tion proposals in program areas where States have particular experience will be encouraged by OEO. Each fiscal year, OEO will reserve funds to be used by SEOO research and demonstration activities. Grants will be funded in accordance with priorities established in OEO's Research and Demonstration Plan. Priority will be given to proposals for research and demonstration activities designed to bring about meaningful changes in State and local government to assist to make their activities more responsive to the unique problems of the poor. Preference will be given to proposals which provide evidence that State or other non-OEO funding of the program is probable after a successful demonstration of 1 or 2 years.

(c) Develop and carry out programs to help meet the immediate needs of migrant and seasonal farmworkers and their families, promote increased community awareness and acceptance of such families, and help them participate in special education and job training programs. (See sections 311 and 312 of EOA.)

(a) The SEOO advises the OEO Regional Offices on the criteria established under section 241 (a) and (b) of the EOA, which are designed to achieve within the States an equitable distribution of assistance between urban and rural areas under Title II of the Act. The SEOO shall provide an annual written analysis to the Governor and to the OEO Regional Office (due July 1), highlighting the principal problems and causes of poverty in the State. This analysis includes recommended priorities and types of programs to meet those problems. The SEOO also prepares an annual 3-year antipoverty plan for the State. Copies of the SEO0 analysis and plans should be sent to the Governor and other appropriate State agencies, to all CAAS in the State, and to the appropriate OEO Regional Office and to OEO Headquarters (State and Local Governmental Division).

(b) After receipt of the annual funding guidance by the Regional Office from OEO Headquarters, each SEOO shall Imeet with Regional Office representatives to assist in developing the total funding plan for their particular State. A major consideration in developing the State funding plan will be the needs, priorities and analysis provided the Re

gional Office, described under paragraph (a) of this section. When disagreements exist, the SEOO will be provided in writing (with copy sent to the State and Local Government Division) the reasons for the Regional Office position before final approval of the State funding plan. Subsequent modifications to the State funding SEOO require prior consultation.

plan

(c) The SEOOS shall be consulted in the development of the OEO Headquarters and Regional Training and Technical Assistance Plans. Possibilities for utilizing State resources for all areas of training and technical assistance shall be explored by the Regional Office through the SEOO. Prior to funding, comments and recommendations by the appropriate SEOOS shall be sought by the OEO funding office on all proposals for training and technical assistance projects-whether grants or contractsthat would operate in their States.

(d) The SEOO advises OEO on funding requests from all applicants within the State or who will operate within the State. The SEOO is to receive copies of all such official applications simultaneously with submission to the OEO Regional Office, and written comment on there applications is due in the Regional Office within 20 days after receipt. OEO Headquarters Offices, at the time serious consideration is given to funding or refunding a project, shall submit to the appropriate SEOO(s) a copy of the application or an "information packet" containing pertinent materials describing the project. SEOO comment on these Headquarters proposals, due within 15 days of receipt of the application or the information packet, is submitted to the appropriate Regional Office, which will forward the SEOO comment to OEO Headquarters, along with its own comment. The OEO funding office (Regional and Headquarters) shall seriously consider the SEOO comments in their review prior to funding.

(e) The SEOO jointly participates with the Regional Office in the evaluation of OEO-funded programs and is consulted by the OEO Regional Office in the development of standards for the evaluation of program effectiveness. An SEOO representative shall be invited to serve on all OEO staff evaluation teams which are organized to review the overall effectiveness of a grantee's program. The SEOO shall receive copies of all such evaluation reports and shall

work with OEO on any necessary followup.

(f) The SEOO monitors some or all of the OEO-funded programs within the State, if it has the staff capability and if this activity is part of the approved SEOO Work Program. Such monitoring activity shall be included in the joint written agreement on the use of field personnel which shall include arrangements for periodic written reports, plus other reporting of special activity or problems, to the appropriate OEO grant office.

(g) The SEOO advises the OEO Regional Offices on VISTA operations within the State. The Regional Office will consult with the SEOO in the development of an annual State VISTA plan. This will include consultation on programs for VISTA Volunteers and on VISTA Volunteer assignments. The SEOO will assist VISTA in any coordination needs with State-operated programs. When specifically authorized by VISTA, the SEOO may assist in recruitment. The SEOO advises the Regional Office on special problems in the State that might develop as a result of the activities or presence of VISTA Volunteers, and assists the Regional Office in resolving such problems.

(h) The SEOO advises OEO on procedures and programs which will promote State agency participation in carrying out the aims and objectives of the Economic Opportunity Act.

(i) The SEOO advises and assists OEO in identifying problems posed by Federal and State statutory or administrative requirements that impede Statelevel coordination of OEO-related programs, and in developing methods or recommendations for overcoming those problems. This is achieved through continuing relations with both OEO Regional Offices and OEO Headquarters, and through the consultation provision of BOB Circular A-85.

Sector Relations under the Regional Director.

(b) The Regional Office shall encourage and assist each SEOO to develop an annual Work Program (as a part of its funding request), which takes full advantage of SEOO staff capabilities; and which is responsive to the main missions and functions under §§ 1075.1-4, 1075.15, 1075.1-6, and 1075.1-8. Consideration should be given to the diversity of the States, recognizing that different approaches are appropriate in carrying out these basic functions.

(c) The Regional Office is responsible for evaluating the effectiveness of the SEOOS, as OEO grantees, in implementing their annual Work Program (Form 7-e) and in carrying out the basic objectives outlined in their "Plans and Priorities" (Form 81-a). Whenever possible, the evaluation team should include a staff member of another SEOO. The Regional Office shall work jointly with the SEOOS to strengthen the SEOO staff capability to carry out their Work Programs and to overcome any weaknesses that may be revealed by these evaluations.

(d) Regional Offices are responsible for ensuring that the SEOOS are consulted concerning OEO Regional Office plans and priorities with regard to OEO grantees within their respective States. When flexible or other OEO funds become available for additional programs in a given State, the Regional Office shall first consult with the SEOO before committing such funds.

(e) Regional Offices are to involve their SEOOs formally in the development of the State funding plans and on the annual Training and Technical Assistance Plan as it pertains to the State; and they shall provide copies of such plans when approved to the appropriate SEOOS, and to the Division of State and Local Government, Office of Operations. They shall insure that the SEOOS are consulted in advance and notified upon funding on all section 230 (Training and Technical Assistance) grants and contract awards, approved by the Regional Office.

(f) The Regional Office shall jointly work out a written agreement with each SEOO-dividing responsibilities as staff capability and interest dictate to assure a maximum of coordination and a minimum of overlapping of activities and functions carried out by their respective field representatives. This agreement

shall be jointly reviewed at least annually to effect improvements.

(g) The Regional Offices shall invite with adequate advance notice the appropriate SEO0 to all "pre-reviews" held with other OEO grantees in the State. They are responsible for seeing that the completed Checkpoint Procedure Form 77 is included in all funding requests received by them and will not begin an application review unless the completed Form 77 is included or unless the applicant provides evidence that the SEOO has not responded.

(h) The Regional Office shall insure that a copy of all applications and requests for OEO funds, as well as requests for reprograming, submitted to the Regional Office for approval is sent by the applicant simultaneously to the appropriate SEOO for information and comment. The Regional Office shall send written notice to the appropriate SEOO(s) upon the receipt of all applications for funding and reprograming requests. Written comment by the SEOO on funding requests-which is due within 20 days of SEOO receipt of the application-shall receive serious consideration and response by the Regional Office prior to funding.

(i) The Regional Office shall invite the SEOOS to participate in all OEO staff evaluation teams which it organizes to review the overall effectiveness of a grantee's programs, and shall share with the SEOOS the findings and recommendations of such team evaluations immediately upon completion of the written report. The Regional Office, in consultation with the SEOO and the grantee, shall jointly work out a followup procedure and plan to insure implementation of OEO's recommendations.

(j) The Regional Office will work through or in consultation with-the SEOO in any of its dealings with other State agencies, unless it has arranged for a bypass agreement with the SEOO for specific types of contacts elsewhere in the State government.

(k) The Regional Directors, and the SEOO Directors in each region, shall jointly plan and participate in regular meetings to be held at least quarterly— to discuss mutual problems, exchange information and explore new and innovative ways to increase their effectiveness in working together. Notice of such meetings shall be sent the State and Local Government Division of the Office of Op

erations, so that a representative may attend when practicable.

(1) The Regional Office shall forward to the State and Local Government Division, Office of Operations, a copy of all executed SEOO grant packages and a copy of all evaluation reports on the SEOOS.

§ 1075.1-10 OEO headquarters relationships with the SEOOS.

(a) The State and Local Government Division of the Office of Operations shall be the primary office in OEO Headquarters for dealing with the SEOOS. This Division it to maintain a nationwide overview of SEOO operations and shall work in close coordination with the Office of Governmental and Private Sector Relations of each Regional Office.

(b) OEO Headquarters shall seek to develop and strengthen the effectiveness of the SEOOS in the antipoverty effort and to encourage OEO consultation, coordination and cooperation with the States.

(c) The Office of Operations shall foster an exchange of information and program experience among all the SEOOS and Regional Offices. It will sponsor, and jointly plan with the SEOOS and the Regional Offices, an annual national conference for all SEOO Directors.

(d) OEO Headquarters shall be responsible for keeping the appropriate Regional Office informed of negotiations, requests, etc., from SEOOS, in the Regional Office area of responsibility. It shall consult with, coordinate, and request guidance from the Regional Office on matters affecting SEOOS within the Region's area of responsibility.

(e) In consultation with the Regional Offices and the SEOOS, OEO Headquarters will ascertain national and interregional training and technical assistance needs of the SEOOS. It will assist them in meeting such needs by the use of OEO personnel, or through contractors.

(f) The Office of Operations is responsible for monitoring the Checkpoint Procedure system with the SEOOS which is to be used by all funding offices in OEO Headquarters.

(g) The Office of Operations will work with OEO's Office of Program Development and the Regional Offices in the solicitation and review of new SEOO proposals for demonstration programs. SEOOS interested in developing demonstration proposals should ordinarily consult first with the appropriate Regional

Office and then contact the State and Local Government Division. The Office of Program Development will provide assistance, review and decide on approval of SEOO Research and Demonstration grants. When the SEOO makes direct contact with the Office of Program Development, the SEOO is responsible for so informing the Office of Operations.

(h) The Office of Operations shall assist the SEOOS in their dealings with the Headquarters offices of other Federal agencies.

(i) Each OEO Headquarters funding office is responsible for seeing that one copy of every official application (or an "information packet" summarizing the application), submitted to that office for approval, be sent to the SEOO in the State the applicant is located (and to any other SEOOs of States in which the program is to operate) for information and comment, as soon as the funding office has the application under serious consideration. Written comment by the SEOO-which is due in the Regional Office within 15 days of SEOO receipt of the application-shall receive serious consideration by OEO Headquarters prior to funding.

§ 1075.1-11 SEOO responsibilities as OEO grantees.

(a) When a State applies for funding from OEO under section 231 of the Economic Opportunity Act, it shall use the forms and follow the application procedures for SEOOS outlined in OEO Notice 6710-2 of February 26, 1969 (until revised forms and requests for funding procedures are issued by OEO).1 Refunding requests are due in the Regional Office no later than 60 days before the end of the SEOO's Program Year. Five copies are required by the Regional Office; a sixth copy should be forwarded directly to the State and Local Government Division, Office of Operations.

(b) The State's share for funding under section 231 shall be a minimum of 20 percent of the total cost of the operation in cash and/or in kind.

(c) Preferably 120 days, but no later than 90 days, before the end of its Program Year, the SEOO's "Plans and Priorities" (Form 81-a) is due in the OEO Regional Office. The SEOO should submit three copies to the Regional Office and one copy directly to the State and

1 Not filled with Office of Federal Register.

Local Government Division, Office of Operations.

(d) As part of its annual refunding request, the SEOO must include a progress or self-evaluation report on its activities for the previous year, giving a candid assessment of its successes and failures in meeting its Work Program.

(e) The SEOO shall submit a MIS Quarterly Narrative Report on its activities, related to the approved Work Program, to the OEO Regional Office, with a copy to the State and Local Government Division, Office of Operations. (The MIS Quarterly Statistical Report is no longer required of the SEOOS.)

(f) The SEOO draft Work Program (Form 7-e) shall be checkpointed with all the CAAS in the state for comment and such signed Checkpoint Forms (76) included as part of the annual SEOO refunding request.

(g) The SEOO shall have an annual financial audit conducted, in accordance with OEO guidelines. It shall cooperate with monitoring and evaluation visits by OEO personnel or by OEO contractors.

(h) SEOO acceptance of an OEOapproved "grant package" is an agreement by the SEOO to perform the work stated in the SEOO Work Program submitted as part of the funding request. Unsatisfactory performance may be cause for OEO to reevaluate and lower the future funding level of a SEOO.

(i) As OEO grantees, the SEOOS shall comply with all applicable OEO Instructions. SEOO personnel policies and procedures shall be consistent with CAP Technical Assistance Memorandum 26-A of April 3, 1967.1 When OEO personnel policies and procedures are in conflict with State law and personnel regulations, a mutually acceptable solution shall be spelled out in a written agreement between the SEOO and the OEO Regional Office and incorporated in the SEOO grant.

(j) SEOOS are expected to carry out preservice and inservice training programs to upgrade the skills of their staffs, and all SEOO refunding requests shall include specific plans for staff inservice training. Whenever funds permit, the SEOOS will be given the opportunity by OEO to strengthen their staff capabilities to carry out their responsibilities and functions more effectively.

1 Not filed with Office of Federal Register.

PART 1078-COMMUNITY ACTION
PROGRAM POLICY AND EVALUA-
TION
Subpart-Standards for Evaluating the Effective-
ness of Community Action Programs

Sec.

1078.1-1 Applicability of this subpart. 1078.1-2 Definitions.

1078.1-3 Policy.

1078.1-4 National standards of effectiveness. 1078.1-5 Setting local goals consistent with national standards. Procedures.

1078.1-6 1078.1-7 Indicators of improvements in community response to poverty.

AUTHORITY: The provisions of this Subpart issued under sec. 233, 81 Stat. 704; 42 U.S.C. 2826.

SOURCE: The provisions of this Subpart appear at 34 F.R. 7078, Apr. 30, 1969, unless otherwise noted.

Subpart-Standards for Evaluating the Effectiveness of Community Action Programs

§ 1078.1-1 Applicability of this subpart. This subpart applies to all Community Action Agencies, Limited Purpose Agencies, and State Economic Opportunity Offices assisted by OEO under sections 221, 222, 230, 231, and 312 or the Economic Opportunity Act of 1964, as amended. §1078.1-2

Definitions.

(a) CAP program effectiveness. The extent to which identifiable progress is being made toward achieving the basic purpose of Community Action, as cited in section 201(a) of the Economic Opportunity Act, and in the Statement of CAP Mission and Objectives (OEO Instruction 1105-1).1

(b) CAP program quality. The extent to which specific needed services or benefits are being provided efficiently and responsively to poor people by OEOfunded grantees and programs.

§ 1078.1-3 Policy.

(a) All CAP grantees and programs are subject to evaluation, both in terms of quality and in terms of effectiveness, as defined in § 1078.1-2. However, this subpart deals exclusively with program effectiveness. General standards of CAP program quality are included in a variety of CAP policy and program guidelines.

1 Not filled with the Office of the Federal Register.

(a) The standards which can be applied uniformly on a national basis are limited by the very nature of Community Action, which emphasizes the development of local answers to local problems and conditions. The basic effectiveness standard which does apply to all grantees and all programs under sections 211, 222, 230, 231, and 312 of the Economic Opportunity Act is that they must be stimulating measurable improvement in the way their communities respond to the problems and needs of poverty. That is, community action programs and grantees must in fact be stimulating the better focusing of a range of resources on the goal of eliminating poverty. This means helping to build greater community understanding of the problems of poverty, increased community commitment to undertake the actions needed to deal with them, and strengthened community capacity to carry out such actions, whether in education, health, employment, housing, community or family services, legal protection, welfare or any other programs and activities which are relevant to the elimination of poverty.

(b) The basic standard of effectiveness is further divided into five parts, which represent five broad types of desired improvements in the community's responses identified in the CAP Mission Statement. Each community action grantee and program must produce or stimulate, during any funding period, some measurable improvement in the community's response to poverty in each of these five standards categories:

(1) Strengthened community capacity for planning and coordinating povertyrelated programs;

(2) Better organization of a range of services related to the needs of the poor;