(2) Time commitments planned for the project director, staff, advisory groups, and any consultants;

(3) Past and successful experiences of the proposed project director and key staff members in similar or related projects; and

(4) Staff competencies that are essential to understand the cultures of the adult Indochina refugees and to assist them in becoming self-sufficient members of the American society.

(e) Evaluation plan. (Maximum 5 points.) The application includes valid and reliable procedures for assessing and documenting the progress of participants.

arrangements.

(f) Cooperative (Maximum 15 points.) The application clearly describes arrangements and support services to be provided by existing agencies in order to maximize the impact of the proposed program. The types of agencies with which cooperative arrangements are encouraged include but are not limited to voluntary agencies, sponsor groups, public assistance agencies, social/vocational rehabilitation services, labor unions, business and industry, social organizations, health services, legal aid, and existing Federal, State, and local education, employment, and training programs.

(g) Budget and cost effectiveness. (Maximum 5 points.) The application provides a justifiable and itemized statement of cost which is substantiated by line items in the proposed budget and is cost effective.

(h) Facilities and equipment. (Maximum 5 points.) The application describes adequate facilities, equipment, and materials for the operation of the proposed program.

(i) Reaching the geographically isolated. (Maximum 5 points.) The application provides for meeting the educational needs of previously unserved adult Indochina refugees living in isolated geographic areas.

(j) Support services. (Maximum 5 points). The application provides for support services for adult Indochina refugees, including but not limited to guidance and counseling.

(Implements 20 U.S.C. 1211b)

§ 166.81 Allowable costs.

(a) Allowable costs under grants awarded under this subpart are determined in accordance with the applicable cost principles subject to the limitations in this section. See § 100a.81 of the GEPR.

(b) Stipends and/or dependency allowances are not allowable.

(c) The cost of child care, not to exceed 5 percent of the grant award, may be allowed only if the applicant can demonstrate that (1) the absence of this service is a barrier to providing effective educational services, and (2) the services of volunteers or other community agencies are not available for this purpose. Under no circumstances shall payments for child care be made directly to participants.

(d) Transportation costs of participants are allowable up to one percent of the grant award. If more than one percent is necessary, a justification demonstrating need shall be contained in the application.

(e) The development of curriculum materials is allowable up to one percent of the grant award. If more than one percent is necessary, a justification demonstrating that appropriate materials do not exist or cannot be obtained from existing sources shall be contained in the application.

(f) The cost of pre-service or in-service training of personnel is allowable up to one percent of the grant award. If more than one percent is necessary, a justification demonstrating that the required competence is not otherwise available on a cost-effective basis shall be contained in the application.

(g) Programs combining funds under this subpart with other Federal, State, or local adult education funds shall contain provisions for independent accountability.

(Implements 20 U.S.C. 1211b)

§ 166.82 Records and reports.

(a) Each grantee shall report to the Commissioner on all programs and services provided adult Indochina refugees from Federal funds granted under this subject.

(b) A grantee shall submit these reports as part of the financial and narrative reporting requirements set

forth in subparts P and Q of Part 100a of the GEPR.

(c) In addition to reporting the information required under § 100a.432 of the GEPR, a grantee shall include the following in the performance report:

(1) Total number of adult Indochina refugees that participated in adult education programs which were funded from a Federal grant awarded under this subpart by:

(i) Type of program (basic skills program of instruction, adult education program operating in conjunction with occupational skills program, and support services program); and

(ii) Nature of instruction (English as a second language, bilingual education, adult education, and occupational training);

(2) Total number of participants under this subpart who:

(i) Gained employment;

(ii) Obtained a better job; and

(iii) Were removed from public assistance; and

(3) A list of those agencies and resources that participated in meeting the objectives of this grant and the extent of their participation. (Implements 20 U.S.C. 1211b)

-(Officially

The designated State agency) of the State of hereinafter called the State Agency, hereby agrees and assures that this Annual Program Plan which serves as an agreement between State and Federal Governments under the Adult Education Act, will be administered in accordance with the following provisions:

(1) The State Agency has entered into cooperative arrangements with the State Health Authority, authorizing the use of such health information and services for adults as may be available from such authorities and as may reasonably be necessary to enable them to benefit from the instruction provided pursuant to the Act;

(20 U.S.C. 1205(a)(3))

(2) The State Agency will provide support to local educational agencies, and public and private nonprofit agencies for special projects, teacher training, and research projects (under section 306(a)(4));

(3) The State agency assures that not less than 10 percent of the annual allotment shall be used for the purposes of section 309 of the Act to provide support for both special projects and teacher training programs; (20 U.S.C. 1206(b))

(4) The State Agency will provide for cooperation with Community Action programs, Work Experience programs, VISTA, WorkStudy programs, programs designed to provide reading instruction for adults, and other programs relating to the antipoverty effort;

(20 U.S.C. 1205(a)(5))

(5) The State agency will provide for cooperation with manpower development and training programs, including programs under the Comprehensive Employment and Training Act (CETA), and occupational education programs;

(20 U.S.C. 1205(a)(6))

(6) The State Agency will ensure that special emphasis will be given to adult basic education programs;

(20 U.S.C. 1205(a)(10))

(7) The State Agency will provide such further information and assurances as may be required by applicable regulations;

(20 U.S.C. 1205(a)(12))

(8) The State Agency, including its political subdivisions, has available from nonFederal sources for expenditure for adult education, in the fiscal year for which the allotment is made, an amount not less than the amount expended for such purpose from such sources during the preceding fiscal year;

(20 U.S.C. 1206(b))

(9)(a) The State Agency assures that the program will be conducted in compliance with all requirements imposed by or pursuant to the regulations in 45 CFR Part 80 to effectuate the provisions of Title VI of the Civil Rights Act of 1964 (Pub. L. 88-352);

(b) The State Agency has submitted or is hereby submitting as an attachment to this agreement the methods of administration to give reasonable assurance that the applicant and all recipients of Federal financial assistance under the annual program plan will comply with all requirements imposed by or pursuant to the regulations in 45 CFR Part 86 (prohibition of sex discrimination) Title IX of the Education Amendments of 1972 (Public Law 92-318);

(42 U.S.C. 2000d; P.L. 92-318, Title IX)

(10) The annual program plan has been submitted to the Governor for review; and his/her comments (or a statement that no comments have been made) will be attached to the annual program plan. Any amendments to this plan, as well as other periodic reports required under the program, if any, will be submitted for the Governor's review. The Governor's comments (or a statement that no comments were made) will accompany the materials when they are submitted to the U.S. Office of Education;

(20 U.S.C. 1205(a))

(11) Assurance is hereby given that the total annual expenditure of Federal funds for adult secondary education shall not exceed 20 percent of the total annual allotment granted to the State under section 305 of the Act;

(20 U.S.C. 1205(a)(7))

(12) Assurance is hereby given that special assistance will be provided for persons of limited English-speaking ability by providing bilingual adult education programs, in accordance with the criteria specified in § 166.12(e) of these regulations;

(20 U.S.C. 1205(a)(11))

(13) Assurance is hereby given that not more than 20 percent of the total expenditures (from Federal Funds and State and local matching funds) for any fiscal year for the purposes of this Act shall be used for adult basic education or adult secondary education programs for institutionalized adults;

(20 U.S.C. 1205(a)(1))

(14) The program for the use of grants has been developed by the State Agency in accordance with section 306 of the Act and affords assurance for substantial progress with respect to all segments of the adult population and all areas of the State toward carrying out the purpose of the Act and applicable regulations;

(20 U.S.C. 1205(a)(1))

(15) The State Agency assures that it will not approve an application for a program of instruction unless it determines that the program will (a) utilize qualified administrative personnel and instructional staff, adequate facilities, equipment, materials, and guidance and counseling services; (b) provide for effective recruitment and retention of participants in adult education programs; and (c) provide for effective administration and supervision and assure efficient and economical operation in providing an adequate learning environment;

(20 U.S.C. 1205(a), 1232(c)(b))

(16) The State Agency assures that it will constantly monitor the performance of all activities supported under the Act to assure that adequate progress is being made toward achieving the goals of the grant. This review shall be made for each function or activity of each grant as set forth in the approved Annual Program Plan.

(17) The State agency will submit for approval by the U.S. Commissioner of Education an annual program plan, in accordance with section 434(b)(1)(A)(V) of the General Education Provisions Act. Such annual program plan will include a certification by the State's Attorney General or other appropriate official, as specified in § 166.14 of the regulations.

Such program for use of grants is set forth in (Name of document)

which is attached hereto.

(Title)

(Date)

[40 FR 17950, Apr. 23, 1975, as amended at 42 FR 16410, Mar. 28, 1977]

APPENDIX B

PRIORITIES FOR PROGRAMS OF NATIONAL
SIGNIFICANCE

The Commissioner has suggested for the guidance of State educational agencies that the following priorities merit special consideration by States in meeting the special project and staff development needs of their adult education program.

1. Dissemination in adult education. Administrators and practitioners of adult education have only limited means for learning of and assessing the kinds and quality of improved practices and products generated in adult education. Many States do not have a mechanism for systematic retrieval, review, assessment, and diffusion of improved practices and products. Without these capabilities, programs suffer from duplication of effort, lack of planning ability, and the continuation of traditional, non-progressive educational strategies.

Characteristics of such a mechanism inIclude the ability to locate improved practices and products, identify specific users, disseminate the practices and products to these users, and provide training and technical assistance for adoption and implementation by local adult educators. A Statewide dissemination program would develop these capabilities as part of the overall State Department of Education concern and planning for dissemination in education. If no such effort is presently being undertaken by a particular State Department of Education, the adult education program could play an important leadership role in developing departmental interest in a Statewide dissemination system. It will also be useful for State systems to coordinate plans and activities with the U.S. Office of Education, Clearinghouse on Adult Education.

2. Adult performance level implementation. By the end of fiscal year 1975, the Adult Performance Level (APL) test and objectives will be completed and available for implementation. States should plan to utilize section 309 and other funds in support of projects to conduct a Statewide literacy assessment and to develop instructional programs designed to meet APL objectives. Also encouraged are staff development or special projects which focus on the translation of

APL objectives into curriculum and teacher competencies. Careful attention should be paid to the avoidance of overlap and duplication in these developments.

3. Role of the employer in adult learning. At the 1974 Summer Commencement of Ohio State University, the President asked the students and faculty to help bring the domains of education, employment and labor closer together to foster a community of learning. A major aim of this endeavor is to release the intellectual energy of America's youth to stimulate greater productivity on and off the job.

Adult educators can assist this effort by developing programs which identify the educative aspects of work and which structure the work environment and personnel policies to facilitate adult learning and career development. This may require restructuring the responsibilities of the employee to provide opportunities to learn new knowledge and skills which will prepare the employee to assume more or different job responsibilities.

This concept assumes that the organization of production around learning experiences for employees will ultimately lead to increased cost effectiveness of that production system.

4. Adult education staff development. As part of the continuing staff development effort, each region and State has developed an adult education staff development plan. It is recommended that each State continue the implementation of its plan, and carefully assess the desirability of supporting the continuation of a regional approach to staff development.

5. Experimental and demonstration project continuation. States are encouraged to review current experimental and demonstration projects funded under Pub. L. 91-230 in fiscal year 1974 to determine the appropriateness of assuming support for those projects which are of significance to State Adult Education Programs.

PART 1-INTRODUCTION

SEC. 1.1 Scope of guidelines.

(a) The guidelines contained in this document are recommendations and suggestions for meeting the legal requirements which apply to annual program plans for Federal assistance under the Adult Education Act. The guidelines are not to be construed as requirements. However, where the guidelines set forth a permissible means of meeting a legal requirement, the guidelines may be relied upon.

(20 U.S.C. 1208; 113 Cong. Rec. 5936, 5939 (daily ed. May 23, 1967); United States v. Jefferson County Board of Education, 372 F.2d 836, at 857 (1966)).

(b) Where a guideline is issued in connection with or affecting a provision in the regulations, the pertinent regulation and the citation of legal authority will appear in parentheses immediately following the relevant section of the guidelines. For example, if the legal authority for a particular provision of the guidelines is section 306(a) of the Act (20 U.S.C. 1205(b)), and the guideline affects § 166.7 of the regulations (45 CFR 166.7), the following citation will

be placed on the line immediately following the guideline (20 U.S.C. 1205(b); 45 CFR 166.7). If no particular section of the Act or regulations is affected, no citation to the Code of Federal Regulations (CFR) will be made.

(20 U.S.C. 1232(a))

SEC. 1.2 Applicable statutes and regulations.

Annual program plans for adult education are to be prepared and implemented in accordance with applicable Federal statutes and regulations. Pertinent provisions include the Adult Education Act (20 U.S.C. 1201-1211a), the General Education Provisions Act (20 U.S.C. 1221 et seq.), the Adult Education Regulations (45 CFR Part 166), the "General Provisions of Office of Education Programs," (45 CFR Part 100b.) relating to fiscal, administrative, property management and other matters, hereinafter called "General Education Provisions Regulations" (GEPR). The State educational agency should carefully review the above references prior to preparing the annual program plan for adult education.

(20 U.S.C. 1201-1211a; 20 U.S.C. 1221 et seq.; 45 CFR Part 166; 45 CFR Part 100b and Appendices.)

SEC. 1.3 Purpose of the annual program plan.

(a) The annual program plan for the Adult Education State Grant Programs is similar to the annual program plan requirements for several cooperative Federal-State programs. The annual program plan under the Adult Education Act provides, among other things:

(1) The basis on which the State, through its State educational agency, will qualify to participate in and receive Federal funds for programs under the Adult Education Act;

(2) A basis for planning, justifying, and organizing the proposed allocation of funds; (3) A basis for common understanding and communication among the State agency, other participating agencies (including State advisory councils), the U.S. Office of Education, and the program reviewers and auditors; and

(4) A basis for both immediate and longrange planning and for systematic and continuous evaluation.

(b) In order to facilitate communication and program support in the development of the annual program plans, it is recommended that local adult education teachers, administrators, and State and local decisionmakers provide input.

(20 U.S.C. 1205, 1232c(b); 45 CFR 166.11)

PART 2-ADMINISTRATIVE PROVISIONS SEC. 2.1 Civil rights.