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objectives, or of any other nature, if obtained; and
(e) Any other reports containing such information in such form as the Commissioner may, from time to time, require in order to carry out his functions under the Act. § 166.79 Patents and copyrights.
(a) Any material of a copyrightable nature produced through a project with financial assistance under the Act shall be subject to the copyright policy of the U.S. Office of Education in effect at the time of project approval.
(b) Any material of a patentable nature produced through a project with financial assistance under the Act shall be subject to the provisions of Parts 6 and 8 of this title which are hereby incorporated into the terms and conditions of any approved project.
contribution: (1) For 3 years after the close of the fiscal year in which the expenditure was liquidated, (2) until the grantee is notified that such records are not needed for program administrative review, or (3) until the grantee is notified of the completion of the Federal fiscal audit, whichever is the latest.
(b) Questioned expenditures. The records pertaining to any claim or expenditure which has been questioned at the time of audit shall be maintained until necessary adjustments have been reviewed and cleared by the Department of Health, Education, and Welfare. § 166.77 Disposition of equipment.
(a) Whenever items of equipment, each initially costing $100 or more, in which cost the Federal Government has participated are sold or no longer used for the purpose authorized by the Act, the Federal Government shall be credited with its proportionate share of the value of such equipment, the value being determined on the basis of the sale price in the case of a bona fide sale or on the fair market value in the case of discontinuance of use or diversion for other than a purpose authorized under the Act.
(b) Inventories and records are required to be kept for all items of equipment referred to in paragraph (a) of this section. The grantee is responsible for having available information sufficient for a determination of whether such equipment continues to be used for a purpose provided for under the Act. § 166.78 Reports.
The grantee shall submit the following reports:
(a) A report to be submitted at the conclusion of the project, or, if continuing, at the end of each fiscal year, describing the activities conducted under the project;
(b) A final fiscal report of expenditures incurred under the project containing such information as the Commissioner may require;
(c) A report to be submitted at the conclusion of the project, or, if continuing, at the end of each fiscal year, containing an evaluation of the project in terms of the program objectives;
(d) A copy of any independent evaluations of the project, its operation and
PART 170—FINANCIAL ASSISTANCE
FOR CONSTRUCTION OF HIGHER
Subpart A-General Provisions Sec. 170.1 Definitions. 170.2 Requirement for compliance with
labor standards and equal employment opportunity requirements in
all construction contracts. 170.3 Requirement for competitive bidding
on contracts for construction and for acquisition and installation of
built-in equipment. 170.4 Requirement for economical methods
of purchase of movable equipment. 170.5 Fiscal control and fund accounting
procedures. 170.6 Retention of records. 170.7 Determination of costs eligible for
Federal participation. Subpart B-Grants for Construction of Academic
Facilities 170.11 Institutional eligibility for grants
under section 103 of the Act. 170.12 Institutional eligibility for grants
under section 104 of the Act. 170.13 Conditions for grant approval. 170.14 Submission and processing of Title I
applications. 170.15 Criteria for standards and methods
to determine relative priorities of
eligible projects. 170.16 Criteria for standards and methods
to determine Federal shares of elig
ible projects. 170.17 State plans.
private toilets) which adjoin and are 170.18 Adjustments in amount of Federal
used in conjunction with such rooms or share.
areas. A room intended and equipped 170.19 Payment of grant funds on approved projects.
for any such purposes should be counted
in the appropriate category regardless Subpart C-Grants for Construction of Graduate of the building (e.g., administration Academic Facilities
building, library building, or classroom 170.41 Eligibility for grants.
building) in which it is located. 170.42 Submission of applications.
(2) "Instruction-related facilities" 170.43 Advisory Committee.
means all rooms or areas (other than in170.44 Criteria for evaluating applications.
structional and library facilities) which 170.45 Special terms and conditions.
are used for purposes related to the inSubpart D-loans for Construction of Academic struction of students, research, or for the Facilities
general administration of the educa170.51 Eligibility for loans.
tional or research programs of an institu170.52 Submission of applications.
tion of higher education, and service 170.53 Special terms and conditions.
areas (such as storage rooms, private 170.54 Determination of nonavailability of toilets, or control rooms) which adjoin equally as favorable terms and
and are used in conjunction with such conditions.
rooms or areas. 170.55 Forms of evidence of indebtedness. 170.56 Security for loans.
(3) "Related supporting facilities" 170.57 Length and maturity of loans.
means all other areas and facilities which 170.58 Bond counsel opinion.
are necessary for the utilization, opera170.59 Determination of priorities for loan tion and maintenance of "instructional approvals.
and library facilities" or "instruction170.60 Loan agreement.
related facilities," as defined above. This 170.61 Loan closing.
term includes building service areas and 170.62 Interim financing. 170.63 Construction fund.
circulation areas, and central mainte170.64 Investment of idle construction nance and utility facilities which serve funds.
more than one building, to the degree 170.65 Disposal of balance remaining in the that such central facilities are designed construction fund.
and used to serve academic facilities of AUTHORITY: The provisions of this Part 170 the two aforementioned categories rather issued under secs. 101-111, 301-407; 77 Stat. than other, nonacademic, facilities such 364-370, 372–379; 20 U.S.C. 711-721, 741-757. as dormitories, chapels, or stadiums, or
SOURCE: The provisions of this Part 170 facilities which are excluded from the appear at 31 F.R. 13221, Oct. 13, 1966, unless definition of eligible academic facilities otherwise noted.
because they are used by ineligible Subpart A-General Provisions
schools or departments.
(c) "Advisory Committee on Graduate $ 170.1 Definitions.
Education" means that committee estab(a) "Act” means Public Law 88-204,
lished by section 203 of the Act. the Higher Education Facilities Act of
(d) “Assignable area" means square 1963, as amended. Unless otherwise in
feet of area in facilities which are dedicated, title references are to titles of
signed and available for assignment to the Act. All terms defined in the Act
specific functional purposes (such as inshall have the same meaning as given
struction, research, and administration, them in the Act. All references to sec
and including noneligible purposes such tions are to sections of this part, unless
as student sleeping rooms, apartments, or otherwise indicated.
chapel rooms). Areas used for general (b) “Academic facilities," as defined in
circulation within the building, for pubthe Act, are further defined and sub lic washrooms, for building maintenance divided into the following categories: and custodial services, or in central
(1) "Instructional and library facil maintenance and utility facilities which ities” means all rooms or areas used reg exist only to support the operation and ularly for instruction of students, for utilization of other structures on the faculty offices, or for library purposes, campus and which are not available for and service areas (such as storage closets, assignment to other specific functional projection booths, balance rooms, dark purposes, as illustrated above, shall be rooms, locker and shower rooms, and classified as nonassignable area,
(e) "Branch campus" means a campus built-in audiovisual systems in individof an institution of higher education ual classrooms; chalkboards, bulletin which is located in a community different boards, and display cabinets fixed to from that in which its parent Institution walls; built-in library stacks and counis located. A campus shall not be con- ters; carpeting installed in lieu of other sidered to be located in a community dif- finished flooring; and draperies installed ferent from that of its parent institution in lieu of other light control devices. unless it is located beyond a reasonable (3) "Initial movable equipment" commuting distance from the parent means all items of initial equipment institution.
other than built-in equipment, which (f) “Capacity/enrollment ratio" are necessary and appropriate for the means the ratio of (1) the square feet functioning of a particular academic of assignable area of instructional and facility for its specific purpose, and will library facilities as defined in paragraph be used solely or primarily in the rooms (b) (1) of this section to (2) the total or areas covered by an application under student clock-hour enrollment, at a par- the Act (as distinguished from items ticular campus of an institution. For which are appropriate for academic purpurposes of this definition, "student poses but are not to be used principally clock-hour enrollment” means the ag- within the rooms included in the projgregate clock hours (sometimes called ect). The term does not include books, contact hours) per week in classes or curricular or program materials, carpets supervised laboratory or shop work for
or drapes, or any items of current operatwhich all resident students (i.e., students ing expense such as fuel, supplies, comenrolled for credit courses on the cam
ponent items such as vacuum tubes pus) are enrolled as of a particular date. which have no function apart from other Where formally established independent items in which they are to be incorstudy programs exist, systematically de- porated, or manufactured items which termined equivalents of class or labora- are consumed in use or have a short usetory hours may be included under "stu- ful life. dent clock-hour enrollment."
(1) "Full-time equivalent number of (g) "Commissioner" means the U.S.
students' means: Commissioner of Education or his des
(1) For purposes of determining State ignee.
allotments, the number of full-time stu(h) "Equipment" means manufac
dents enrolled in programs which consist tured items which have an extended
wholly or principally of work normally useful life and are not consumed in use
creditable towards a bachelor's or highand which have an identity and function
er degree plus one-third of the number which are not lost through incorporation
of part-time students enrolled in such into a different or more complex unit or
programs, plus 40 percent of the number substance. For purposes of construc
of students enrolled in programs which tion applications under the act, equip
are not chiefly transferable towards & ment is further subdivided into three
bachelor's or higher degree plus 28 percategories: built-in building service
cent of the remaining number of such
students. Student enrollment figures systems, other built-in equipment, and initial movable equipment.
for each fiscal year for the purposes (1) "Built-in building service sys
of this computation shall be those
contained in the most recent Office of tems” means utilities and other machin
Education survey containing data on ery necessary for the effective function
opening fall enrollments in higher eduing of a building or uniformly distributed
cation, through all portions of the building,
(2) For purposes of reporting undersuch as heating and air conditioning systems and machinery, automatic fire
graduate enrollment trends and projeccontrol systems, public address, time
tions in connection with applications for
financial assistance for individual Instiand communication systems.
tutions under Title I of the Act, the "full(2) "Other built-in equipment" means time equivalent number of students" may all items other than "built-in building service systems," which are permanently
be defined for each State by the State
commission by specific State plan profastened to the building or the grounds,
vision. In the absence of such a definisuch as: laboratory tables connected per- tion in the applicable State plan, "fullmanently to plumbing, and other built- time equivalent number of students” for in specialized laboratory equipment; application purposes shall be the total number of full-time students plus one- with the Davis-Bacon Act, as amended third of the number of part-time stu- (40 U.S.C. 276–276a-5), and will redents. For the purposes of this defini- ceive overtime compensation in accordtion, full-time students are those carry- ance with and subject to the provisions ing at least 75 percent of a normal of the Contract Work Hours Standards student-hour load.
Act (Public Law 87-581), unless a waiver (j) "Institution of higher education," is granted by the Commissioner pursuant or "institution,” means an educational to section 403(a) of the Act; and institution in any State which meets the (b) All applicable provisions for equal requirements set forth in section 401(f) opportunity in employment, pursuant to of the Act. The term "educational insti- Executive Order 11246, will be included tution" limits the scope of this definition in all construction contracts covered by to establishments at which teaching is
the application, and all other requireconducted.
ments, imposed by or pursuant to that (k) "Project" means the facilities (all Executive order, will be complied with. or a portion of one or more structures) $ 170.3 Requirement for competitive which are eligible for grant or loan as- bidding on contracts for construction sistance under a particular title of the and for acquisition and installation Act, and for which grant or loan assist- of built-in equipment. ance is requested in a specific grant or
(a) All contracting for new construcloan application. Only facilities located
tion, and all orders for the acquisition on the same campus and for which the
and installation of built-in equipment basic construction contracts are to be
not covered by general construction conawarded at approximately the same time
tracts, shall be on a fixed price basis. may be included in the same project
Contracts for new construction and for application.
acquisition and installation of built-in (1) "State commission" means the
equipment shall be awarded on the basis State agency designated or established
of competitive bidding obtained by pubin each State pursuant to section 105(a) lic advertising (Provided, however, That of the Act.
for applications approved prior to the (m) "State plan" means the docu- publication of these regulations, the ment submitted by a State commission competitive bidding requirement may be and approved by the Commissioner, satisfied by obtaining three or more which sets forth the standards, methods, bids). and administrative procedures whereby
(b) Except where the Commissioner the State commission shall review proj- specifically approves alternative conects proposed by applicants in the State tracting procedures due to special probfor Federal assistance under Title I of lems or conditions, all contracting for the Act, and shall determine and recom- rehabilitation, renovation, remodeling, mend the relative priority of each such conversion, or improvement of existing project and the Federal share of the costs structures shall be undertaken in accordeligible for Federal financial participa- ance with the provisions of paragraph tion for each such project.
(a) of this section. $ 170.2 Requirement for compliance
(c) The concurrence of the Commiswith labor standards and equal em
sioner (including concurrence in any ployment opportunity requirements provision for prequalification of bidders) in all construction contracts.
shall be obtained before advertising for The Commissioner shall not approve
bids and before awarding any contract
for construction or for acquisition and any application for a grant or loan under the Act except upon adequate assur
installation of built-in equipment for ance that:
which grant or loan assistance under the (a) Construction contracts for the
Act is requested. construction covered by the application § 170.4 Requirement for economical will provide that all laborers and me
methods of purchase of movable chanics employed by contractors or sub
equipment. contractors in the performance of work
All movable initial equipment, the cost on construction assisted by such grant or loan will be paid wages at rates not
of which is to be charged to a project less than those prevailing on similar con
covered by a grant or loan application struction in the locality as determined by under the Act, shall be procured in an the Secretary of Labor in accordance economical
sound business practice, in accordance and all proceedings by which it estabwith such instructions as the Commis lishes relative priorities and recomsioner may from time to time prescribe. mended Federal shares for eligible proj$ 170.5 Fiscal control and fund account
ects considered as of each specified
closing date and shall retain such records ing procedures.
for at least 3 years. (a) State commissions. Each State (b) Institutions, cooperative graduate plan shall contain specific information center boards, and higher education regarding fiscal control and fund ac building agencies. All accounting reccounting procedures, as required by the
ords relating to approved projects, inCommissioner to insure proper disburse cluding bank deposit slips, cancelled ment of and accounting for Federal
checks and other supporting documents, funds which may be paid to the State purchase orders and contract awards (or commission for expenses for the proper microfilm copies thereof), shall be reand efficient administration of the State
tained intact by the applicant and, where plan.
applicable, by the applicant's building (b) Institutions, cooperative graduate agency, for audit or inspection by aucenter boards, and higher education thorized representatives of the Federal building agencies. Applicants and, where Government for a period of 3 years after applicable, their building agencies, shall completion of the project or until the maintain adequate and separate ac applicant is notified of completion of the counting and fiscal records and accounts Government's audit, whichever is later. of all funds provided from any source to pay the cost of construction (including
$ 170.7 Determination of costs eligible
for Federal participation. necessary site acquisition and equipment) covered by the grant or loan ap Determination of costs eligible for Fedplication, and audit or inspection of such eral participation will be based for each records by authorized representatives of individual project, whether application the Federal Government shall be permit is made under Title I, II, or III of the ted and facilitated by applicants at any Act, upon: (1) The date on which a reasonable time.
given cost item was incurred or con
tracted for; (2) whether the cost is an $ 170.6 Retention of records.
allowable "development cost,” as de(a) State commissions. (1) Accounts fined in section 401(c) of the Act, and and documents supporting expenditures
has been incurred in accordance with for expenses of State commissions shall the requirements set forth in these regube maintained until the State commission lations; (3) the portion of the proposed is notified of completion of Federal audits facility which is eligible under the type for the Federal fiscal year concerned. of assistance for which the application (2) Where the State commission pur
is submitted; and (4) the amount of any chases equipment items costing $50 or
financial assistance under any other Fedmore per unit, for use in the administra eral program which the applicant has tion of the State plan, inventories and obtained or is assured of obtaining for other records supporting accountability the project. for such items shall be maintained until
(a) In connection with a Title I grant the State commission is notified of the for an institution other than a public completion of the review and audit by the community college or a public technical Department of Health, Education, and institute, awarded prior to July 1, 1966, Welfare covering the disposition of such for structures, or portions thereof, which equipment.
are not especially designed for instruc(3) State commissions shall establish a
tion or research in the natural or physicomplete case file on each Title I applica cal sciences, mathematics, modern fortion received; inform applicants of
eign languages, or engineering, or for use official actions and determinations, by
as a library-any cost which was inletter or similar type of correspondence,
curred before, or under a contract enand shall retain records regarding each tered into before, November 8, 1965, shall case for at least 2 years after final action be excluded from the eligible development with respect to the application is taken cost. by the State commission. In addition, (b) For a project for which an applieach State commission shall maintain a cation was filed for the first time (under full record of all hearings on appeals pur any title of the Act) on or after April suant to section 105(a) (5) of the Act, 1, 1965, and prior to July 1, 1966, the