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other administrative unit within the applications submitted by institutions of definition of "school or department of higher education interested in particidivinity" as set out in § 173.1(h), is not pating in this program, and shall insure precluded for that reason from partici that adequate notice of the selected compating in the program described in this munity problem(s) for the solution of part, if the community service program which financial assistance under this is not offered by that school, branch, de program shall be used, will be given to partment, or administrative unit and, institution(s) of higher education which as in all other cases, the community might qualify for participation. The service program is not related to sec State agency or institution shall inditarian instruction or religious worship. cate the criteria which will be used in
selecting institutions of higher education § 173.8 Relation to other Federal pro
for participation and the consideration grams.
which will be given to the following: Nothing in this part shall be construed (a) Whether the program, service, or to mean that a proposed program shall activity proposed to be undertaken by an be excluded from participation on the institution of higher education is specif. basis that it would also be eligible to ically designed to directly assist in the receive financial assistance under an solution of urban, rural, or suburban other Federal program.
problems with special emphasis upon
urban and suburban problems; Subpart C—State Plan Provisions
(b) Whether the relative capacity and § 173.9 Administrative information. willingness of the particular institu
tion(s), public or private, will be utilized The State plan shall contain a state to provide effective community service ment of the name of the designated or
programs; created State agency or institution and
(c) Whether the program, service, or of the official to whom communications
activity will effectively utilize the special shall be directed; and an assurance that resources of the institution(s) of higher the agency or institution so designated
education and its faculty; or created shall be the sole agency for
(d) Whether the program, service, or administration of the plan or for super
activity will be consistent with the overvision of the administration of the plan,
all educational program of the instituand that such agency or institution shall
tion(s) of higher education; consult with any required State advisory
(e) Whether a single community servcouncil with respect to policy matters arising in the preparation and adminis
ice program will be undertaken by two tration of the plan.
or more institutions of higher education
within the State or by or with one or § 173.10 Policies and procedures for more institutions in other States; and selection of community problems.
(f) Whether the results of periodic, The State plan shall contain a general
objective and systematic evaluations of statement setting forth the policies and
the programs, services, and activities will procedures which will be followed by
be considered in the light of information the State agency in selecting those com
regarding current and anticipated community problem(s) or specific aspects
munity problems. thereof for the solution of which Federal
§ 173.12 Annual program plan. funds allotted under this program will be used. The statement shall describe (a) The annual program plan shall be any general methods and/or criteria submitted as an amendment on an anwhich the State agency has determined nual basis as required under $ 173.4. will be used in making such selection(s). (b) The annual program plan submis§ 173.11 Policies and procedures for
sion shall contain a statement describing selection of institutions.
the specific aspects of the comprehensive, The State plan shall contain a state
coordinated, and statewide system of ment of the policies and procedures to be
community service programs for which used in selecting the institution(s) of
financial assistance is requested, and the higher education for participation under
basis for the selection of the community the State plan. This statement shall de service programs. The description of the scribe the policies and procedures to be method followed by the State agency in used in connection with the review of determining the community problem(s)
or aspects thereof to be solved shall in- grams, activities, and services in detail dicate that, and the degree to which: and cost estimates for each, in lieu of the
(1) The State agency has consulted descriptions required under the above with representative community leaders, paragraph. associations, and organizations, and with (e) If a State indicates a desire to representatives of institutions of higher solve community problems other than education;
those possible under its allotment, it may (2) Due consideration has been given indicate such problems with the same to the existence of other federally specificity as given those presently to be financed programs dealing with similar undertaken and give the priority of imand other community problems in the portance and the basis therefor together State and coordination with those pro- with budgetary estimates of each programs, particularly in determining pri- gram, service, or activity. Such proorities of problems;
grams, services, and activities will be (3) Due consideration has been given considered for reallocation of funds as to the resources of institutions of higher provided for under section 103(b) of the education especially relevant or adapta- Act and § 173.34. ble to develop and carry out community service programs related to the commu
§ 173.13 Fiscal assurances. nity problems selected;
The State plan shall contain: (4) Due consideration has been given
(a) A statement of the policies and to the relationship of the aspect of the community problem(s) selected for solu
procedures designed to assure that Fed.
eral funds allotted to the State for the tion to other significant community problems in the State; and
program described in this part will not
be used to supplant State or local funds, (5) Other criteria have been used in
or funds of institutions of higher educaselecting community service problems to be included under the program.
tion but to supplement and, to the ex(c) In describing the particular com
tent practicable, to increase the amount
of such funds that would otherwise be munity problem(s) and the aspects
made available for community service thereof that the State will attempt to
programs. solve, the State plan shall indicate, spe
(b) A statement of assurance that the cifically, the part of the overall problem(s) with which each particular
State agency will, prior to approval of program will be concerned; the scope,
any community service program under prevalence, complexity, duration, and
the plan, provide the certification reother appropriate specific aspects of the
quired under $ 173.22. problems; and the relationship between
§ 173.14 Fiscal procedures. the types of activities proposed and similar tyes of existing or contemplated ac- The State plan shall contain: tivities in the State. The statement
(a) A statement setting forth such shall also indicate whether the prob
fiscal control and fund accounting prolem(s) and specific aspects thereof exist cedures as may be necessary to assure in all types of communities or whether proper disbursement of and accounting they are of general significance to the for Federal funds paid to the State, inState as a whole although not specifical- cluding such funds paid by the State to ly manifested in all communities thereof. institutions of higher education. Such The statement shall also indicate the procedures shall be in accordance with approximate amount from the State's applicable State law and regulations allotment that the State agency esti- which shall be set forth in the plan or mates will be required in order to carry an appendix thereto and shall assure out each type of program which will be that accounts and supporting documents undertaken in attempting to solve these relating to any program involving Fedproblems.
eral financial participation shall be (d) As an alternative, if a State has adequate to permit an accurate and exdetermined the programs, activities, and peditious audit of the program. services which will be undertaken pur- (b) A statement assuring that all exsuant to its plan to assist in the solution penditures of institutions of higher eduof the community problems selected as cation claimed for Federal financial part of a comprehensive, coordinated, participation or matching purposes or and statewide system of community serv- for any other purpose relevant to the ice programs, it may set forth such pro program described in this part will be
audited either by the State or by appro prior to actual expenditures; or (c) a priate auditors; and indicating, if the combination of reimbursements and adaudit is to be conducted at the institu vances. The State plan shall provide tional level, how the State agency will that when, under any payment procesecure information necessary to assure dure, the State agency determines that proper use of funds expended under the an overpayment has been made, adjustAct by such institutions of higher edu ments shall be made by repayment or by cation.
setoff against payment thereafter. § 173.15 Institutional assurance.
§ 173.18 Accounting bases for expendi
tures. (a) The State plan shall contain a
(a) State statement of assurance that, prior to ap
level expenditures. The proval of any community service pro
State plan shall specify the particular acgram under the plan, each institution of
counting basis (cash, accrual, or obligahigher education proposing such com
tion) used by the State agency and shall
set forth the relevant State laws, rules, munity service program shall submit to
and regulations. the State agency a certification:
(Accounting practices (1) That the proposed program is not
relating to payments to participating inotherwise available;
stitutions are described in § 173.23(b).) (2) That the conduct of the program
(b) Participating institutions expendior performance of the activity or service
tures. The State plan shall provide that is consistent with the institution's over
the State agency will be responsible for all educational program and is of such a
ascertaining the accounting practice of nature as is appropriate to the effective
each Institution at the time of its selecutilization of the institution's special re
tion for participation under the State sources and the competencies of its
plan and for maintaining such informafaculty; and
tion in the State agency. (3) That, if courses are involved, such § 173.19 Certification of State plan. courses are extension or continuing education courses and (1) that they are
(a) The State plan shall include as a fully acceptable toward an academic de
part or appendix thereto: gree, or (ii) that they are of college
(1) A certification by the official of the level as determined by the institution
State agency authorized to submit the offering the courses.
State plan that the plan (or amend(b) Copies of the certification required
ment) has been adopted by the State by paragraph (a) of this section shall be agency and will constitute the basis for maintained by the State agency and
operation and administration of the promade available to the Commissioner upon
grams described therein; request.
(2) A certification by the appropriate
State legal officer that the State agency § 173.16 Policies and procedures for named in the plan is the sole State State agency administrative review
agency for the preparation and adminisand evaluation.
tration or supervision of the administraThe State plan shall contain a state
tion of the plan, and has authority under ment of the policies and procedures to
State law to develop, submit, and adbe followed by the State agency in mak
minister or supervise the administration Ing periodic, systematic and objective ad of the plan and that all the provisions ministrative reviews and evaluations in
contained in the plan are consistent with order to evaluate the status and progress
State law. of particular programs in terms of the (b) Citations to, or copies of, all releannual program proposals and overall vant statutes, regulations, court deci. objectives stated in the plan.
sions, and directly pertinent policy § 173.17 Transfer of funds to partic
statements or interpretations of law by
appropriate State officials shall be furipating institutions.
nished as part of the plan. The State plan shall contain a state
173.20 Reports. ment of the policies and procedures to be followed in determining, for each in The State plan shall provide that the stitution selected for participation under State agency will make and submit to the the plan, whether payment of funds shall Commissioner the reports listed below be made (a) as a reimbursement for ac. in accordance with procedures estabtual expenditures; (b) as an advance lished by the Commissioner; and that the
State agency will maintain such records, amount, there shall be excluded any afford such access thereto, and comply amounts received for the same purpose with such other provisions as the Com- under any other Federal program and missioner may find necessary to substan- the matching funds required therefor. tiate and/or verify the information con- Where fees, if any, exceed the non-Fedtained in the reports.
eral share of the cost of the program, as (a) An estimated budget itemizing the determined above, the Federal share shall amount of funds which have or will be be reduced by the amount of this excess. required by the State agency for devel- (b) No payment for any fiscal year oping and administering the State plan, will be made, however, with respect to to be submitted at the time of the sub- expenditures for developing or adminmission of the original state plan and istering the plan by the State agency thereafter concurrently with the annual which exceed 5 percent of the total eliamendment of the state plan;
gible costs for that year or $25,000, (b) A detailed statement, describing whichever is greater. the proposed operation of each community service program, to be submitted
8 173.22 Required certification by State
agency. immediately upon approval of said program by the State agency;
As a condition to receipt of any pay(c) The certification required under ments under the program described in $ 173.22;
this part, the State agency must submit (d) A progress report, containing an to the Commissioner, both at the time evaluation of each approved community that it initially determines the instituservice program and indicating total ex- tions of higher education to participate penditures incurred in each such pro- under the State plan, and each time that gram as of the date of evaluation, to be it approves a new program involving an submitted on a semiannual basis;
institution not previously participating, (e) A report of the total amount a certification that all institutions parcharged against the state's allotment ticipating under the plan will together during a particular fiscal year, to be sub- have ailable during that year from mitted at the close of the fiscal year; non-Federal sources for expenditure for
(f) An annual report containing an extension and continuing education evaluation of the State plan program programs not less than the total amount and its administration in terms of the actually expended by those institutions plan provisions and program objectives; for extension and continuing education
(g) A copy of any independent evalua- programs from such sources during the tions of the State plan, its program, ob- fiscal year 1965, plus an amount which jectives and/or administration, or of any is not less than the non-Federal share other nature, if obtained by any State, of the costs of community service prostate agency or institution, or State ad- grams for which Federal financial assistvisory council; and
ance is requested. The certification (h) Any other reports containing such shall also state that the State agency Information in such form as the Com- has obtained all information including missioner may, from time to time, re- records documenting expenditures necesquire in order to carry out his functions sary to make the above-noted finding under the Act.
and that such documents shall be kept
by the State agency and made available Subpart D—Federal Financial to the Commissioner upon request. The Participation
certification required under this section § 173.21 Federal financial participa
shall constitute the basis for the finding tion-general.
required to be made by the Commissioner
under section 106(b) of the Act. (a) he Federal Government will pay § 173.23 Fiscal year to which an expend. from each State's allotment an amount
iture is chargeable. equal to 75 percent for the fiscal years ending June 30, 1966, and June 30, 1967,
Allotments to a State under this part and 50 percent for the next 3 succeeding
are made with respect to a fiscal year fiscal years, of the total amount expended commencing on July 1 and ending on (on eligible costs as defined in g 173.27) the following June 30. by the State agency and the institutions (a) Except as provided in paragraph participating under the State plan, ex- (b) of this section, expenditures by the cept that, in calculating such total State agency shall be charged against
the allotment for the fiscal year in which $ 173,27 Eligible costs.
(a) State level. To the extent that
they are directly attributable to the decounting practices by the State agency. (b) The amount of Federal financial
velopment and administration of the
State plan or annual amendment thereto, participation in any community service program approved under a State plan
the State agency may receive an amount, shall be charged against the allotment
not to exceed 5 percent of the total eli
gible costs for the year for which payfor the fiscal year in which the approval was made and was necessary in order to
ment is requested, or $25,000, whichever activate the program in due course, re
is greater, to cover the cost of: gardless of whether the actual payments
(1) Salaries of the staff, both profesto, or expenditures by, the participating
sional and clerical, including all amounts institution are made prior or subsequent
deducted or withheld as contributions to to the close of that fiscal year.
retirement, health, or other welfare ben.
efit funds maintained for employees of $ 173.24 Effective date for allowable the State agency; expenditures.
(2) Employer's contributions to retireExcept for expenditures by the State ment, health, workmen's compensation, agency for development and adminis
and other welfare funds maintained for tration of the State plan or annual
employees of the State agency; amendment thereof, Federal financial (3) Consultants' fees in accordance participation is made only with respect with State standards; to amounts expended under an approved (4) Expenses connected with commitState plan. For the purpose of this part, tees, workshops, and conferences; and absent any contrary notification, the (5) Travel expenses of staff and condate on which the original State plan sultants thereto, including advisory counor subsequent annual amendments
cil members. Travel expenses are limitthereto shall be considered to be in effect
ed by travel regulations pertaining to is the date of app al by the Commissioner. The State agency will be apprised
State employees and those considered of this effective date in the notice of ap
working with or consulting with the proval sent to the State agency by the
(6) Mailing, telephone, and other
communications costs; $ 173.25 Proration of costs.
(7) Supplies, printing, and printed Federal financial participation is avail materials; able only with respect to that portion of (8) Rental of, or, where economically any eligible costs as defined in § 173.27, justified, purchase of office equipment attributable to the development and ad
and equipment necessary for developing ministration of a State plan or the car
and administering the State plan; and rying out of any community service
(9) Rental of office space (including program approved thereunder. The State agency and individual participat
the costs of utilities and janitorial serying institutions must maintain records
ices) in privately or publicly owned to substantiate the proration of expendi buildings if (i) the State agency will retures for all eligible costs.
ceive benefits during the period of occu$ 173.26 Deviation from estimates.
pancy commensurate with such expendi
tures, (ii) the amounts paid by the State Expenditures will not be considered
agency are not in excess of comparable ineligible for Federal financial partici
rental in the particular locality, (iii) the pation solely because of minor deviations
expenditures represent an actual cost to from the estimate of the amount or na
the State agency, and (iv) in the case of ture of the expenditure as set forth in the plan or in required reports submitted
publicly owned buildings, like charges are thereafter, provided that the expendi
made to other agencies occupying similar tures in question are made in connection space. with a program under an approved State (b) Participating institutions of plan, in accordance with the Act and this higher education—(1) Direct costs. To part, and that the total Federal share the extent directly attributable to the under the plan will not exceed the State's carrying out of a community service proallotment.
gram, & participating institution of