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college, students pursuing associate degrees, or students enrolled in terminaloccupational programs. Not included under this definition are courses which are intended primarily for meeting program requirements for students pursuing graduate degrees or first professional degrees in programs extending beyond the fifth year of college or requiring 3 or more years of previous college work for entry into the first professional degree program. Also excluded are noncredit courses and conferences. $171.2 Institutional eligibility.

To qualify for a grant under this part an institution shall meet requirements specified in subsection 801(a) of the Act. An institution which is not accredited by a nationally-recognized accrediting agency or association listed pursuant to section 801 of the Act may qualify, alternatively, by obtaining a certification from the Commissioner (dated no earlier than two years prior to the date of application for a grant) that the institution meets requirements set forth in subsection 801(a)(5) of the Act.

§ 171.3 Conditions for grant approval.

(a) Required assurances. Before approving a grant under this part, the Commissioner shall verify fulfillment of the requirements set forth in subsection 605(b) of the Act.

(b) Maintenance of effort. An assurance that an institution or branch campus will meet the maintenance of effort provision in section 604 (b) of the Act shall be supported by a comparison of the budgeted amounts for pertinent expenditures for equipment, materials and minor remodeling (as defined in paragraph (r) of § 171.1) for the Federal fiscal year in which the project application is submitted with the amount actually expended for such purposes for the preceding Federal fiscal year.

(c) Items which may be included. Projects under this part may cover only (1) laboratory and other special equipment and materials (and directly associated minor remodeling) or (2) television equipment and materials for closedcircuit direct instruction (and directly associated minor remodeling), to be used for improvement of instruction at the undergraduate level in one or more of the eligible subjects in institutions of higher education.

(d) Costs which may be included. Projects may be submitted under this

part only for the costs of acquisition (including necessary installation) of equipment, acquisition of materials, and minor remodeling which have not been and will not be incurred prior to or under contracts entered into prior to, the filing of the project application with the appropriate State commission, and the cost of engineering studies contracted for within two years prior to such date in connection with projects for closed-circuit television. Costs eligible for inclusion in the project budget shall be further limited to those which will be incurred within 12 months after the grant is approved, or under contracts entered into within such time, and, in connection with lease purchase contracts or lease agreements, to payments made within 12 months after such contracts or agreements are entered into.

§ 171.4 Submission and processing of applications.

(a) Closing dates for filing of applications. Closing dates by which applications may be filed with and accepted by the State commission shall be established in the State plan. For each category of applications (i.e., laboratory and other special equipment and materials and directly associated minor remodeling; or television equipment and materials for closed-circuit direct instruction and directly associated minor remodeling) the State plan shall provide not more than two closing dates for any Federal fiscal year. The closing dates for fiscal year 1966 shall be not later than May 31, and closing dates for subsequent fiscal years shall in all cases be between October 1 and February 15. Each State plan may provide for apportionment of the State allotments from funds appropriated for each category of applications, so that specified portions of either or both allotments become available as of specified closing dates, but such an apportionment shall not be required, and in the absence of such a provision in the State plan, the total of each allotment shall be available for grants as of the first applicable closing date in each Federal fiscal year.

(b) Submission of project applications. Applications for grants under this part shall be submitted on forms supplied by the Commissioner, and shall contain such assurances as are required pursuant to the Act and the regulations in this part. Applications shall be submitted directly to the appropriate State

commission in the number of copies specified by the State commission, together with such supplemental information as may be required by the State commission. Applications for projects of either category (i.e., laboratory and other special equipment projects or closed-circuit television projects) shall in all cases cover only a single institution or branch campus of an institution. Unless otherwise provided in the applicable State plan, not more than one laboratory and other special equipment application shall be submitted for any single institution or branch campus for a particular fiscal year. In no case may more than one closed-circuit television application be submitted for any single institution or branch campus for a particular fiscal year. The State commission shall accept all applications for grants under Part A of Title VI for institutions of higher education in the State, provided such applications are submitted on forms provided by the Commissioner, and shall officially record the date of receipt of each application by the State commission. Any application which is incomplete shall after its date of receipt is recorded, be returned promptly to the applicant with an explanation of deficiencies to be corrected before the application can be further processed by the State commission. Authorization from the Federal Communications Commission is required to construct and to operate each transmitter to be used in Instructional Television Fixed Service, as well as point-to-point microwave relay devices. In any case where a closedcircuit television project involves equipment requiring such authorization (s), the applicant shall be required to include documentary evidence either: (1) That the applicant holds such authorizations, or (2) that an application for such authorization has been accepted for filing by the Federal Communications Commission.

(c) Verification of application data and institutional and project eligibility. Before determining the relative priority or Federal share for any application for grant assistance under title VI of the Act, the State commission shall verify the validity of data contained in the application, and shall verify that the institution and the project appear to meet basic eligibility requirements set forth in the Act and the regulations governing the administration of the Act. In any case where in the opinion of the State

commission a question exists as to the eligibility of an institution or of a project, the State commission shall promptly forward a copy of the application to the Office of Education for a clarification of such eligibility. In any such case, the State commission shall continue to process and rank such application as if it were eligible, but shall delay final action on all applications under the same category considered as of the same closing date until receipt of notification by the Office of Education of the disposition of the eligibility question.

(d) Determination of relative priorities and Federal shares. All applications received by each specified closing date, and verified by State commission review to be accurate and complete, shall be considered together (projects for laboratory and other special equipment and materials will be considered separately from projects for television equipment and materials) and assigned relative priorities and recommended Federal shares in accordance with the provisions of the State plan.

(e) Procedures where funds are insufficient to provide full Federal shares for all eligible projects. In any case where the funds available in a State allotment for projects considered as of a particular closing date are insufficient to cover all eligible applications, the State commission shall nevertheless determine the full Federal share, calculated according to the State plan, for all projects in their order of relative priority, until the remaining available funds are insufficient to provide the full Federal share as calculated for the next project in order of priority.

(1) In such cases occurring for the first closing date in a Federal fiscal year, where a second closing date is provided under the State plan and the allotment is approtioned between the closing dates, all projects for which the full Federal share as calculated cannot be provided for by the available funds, together with the remainder of the funds apportioned to the first closing date, shall be carried over to the second closing date: Provided, however, That a State plan may specify, as an alternative procedure, that sufficient funds will be made available immediately from the funds apportioned to the second closing date, so that the full Federal share as initially calculated will be available for the first project for

which only a part of the Federal share would otherwise have been available.

(2) In such cases occurring for the second closing date in a Federal fiscal year, or where all funds in the State allotment are apportioned to the first closing date or where only a single closing date is provided, the amount of the remaining funds shall be offered as a reduced Federal share for the first project in order of relative priority for which less than the full Federal share as calculated is available. An applicant offered such a reduced Federal share shall be entitled to reduce the scope of the project to a level not less than that required to qualify under the State plan for such a Federal share amount.

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(f) Recommendation by State commissions. Promptly upon completing its consideration of applications as of each closing date, and no later than June 10 of the Federal fiscal year 1966 and March 31 of subsequent fiscal years, each State commission will forward to the Commissioner: (1) A current project port, on forms supplied by the Commissioner, for the pertinent category of applications, listing each application received for the particular fiscal year, each application returned to the applicant and the reason for return of such application, each application considered as of the closing date, and the priority and Federal share determined according to the State plan for each project considered; and (2) the application form and exhibits in the number of copies requested by the Commissioner, for each project assigned a priority high enough to qualify for a Federal grant within the amount of funds available in the allotment for the State.

(g) Notification to applicants. The State commission shall promptly notify each applicant of the results of all final determinations regarding its application as of each closing date, and the records of official State commission proceedings shall be a matter of public record within the State.

(h) Disposition of applications which are not recommended for grants. Applications which are not recommended for a grant within the fiscal year in which they are filed, shall be retained by the State commission until notified that all recommended applications for such fiscal year have been approved by the Commissioner. New applications shall be required to be filed each fiscal year for any project which does not receive a

recommendation for a grant and which the applicant desires to have reconsidered in a subsequent year.

(1) Offer and acceptance of grant. For a project application which meets all eligibility requirements the Commissioner will approve the application and reserve Federal funds from the appropriate State allotment and will prepare and send to the applicant a grant award, which sets forth the pertinent terms and conditions, and which is contingent upon acceptance by the applicant within a specified period of time. The accepted grant award will constitute a formal grant agreement between the Commissioner and the applicant, for completion of the project and for Federal grant participation in the eligible costs of the project, according to the conditions contained therein.

(j) Amendment of project applications. Any time prior to a closing date for which an application is to be considered, the applicant may make changes in the application by written notification to the State commission. After any such closing date, no changes in applications shall be permitted, except corrections or submission of additional data as requested by the State commission and reductions in project scope as provided for in paragraph (e) of this section. Budgets for projects as approved, and the amount of Federal participation based thereon, shall be based upon tentative equipment lists which will be required with each application. Applicants may, however, without amending their applications, substitute other eligible items which are similar in nature and are in line with the plan for improvement of undergraduate instruction set forth in the application as originally approved. Approval by the Commissioner shall be required for changes of more than ten percent in the amount budgeted under the project for the improvement of instruction in any particular eligible subject. Once an application has been recommended for a grant by a State commission, no increase in recommended Federal grant funds for the particular project will be considered, except where funds become available to supplement reduced Federal shares for projects for which the full Federal share calculated under the State plan was not available at the time the project application was recommended by the State commission. [31 F.R. 4795, Mar. 22, 1966, as amended at 31 F.R. 7128, May 14, 1966]

§ 171.5

Criteria for standards and methods to determine relative priorities of eligible projects.

(a) Each State plan shall set forth separately the standards and methods for determining the relative priorities of eligible projects for: (1) Acquisition of laboratory and other special equipment and materials; and (2) television equipment and materials for closed-circuit direct instruction.

(b) The standards applicable to projects for acquisition of laboratory and other special equipment and materials shall in every case include the following, each of which shall be assigned at least the indicated percentage of the total point scores possible for all standards applicable to such projects:

(1) The average of the basic educational and general expenditures per semester credit hour equivalent (with priority advantage given to lower averages), at the institution or branch campus for which the project is submitted, for the three completed institutional fiscal years (or for the completed years, if less than three) immediately preceding the closing date for which the application is filed with the State commission (at least 25 percent of total weight).

(2) Whether or not the equipment and materials to be purchased under the project are to be placed and used in: (i) Existing classrooms (as defined in paragraph (g) of § 171.1) or audiovisual centers; or (ii) classrooms (as defined in paragraph (g) § 171.1) or audiovisual centers to be made available by new construction and/or by major rehabilitation or conversion of existing facilities. Points for this standard shall be awarded according to the percentage of the total equipment and materials budget which is for equipment and materials to be placed and used in existing classrooms or audiovisual centers, with maximum points awarded for projects for which 100 percent of the budget is for such purposes (at least fifteen percent of total weight).

(3) The capacity/enrollment ratio (as defined in paragraph (f) of § 171.1) at the institution or branch campus for which the project is submitted, as of the fall term which opened preceding the closing date for which the application is filed (at least ten percent of total weight, with priority advantage given to lower ratios.)

(c) The standards applicable to projects for acquisition of television equip

ment and materials for closed-circuit direct instruction shall in every case include the standards listed below, each of which shall be assigned at least the indicated percentage of the total point scores possible for all standards applicable to such projects.

(1) The average of the basic educational and general expenditures per semester credit hour equivalent (with priority advantage given to lower averages) at the institution or branch campus for which the project is submitted, for the three completed institutional fiscal years (or for the completed years, if less than three) immediately preceding the closing date for which the application is filed with the State commission (at least 25 percent of total weight).

(2) The ability of the applicant to effectively utilize educational television as evidenced by the number of planned additional undergraduate level courses to be programed for closed-circuit instruction at the institution or branch campus covered by the project as of the opening of the second fall term after the fall term which opened preceding the closing date for which the application is filed (with higher priority value awarded for a greater number of additional courses to be programed). As used here, "course" means a particular course offering (such as "English I") rather than an individual section of the same course (at least 15 percent of total weight).

(3) The ability of the applicant to effectively utilize educational television as evidenced by the projected number of additional student enrollments in undergraduate level courses to be programed for closed-circuit instruction at the institution or branch campus covered by the project as of the opening of the second fall term after the fall term which opened preceding the closing date for which the application is filed (at least ten percent of total weight, with higher priority value awarded to a greater number of additional student enrollments).

(d) The State plan may include additional standards for determining relative priorities of either category of projects, which are not inconsistent with the criteria set forth in paragraphs (b) and (c) of this section and which will carry out the purposes of the Act.

(e) The methods for application of the standards shall provide for the assignment of point values for each standard

applied, and shall provide specific objective methods for determining the number of points which each application considered shall be awarded for each standard. Unless otherwise provided for in the State plan, applications for institutions or branch campuses which have not been in operation for at least one academic year preceding the academic year in which the application is filed shall receive one-half of the points provided in the State plan for the standards required by paragraphs (b) (1) and (3) and (c)(1) of this section. Except as provided in paragraph (b) (2) of this section, the assignment of points for each standard may be by any one of the following methods, or by similar objective methods, a different one of which may be used in connection with each standard:

(1) Applications may be ranked according to relative performance for the standard, and assigned a point score for relative rank (e.g., 10 points for placement in the highest 10 percent, 9 points for placement in the second highest 10 percent, 8 points for placement in the third highest 10 percent, etc.).

(2) Applications may be compared to a scoring table for the standard and assigned points accordingly (e.g., for capacity/enrollment ratio, a scoring table might provide for 10 points for a ration of 100 or less, 9 points for a ratio of 101 to 150, 8 points for a ratio of 151 to 200, 7 points for a ratio of 201 to 250, 6 points for a ratio of 251 to 300, 5 points for a ratio of 301 to 350, etc.). In connection with standards required by paragraphs (b) (1) and (3) and (c) (1) of this section, State plans may provide for separate scoring scales for applications for different sizes or different educational or functional types of institutions or branch campuses, if such tables are supported by objective normative data based on recent research and analysis.

(3) Applications may be compared to a fixed requirement for the standard, and assigned points if they meet the requirement or denied points if they do not. This type of scoring should be used where comparison against the standard involves a "yes-no" decision.

(f) The method for application of the standards shall provide also for determination of relative priorities on the basis of the total of the points earned by each application for each applicable standard and shall specify factors to be

applied in determining which application shall receive the higher priority in the case of identical scores for applications where funds available in the applicable State allotment are insufficient to provide full Federal shares for both or all of the tied applications.

(g) The standards and methods for determining relative priorities must be developed on the basis of information which is to be submitted on the application form prescribed by the Commissioner, required by the State commission to be submitted in connection with the filing of an application, or contained in reports or publications readily available to the State commission and the institutions within the State. In no event shall an institution's readiness to admit outof-State students or the number of such out-of-State students be considered as a priority factor adverse to such institution, and in no event may the nature of the control or sponsorship of the institution be considered as a priority factor either in favor of, or adverse to, an institution.

§ 171.6

Criteria for standards and methods to determine Federal shares of eligible projects.

(a) Each State plan shall set forth separately the standards and methods for determining the Federal shares of eligible projects for: (1) Acquisition of laboratory and other special equipment and materials; and (2) television equipment and materials for closed-circuit direct instruction. Except as provided in paragraph (b) of this section, the Federal share to be provided for by such standards and methods shall not exceed 50 percent of the project cost.

(b) The State plan may provide for Federal shares of up to 80 percent of the project cost for institutions proving insufficient resources to otherwise participate in the program under this part and inability to acquire such resources. Any such provision in a State plan shall include specification of objective criteria which will have to be satisfied before such a determination will be made by the State commission. The Federal share may in no case be increased above 50 percent except where such provisions are included in the State plan as approved.

(c) Standards and methods for determining the Federal share pursuant to paragraphs (a) and (b) of this section: (1) Must be objective and simple to apply; (2) may involve the use only of

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