)

(b) Ineligible applicants. No funds may be used from the State's allotment under this part for programs conducted by any school or department of divinity, as defined in section 312 of the Act.

(20 U.S.C. 1210)

SEC. 5.5 Project applications.

(a) Since funds to support special projects and teacher training under section 309 of the Act will be available from the appropriate State educational agency, information on policies and procedures for applying for such support should be incorporated into the annual program plan and disseminated widely. A separate application form is recommended for each proposed project.

(b) Special projects. Projects should be designed to:

(1) Meet the special educational needs of adults, including persons of limited Englishspeaking ability, as defined in § 166.2 of the regulations;

(2) Address one or more of the current statewide adult education program priorities which have been identified and published by the State educational agency. Such priorities should be prepared in consultation with the State advisory council, if such advisory council exists, and take into consideration relevant recommendations of the National Advisory Council on Adult Education and, as appropriate, reflect the national adult education program priorities which have been identified by the U.S. Commissioner of Education and appear as Appendix B to the regulations (45 CFR Part 166);

(3) Be consistent with the educational program which the State proposes to conduct under its annual program plan; and

(4) Ensure coordination with community education programs and other Federal, federally assisted, and State and local programs and projects for the education of adults.

(c) Teacher training. Applications should be designed to: (1) Be consistent with State staff development plans developed under regional staff development projects; and

(2) Meet the special training needs of various adult education personnel, including teachers, para-professionals, administrators, counselors, and others; or

(3) Meet the special training needs of personnel employed in priority programs such as bilingual adult education programs for persons with limited English-speaking ability, and community education programs; or

(4) Meet the special training needs of persons preparing to engage in adult education programs.

(d) The State educational agency may not assign any part of its responsibility to another agency. This does not, however, prevent a State educational agency from exercising its authority under the Act to coordinate activities with other Federal, federally assisted, State, and local programs, nor prevent two or more applicants in one or more States from conducting a joint program or project (including a planning project).

(20 U.S.C. 1208; 45 CFR 166.24)

SEC. 5.6 Establishment of national priorities in adult education.

(a) Based on the findings of surveys and studies conducted by the U.S. Office of Education, recommendations of the National Advisory Council on Adult Education, and on evaluations by State educational agencies, State advisory councils, and other appropriate information bases, the U.S. Office of Education will annually review and identify national priorities in the field of adult education and, as necessary, will publish current priorities in the FEDERAL REGISTER. In establishing its priorities, the State educational agency may take the national priorities into consideration in the development of the annual program plan. Such priorities are contained in the regulations (45 CFR Part 166) as Appendix B.

(b) In soliciting applications for special projects and adult education personnel training programs, it is recommended that the State educational agency identify and publish, annually, statewide adult education program priorities and evaluation criteria which have been determined in accordance with the requirements contained in the regulations at 45 CFR 166.25. The annual program plan should identify the organizational unit and official(s), by title, that are responsible for establishing procedures for and the identification of program priorities for any given fiscal year.

(c) In order to assure that all interested persons and organizations in all segments of the adult education community throughout the State are aware of the availability of Federal funds for support of special projects and teacher training programs, wide circulation of the announcement of program priorities and criteria is necessary. All Federal funds are to be distributed equitably among the applicants solely on the basis of merit. Therefore, the State educational agency is urged to establish procedures which will provide maximum open and free competition to assure that all citizens of the general

public have an equal opportunity to compete for the available Federal funds. The State educational agency is urged to establish procedures for the award of grants as well as contracts which adhere to the procurement standards set forth in subpart I of GEPR. However, when contracts are used as the funding mechanism for awarding Federal funds, the State educational agency must adhere to the requirements of Subpart I of GEPR.

(d) In evaluating applications for special projects and adult education personnel training programs, the State educational agency is encouraged to give special emphasis to applications judged as having a potential for national significance.

(20 U.S.C. 1208; 45 CFR 166.12(b)(4))

SEC. 5.7 Criteria for review of project applicants.

The State educational agency should establish, publish in the annual program plan, and disseminate the criteria to be used in reviewing project applications from local educational agencies, public and private organizations, or individuals. Such criteria should be applied in conjunction with the criteria developed under §§ 166.12, 166.13 and Appendix B of the regulations contained in 45 CFR Part 166. The value to be assigned to each of the applicable criteria shall be the responsibility of the State.

(a) General criteria. It is recommended that the following general criteria be utilized in evaluating both special projects and teacher training applications:

(1) Objectives are sharply defined, clearly stated, capable of being attained by the proposed procedures, and capable of being measured;

(2) Proposed plan of operation is sound; (3) Proposed activity is relevant to the priority or needs addressed;

(4) Proposed activity is needed in the area to be served by the applicant;

(5) Designated project personnel possess qualifications and experience to adequately carry out project activities;

(6) Facilities and other resources are adequate to carry out the objectives of the project;

(7) Size, scope, and duration of the project would secure productive results, and the estimated cost is reasonable in relation to these results;

(8) Potential for replication and utilization of the results of the project in other adult education programs and the provisions for disseminating these results are judged to be adequate;

(9) Provisions are included for an adequate evaluation of the project's effectiveness and for determining the extent to which its objectives are accomplished.

(b) Special projects. In evaluating applications for special projects, it is suggested

that the State educational agency give consideration to such factors as whether and to what extent the project:

(1) Involves the use of innovative methods, systems, materials, or programs and which may have national significance and will serve residents of the State or be of special value in promoting effective programs under the Act;

(2) Is to be carried out in cooperation with other federally assisted State, or local programs which have unusual promise in promoting a comprehensive or coordinated approach to the problems of persons with educational deficiencies;

(3) Is designed to address critical educational needs which have been identified as State or national priorities for adult education;

(4) Has unusual promise for the development of concepts, practices, and techniques which can be adapted or adopted elsewhere in establishing or improving adult education;

(5) Is related to and is carried out in cooperation with appropriate training activities whether or not assisted under the Act;

(6) Will result in the development of materials and methods which may be of value in increasing the effectiveness of adult education programs;

(7) Provides for cooperation and coordination with business and industry, labor and other agencies, institutions, and community education programs and other related programs, as identified in § 166.13 of the regulations, in order to strengthen the project and prevent duplication of effort;

(8) Provides, where appropriate, for cooperation and continuation by the local educational agencies and other public and private agencies; and

(9) Will strengthen the adult education delivery systems within the State.

(c) Teacher training. In evaluating applications for training grants, it is suggested that the State educational agency give consideration to such factors and whether as to what extent the project

(1) Is consistent with the objectives set forth in the annual program plan for the development and training of adult education personnel;

(2) Will include training in the utilization and development of innovative methods, systems, materials, or programs;

(3) Will meet local needs for adult education personnel;

(4) Is designed to address critical training needs which have been identified as State or national priorities for adult education;

(5) Provides for periodic, systematic, and objective reviews and evaluations of the project;

(6) Is coordinated with appropriate special experimental demonstration projects which

may be operating in the geographic area served by the applicant;

(7) Is coordinated with adult education programs being sponsored in the State in which the applicant is located or with a consortium of the States from which trainees are drawn or to which trainees may be expected to return;

(8) Is to be carried out in cooperation with other federally assisted, State, or local programs;

(9) Provides for cooperation and coordination with business and industry, labor and other agencies, as identified in § 166.13 of the regulations, to strengthen the project and prevent duplication;

(10) Provides for cooperation and continuation by the local educational agencies and other public and private agencies; and

(11) Includes criteria for eligibility for participation in the project.

(20 U.S.C. 1208; 45 CFR 166.24)

SEC. 5.8 Submission of applications. The State educational agency should establish policies and procedures to regulate the submission of applications for special projects and teacher training under section 309 of the Act. Such applications should be submitted in accordance with State laws, regulations, policies, and procedures. It is recommended that the State educational agency:

(a) Develop and implement procedures which will ensure that information concerning the availability of Federal funds for special projects and teacher training is disseminated to all segments of the adult education community in all areas of the State;

(b) Issue a public announcement concerning the availability of funds for special projects and teacher training programs which requests applications that address current statewide adult education program priorities, which have been determined in accordance with the requirements of § 166.25 of the regulations;

(c) Establish and announce closing date for receipt of applications for consideration for funding during the current fiscal year;

(d) Provide forms to be used in submitting applications for special projects and teacher training programs under section 309 of the Act;

(e) All proposals submitted to the State educational agencies for approval and funding should contain at least the signature of the chief executive officer of the organization submitting the proposal.

(20 U.S.C. 1208; 45 CFR 166.24)

SEC. 5.9 Application review panel. The State educational agency may wish to establish one or more panels to review and evaluate applications submitted under section 309 of the Act. In the establishment of any such review panel, it is suggested that the State

educational agency take into consideration the following factors:

(a) The establishment of criteria for the selection of panel members;

(b) The establishment of procedures to assure that each application is reviewed by at least three panel members; and

(c) The identification of subject-matter areas to be represented by panelists to assure that the qualifications of the panelists are relevant to program priorities. It is recommended that panel membership include at least one representative of each of the following: the State agency, the State advisory council on adult education (if such council exists); agencies representing institutionalized persons and persons of limitedEnglish speaking ability, and agencies representing community school programs. Such panel membership should also include women, minority and ethnic groups which reflect the general population of the State. (20 U.S.C. 1208; 45 CFR 166.24)

SEC. 5.10 Selection of participants for teacher training projects.

(a) The State educational agency should establish criteria to be used to select participants of teacher training programs. Such criteria should consider the objectives of the national priorities (which are published periodically in the FEDERAL REGISTER and appear as Appendix B to the regulations (45 CFR Part 166), and on the priorities and objectives set forth in the annual program plan for the State adult education program. Such criteria should be designed to assure that, among other things, participants are engaged, or are preparing to engage, as personnel in adult education programs designed to carry out the purposes of the Act. The criteria to be used in the final selection of participants from among the applicants should be clearly stated in the application materials.

(b) In the development of selection criteria, consideration should be given to the fact that no person should be declared ineligible to participate in the program solely for the reason that he or she does not possess an academic degree. Such persons should include those who are engaged, or preparing to engage as teachers, guidance counselors, administrators, or other support personnel in adult education programs designed to carry out the purposes of the Act. (20 U.S.C. 1208; 45 CFR 166.24)

reasonable period of time as to whether or not the project will be funded.

(1) Each awardee should receive a properly executed award document which contains appropriate financial and administrative information as well as any general and special terms and conditions which pertain to the project;

(ii) Each unsuccessful applicant should be notified of the reasons why the application was not selected for funding.

(20 U.S.C. 1208; 45 CFR 166.24)

SEC. 5.12 Hearings.

The State educational agency should establish an Appeal Board and set forth in the annual program plans the procedures by which any applicant or recipient aggrieved by the final action of the State educational agency may request a hearing under the provisions of section 425 of GEPA.

(20 U.S.C. 1208; 45 CFR 166.24)

SEC. 5.13 Program evaluation procedures. (a) Each program or project application should include an evaluation plan for the purpose of determining the effectiveness of the program or project.

(20 U.S.C. 1208; 45 CFR 166.12(b)(4))

SEC. 5.14 Reports.

(a) It is recommended that the annual program plan set forth the policies and procedures to be used by the State educational agency for obtaining reports from recipients of Federal funds to conduct special projects and training under the authority of section 309 of the Act. Such project reports should provide all information that is needed by the State educational agency to comply with the requirements of § 166.52 of the regulations, Subparts P and Q of 45 CFR 100b, and section 424 of the General Education Provisions Act.

(b) Requested reports. It is recommended that the State educational agency obtain at least the following reports from each recipient of section 309 funds.

(1) Final report. This report should be submitted to the State educational agency 30 days after the expiration or termination of the project and should contain: (i) A financial status report, in accordance with Subpart P of 45 CFR Part 100b, (ii) a report of any products developed by the project, and (iii) a performance, report acceptable to the State educational agency. The performance report should include: (1) A summary of the accomplishments which relate to the objectives outlined in the scope of work (as well as a lack of accomplishments in the case of grants, and the reasons therefor); (2) a statement of the findings, recommendations, and conclusions; and (3) a brief abstract which describes the methodology and operation of the program.

(2) Special reports. (i) The grantee should submit project reports to the State agency in accordance with the terms and conditions of the award document and upon request from the State educational agency;

(ii) For teacher training projects, it should be the responsibility of the project director to develop brochures which describe the project activity, as well as appropriate application forms in order to provide potential participants with sufficient information to submit applications for participation in the project.

(3) Independent evaluation. The State educational agency should develop policies and procedures for obtaining copies of any independent evaluation of the project (including its operational objectives and conclusions). A copy of such evaluations should be forwarded to the Clearinghouse on Adult Education.

(c) It is recommended that the State educational agency indicate how the results of the project will strengthen the State grant program. This critique should be submitted along with the final report of the project to the U.S. Commissioner of Education, as required by § 166.52(d)(1) of the regulations.

(d) It is recommended that final reports of projects funded under the Act be made available to the general public through the facilities of the Education Resources Information Center (ERIC).

(20 U.S.C. 1208; 45 CFR 166.52)

SEC. 5.15 Dissemination of materials produced by projects.

The State educational agency should develop policies and procedures for obtaining copies of all materials that are produced by projects which are funded from its Federal allotment under the authority of section 309 of the Act. It is recommended that the State educational agency include in each award document issued under section 309 of the Act the requirements of the grantee regarding the dissemination of any products produced by the project (e.g., surveys, films, publications, and other materials).

(20 U.S.C. 1208; 45 CFR 166.30) [40 FR 22230, May 21, 1975]