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data which are 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 of higher education within the State; (3) must be such as will enable an applicant to calculate in advance (on the assumption that suficient funds will be available to cover all applications) the estimated Federal share which the State commission will certify to the Commissioner if it recommends the project for a Federal grant; and (4) must be consistent with the criteria pubUshed by the Commissioner with respect to the determination of relative priorities among projects and be promotive of the purposes of title VI. $ 171.7 Fiscal control and fund account
ing procedures. (a) State commissions. Each State plan shall contain specific information regarding fiscal control and fund accounting procedures, as required by the Commissioner to ensure proper disbursement of and accounting for Federal funds which may be paid to the State commission for expenses necessary for the proper and efficient administration of the State plan.
(b) Institutions. Applicants shali maintain adequate and separate accounting and fiscal records and accounts of all funds provided from any source to pay the cost of equipment, materials, and minor remodeling for each approved project, and audit of such records by the Commissioner's designated representatives shall be permitted and facilitated by applicants at any reasonable time. In addition, applicants shall make available for audit purposes financial accounting records and analyses which substantiate the total amount of pertinent expenditures for equipment, materials and minor remodeling for the particular institution or branch campus for the Federal fiscal year in which the grant is awarded, as well as the total amount of such expenditures for the preceding fiscal year. § 171.8 Retention of records.
(a) State commissions. (1) Accounts and documents supporting expenditures for expenses of State commissions shall be maintained until notification of com
pletion of Federal audits for the Federal fiscal year concerned.
(2) State commissions shall: Establish a complete case file on each application received; inform applicants of official actions and determinations, by letter or similar type of correspondence; and retain records regarding each case for at least 2 years after final action with respect to the application is taken by the State commission. In addition, each State commission shall maintain a full record of all proceedings by which it establishes relative priorities and recommended Federal shares for eligible projects considered according to each specified closing date and shall retain such records for at least 2 years after each such closing date.
(b) Institutions. All accounting records relating to approval projects and to verification of the applicant's maintenance of effort, as specified in paragraph (b) of $ 171.7, including bank deposit slips, cancelled checks and other support. ing documents and contract awards (or microfilm facsimiles thereof), shall be retained intact by the applicant for audit or inspection by authorized representatives of the Federal government for a period of 3 years after completion of the project or until the applicant is notified of the government's audit, whichever is later. § 171.9 State plang.
(a) The Commissioner shall approve a State plan only after he has received satisfactory assurance and explanation regarding the basis on which the State commission submitting the plan meets the requirements of section 601 of the Act. A State plan submitted in accordance with section 601 of the Act shall be submitted on forms or in a format supplied by the Commissioner and shall contain all provisions required by the Commissioner pursuant to section 603 of the Act and other sections of the regulations In this part, together with such additional organizational and administrative information as the Commissioner may request.
(b) All proposed amendments to the State plan shall be submitted to the Commissioner for his approval in such form and in accordance with such instructions as are established for that purpose. Such amendments shall apply uniformly to all applications to be considered together as of any closing date, and, unless otherwise provided in the State plan, shall be
come effective immediately upon ap pleted project and related financial proval by the Commissioner, except that accounts. in no event shall any amendment which (c) In any case where the costs eligible affects the standards and methods for for Federal participation, as determined determining priorities or Federal shares by the final audit, exceed those provided or any amendment providing for an for in the grant agreement for the projadditional closing date or for the change ect, the Federal share entitlement of the in an existing closing date become effec applicant shall be limited to that protive sooner than 60 days after the date vided by the grant agreement. the proposal to make such amendment
(d) In any case where the costs is received by the Commissioner and 30 eligible for Federal participation, as dedays after the date of the Commissioner's termined by the final audit, are less than approval of the amendments as a part of those provided for in the grant agreethe State plan: Provided, however, That ment, the Commissioner shall redeteramendments which are required by mine the amount of the Federal share amendments of the Act or are designed entitlement of the applicant in accordto promptly implement amendments of ance with the maximum Federal share the Act may be made effective immedi which would have been recommended for ately upon their approval by the Com the project, based on the lesser eligible missioner.
cost, under State plan provisions in effect § 171.10 Requirement for economical
at the time the project was recommendmethods of purchase.
ed for a grant, if sufficient funds had
been available in the State allotment at All equipment, materials, and minor
that time to provide the maximum posremodeling work, the cost of which is to
sible Federal share provided for by the be charged to an approved project, shall be procured in an economical manner
plan under such circumstances. If such consistent with sound business practice.
redetermined Federal share entitlement Proposed methods of purchase shall be
is less than the amount provided in the set forth by the applicant as part of each grant agreement, the grant shall be reproject application, and shall include duced accordingly, and any overpayment specific justification for any proposal to of Federal funds, plus any interest follow procedures other than open, com earned thereon, shall immediately be due petitive bidding.
to the Government of the United States. § 171.11 Determination of costs eligible
If such redetermined Federal share is for Federal participation.
equal to or greater than the amount of
the Federal share provided in the grant (a) Costs eligible for Federal participation in connection with any project
agreement, the final settlement shall be shall include only those costs to the ap
based on the Federal share amount proplicant which are determined to be eli
vided in the grant agreement. gible in accordance with paragraphs (c) 171.12 Payment of grant funds on and (d) of $ 171.3, are consistent with the
approved projects. plan for improvement of undergraduate instruction set forth in the approved ap
The Commissioner shall provide for plication, are incurred in an economical payment of grant funds for the project manner consistent with sound business pursuant to such methods as the Compractice, and are for items which are not missioner determines will best make the overly elaborate or extravagant. Ex funds available as needed and eliminate penditures in which Federal participa
unnecessary expense to the Federal tion is claimed also may include the cost
Government. of raw or processed materials or component parts to be made into finished PART 173— FINANCIAL ASSISTANCE products or into complete equipment FOR COMMUNITY SERVICE AND units, including the cost (above and be
CONTINUING EDUCATION PROyond salaries of any regular employees
GRAMS of the applicant) of making and assembling such equipment.
Subpart A-Definitions and Program Outline (b) Such determinations shall be finally made by the Commissioner at the 173.1 Definitions. time a final audit is made of the com 173.2 Program outline.
Subpart B-State Plan: Submission, Subpart A-Definitions and Program
& 173.1 Definitions, 173.4 Submission of State plan and annual
As used in this part: amendments.
(a) “Act” means the Higher Educa173.5 Amendments to State plan.
tion Act of 1965 (P.L. 89–329, 79 Stat. 173.6 Approval of State plan; noncompli
1219, 20 U.S.C. 1001). ance; judicial review.
(b) "Commissioner" means the U.S. 173.7 Ineligible programs.
Commissioner of Education, Department 173.8 Relation to other Federal programs.
of Health, Education, and Welfare. Subpart C-State Plan Provisions
(c) “Community service program"
means an educational program, activity, 173.9 Administrative information.
or service offered by an institution (5) 173.10 Policies and procedures for selection
of higher education and designed to of community problems.
assist in the solution of community prob173.11 Policles and procedures for selection
lems in rural, urban, or suburban areas of institutions.
with particular emphasis on urban and 173.12 Annual program plan.
suburban problems. "Community serv173.13 Fiscal assurances.
ice program” may include but is not lim173.14 Fiscal procedures.
ited to a research program, an extension 173.15 Institutional assurance.
or continuing education activity, or a 173.16 Policies and procedures for State
course, provided, however, that such agency administrative review and
courses are extension or continuing eduevaluation.
cation courses and are either fully ac173.17 Transfer of funds to participating
ceptable toward an academic degree, or institutions. 173.18 Accounting bases for expenditures,
of college level as determined by the in
stitution offering such courses. 173.19 Certification of State plan. 173.20 Reports.
(1) "Educational service" means an
aspect of the community service program Subpart D-Federal Financial Participation involving the resources of an institu173.21
tion(s) of higher education, including Federal financial participationgeneral.
equipment and library materials used in 173.22 Required certification by State
support of efforts to solve community agency,
problems. 173.23 Fiscal year to which an expenditure
(2) "Educational research program" is chargeable.
means an experimental activity or dem173.24 Effective date for allowable expendi
onstration carried out on an objective tures.
and systematic basis using the resources 173.25 Proration of costs.
of an institution(s) of higher education 173.26 Deviation from estimates.
to identify and develop new, expanding, 173.27 ligible costs.
or improved approaches to the solution 173.28 Fiscal audits.
of community problems. 173.29 Retention of records.
(3) "Extension and continuing educa. 173.30 Disposition of equipment.
tion” refers to the extension and con
tinuance of the teaching and research Subpart E-Payment Procedures
resources of an institution of higher ed. 173.31 Federal payment to a State.
ucation to meet the unique educational 173.32 Continuing authorization of pay- needs of the adult population who have ment.
either completed or interrupted their 173.33 Adjustments.
formal training. Instructional methods 173.34 Reallotment.
include, but are not limited to, formal 173.35 Interstate transfer of allotments, classes, lectures, demonstrations, coun173.36 Interest on Federal funds.
seling and correspondence, radio, tele173.37 Termination of program.
vision, and other innovative programs AUTHORITY: The provisions of this part
of instruction and study organized at 8 173 issued under sec. 803(a), 79 Stat. 1270; 20
time and geographic location enabling U.S.C. 1143.
Individuals to participate. Programs of
continuing and extension education asSOURCE: The provisions of this Part 173 sist the individual to meet the tasks imappear at 31 F.R. 6662, Apr. 8, 1966, unless posed by the complexities of our society otherwise noted.
in fulfiling his role in the world of work,
as an informed and responsible citizen, Columbia, Guam, American Samoa, and and in his individual growth and devel- the Virgin Islands. opment.
(k) "State agency or institution" or (d) “Department” means the Depart- “State agency" means the State agency
State institution ment of Health, Education, and Welfare.
designated or (e) "Fiscal year" means the period
created pursuant to section 105(a) of the
Act and § 173.3. beginning on the first day of July and ending on the following June 30, and is
§ 173.2 Program outline. designated by the calendar year in which
The program described in this part the fiscal year ends.
shall be administered by the State agency (f) “Institution of higher education"
or institution pursuant to a State plan means an educational Institution in any
developed and submitted through the State which (1) admits as regular stu
State agency or institution and approved dents only persons having a certificate
by the Commissioner. The State plan of graduation from a school providing
shall set forth a comprehensive, coordisecondary education, or the recognized
nated, and statewide system of comequivalent of such a certificate, (2) is
munity service programs designed to legally authorized within such State to
assist in the solution of community probprovide a program of education beyond
lems in rural, urban, or suburban areas secondary education, (3) provides an
(with particular emphasis on urban and educational program for which it awards suburban problems), such as, but not a bachelor's degree or provides not less limited to, housing, poverty, Governthan a 2-year program which is accept- ment, recreation, employment, youth opable for full credit toward such a degree, portunities, transportation, health, and (4) is a public or other nonprofit institu
land use, by utilizing the resources of intion, and (5) is accredited by a na
stitutions of higher education. The State tionally recognized accrediting agency
plan and necessary amendments thereof,
once approved by the Commissioner, shall or association as determined by the
constitute the basis on which Federal Commissioner or, if not so accredited, is
payments will be made as well as the an institution whose credits are
basis for determining the propriety of cepted, on transfer, by not less than three
expenditures by the State and particInstitutions which are so accredited, for ipating institutions in which there is credit on the same basis as if transferred Federal participation. from an institution so accredited. Such
Subpart B--State Plan: Submission, term also includes any business school
Amendments, Approvals or technical institution which meets the provisions of subparagraphs (1), (2), & 173.3 State agency or institution. (4), and (5) of this paragraph.
(a) The State shall designate or (g) "Nonprofit institution" means an
create a single State agency or instituInstitution owned and operated by one tion to develop, submit, and administer or more nonprofit corporations or asso- and/or supervise the administration of ciations no part of the net earnings of the State plan. The agency or institution which Inures, or may lawfully inure, to so designated or created shall include the benefit of any private shareholder
individuals who have special qualificaor Individual.
tions or experience in working with and (h) "School or department of divin
solving community problems, and who ity" means an institution, or a depart
are broadly representative of Institutions
of higher education in the State, pubment or branch of an institution, whose
lic and private, which are competent to educational program is specifically de- offer community service programs. The signed to prepare students to become State may, however, designate an existministers of religion, to enter upon some ing State agency or institution which other religious vocation, or to teach theo- does not meet the above requirements, logical subjects.
provided that (1) the State agency or (1) "Secretary” means the Secretary of institution takes such action as necessary Health, Education, and Welfare.
to acquire such qualifications and to (j) “State" includes, in addition to the assure participation of such institutions; several States of the Union, the Common- or that (2) the State designates or wealth of Puerto Rico, the District of creates a State advisory council which
meets the requirements not met by the designated State agency or institution to consult with the designated State agency or institution in the preparation of the State plan and necessary amendments thereto and in connection with any policy matters arising in the administration of the plan.
(b) Prior to submission of a State plan, the State shall submit to the Commissioner a satisfactory assurance and explanation regarding the basis on which the requirement of this section and section 105(a) of the Act are met. The State shall also designate the official of the State agency or institution with whom the Commissioner is to communicate for purposes of Title I of the Act.
(c) The State agency or institution shall notify the Commissioner within 15 days of changes in the composition of either the State agency or institution, or the State advisory council, if any, affecting its special qualifications with respect to solving community problems or its being broadly representative of institutions of higher education in the State, public and private, which are competent to offer community service programs. & 173.4 Submission of State plan and
annual amendments. (a) A State plan shall be submitted by the duly authorized officer of the State agency or institution for approval by the Commissioner. For the fiscal year 1966, the information required by § 173.12 shall be submitted with the original State plan. The State plan must be amended prior to September 1, 1966, for the fiscal year 1967 and thereafter prior to the commencement of each fiscal year for which funds are requested, in order that the State plan will currently set forth the information required by § 173.12. This amendment shall be signed and certified in the same manner as the original plan submitted and shall become effective upon approval by the Commissioner. (For procedure on other amendments, see $ 173.5.)
(b) Notwithstanding the approval of a State plan during any prior year, unless and until the annual amendment has been submitted by the State agency or institution and approved by the Commissioner there is no basis upon which new commitments may be made by the State agency.
§ 173.5 Amendments to State plan.
In addition to the annual amendment required under § 173.4, the State plan shall be appropriately amended whenever there is any material change in the designation of the State agency, the content or administration of the State plan, or when there has been a change in pertinent State law. Such amendment shall clearly indicate the changes and shall be signed and certified in the same manner as the original plan submitted and shall become effective upon approval by the Commissioner. $ 173.6 Approval of State plan; non
compliance; judicial review. (a) The Commissioner shall approve any State plan or amendment thereof which complies with the provisions set forth in the Act and this part. (For effective date of State plan, see § 173.24.) No plan, or amendment thereof, shall be finally disapproved until the State agency or institution submitting the plan is afforded reasonable notice and opportunity for a hearing.
(b) Where the Commissioner, after giving reasonable notice and opportunity for a hearing to the State agency or institution administering a State plan approved under section 105 (b) of the Act, finds that (1) the State plan has been so changed that it no longer complies with any provision of section 105(a) of the Act, or that (2) in the administration of the plan there is a failure to comply substantially with any such provision, the Commissioner shall notify the State agency that the State is no longer regarded as eligible to participate in the program until the Commissioner is satisfied that there is no longer any such failure to comply.
(c) Final actions of the Commissioner with respect to approval of a State plan or amendment thereto, or changes in or noncompliance with an approved State plan or amendment thereto are subject to judicial review, pursuant to section 108 of the Act. § 173.7 Ineligible programs.
No payment may be made from a State's allotment under this part for (a) any community service program which relates to sectarian instruction or religious worship or (b) any community service program which is provided by a school or department of divinity. An institution of higher education which has a school, branch, department or