1501.2 Applicability of civil rights provisions and general provisions regulations. 1501.3 Definitions.

1501.4 Eligibility for assistance.

1501.5 Types of assistance.

1501.6 Program categories.

1501.7 Criteria for evaluating applications. 1501.8 Comprehensive program objectives. 1501.9 [Reserved]

1501.10 Application procedures. 1501.11 Reporting.

AUTHORITY: Sec. 404, General Education Provisions Act, as added by sec. 301(a)(2) of Pub. L. 92-318, 86 Stat. 327 (20 U.S.C. 1221d), unless otherwise noted.

SOURCE: 40 FR 12266, Mar. 18, 1975, unless otherwise noted.

§ 1501.1 Purpose.

The purpose of the regulations in this part is to implement the provisions of section 404 of the General Education Provisions Act as amended which provides for grants to, and contracts with, institutions of postsecondary education and other public and private educational institutions and agencies to improve postsecondary educational opportunities. The program is administered by the Fund for the Improvement of Postsecondary Education, a unit within the Office of the Assistant Secretary for Education of the Department of Health, Education, and Welfare, with the advice of a Board of Advisors.

(20 U.S.C. 1221d)

§ 1501.2 Applicability of civil rights provisions and general provisions regulations.

(a) Civil rights. (1) Federal financial assistance under this part is subject to the regulations in Part 80 of this title, issued by the Secretary of Health, Education, and Welfare and approved by the President, to effectuate the provisions of title VI of the Civil Rights Act of 1964 (Pub. L. 88-352).

(2) Federal financial assistance under this part is also subject to the provisions of title IX of the Education Amendments of 1972 (prohibition of

sex discrimination), and any regulations issued thereunder.

(b) General provisions. Assistance under this part is subject to the provisions set forth in Parts 100 and 100a of this title (relating to fiscal, administrative, property management, and other matters) except that such assistance shall not be subject to the provisions of § 100a.26(b) relating to criteria for awards. For purposes of this part, references in Part 100a to the Commissioner shall be deemed to be reference to the Assistant Secretary for Education.

As used in this part

"Combination of institutions of postsecondary education" means a group of institutions of postsecondary education that have entered into a cooperative arrangement for the purpose of carrying out a common objective, or a public or private nonprofit agency, organization, or institution designated or created by a group of institutions of postsecondary education for the purpose of carrying out a common objective on their behalf.

"Fiscal year" means a period beginning on July 1 and ending on the following June 30. (A fiscal year is designated in accordance with the calandar year in which the ending date of the fiscal year occurs.)

"Fund" means the Fund for the Improvement of Postsecondary Education, the unit within the Office of the Assistant Secretary for Education of the Department of Health, Education, and Welfare which administers the program covered by this part.

"Institution of postsecondary education" means an educational institution which admits as regular students only persons who have completed or left elementary or secondary school.

"Local government" means a local unit of government including specifically a county, municipality, city, town, township, local public authority, special district, intrastate district, council of governments, sponsor group representative organization, and other regional or interstate government entity, or any agency or instrumental

ity of a local government, exclusive of institutions of postsecondary education and hospitals.

"Nonexpendable personal property" means tangible personal property, including equipment, having a useful life of more than 1 year and an acquisition cost of $300 or more per unit.

“Nonprofit” means owned and operated by one or more nonprofit corporations or associations no part of the net earnings of which inures, or may lawfully inure, to the benefit of any private shareholder or individual.

"Other educational institution or agency" means an entity which (1) has engaged in activities involving education prior to submitting an application to the Fund, or (2) has jurisdiction over educational matters pursuant to state or local law.

"Personal property" means property of any kind, tangible or intangible, except real property.

"Private" means not under public supervision or control.

"Public," as applied to an institution or agency, means that the institution or agency is a legally constituted organization of government under public administrative control and direction, except that an institution or agency of the Federal Government shall not be considered a public institution agency.

or

"Recipient" means an applicant receiving assistance under this part.

"State" means any of the several States of the United States, the District of Columbia, the Commonwealth of Puerto Rico, any territory or possession of the United States, or any agency or instrumentality of a State exclusive of State institutions of postsecondary education and hospitals. (20 U.S.C. 1221d)

§ 1501.4 Eligibility for assistance.

Institutions of postsecondary education, combinations thereof, and other public and private educational institutions and agencies are eligible to receive assistance under this part. The fact that an applicant has been only recently established will not in itself prejudice such applicant's application. (20 U.S.C. 1221d)

§ 1501.5 Types of assistance.

An applicant which is not public or nonprofit may receive assistance only in the form of contracts. Grants may be made to a combination of institutions of postsecondary education only if all institutions in the combination are public or nonprofit. Assistance may be awarded in one payment or in a number of payments, not necessarily equal, over a period of time.

(20 U.S.C. 1221d)

§ 1501.6 Program categories.

The Fund shall accept applications for assistance in three program categories:

(a) A comprehensive program solicitation, under which preapplications shall first be required for preliminary screening of applicants,

(b) Special focus program solicitations, to be announced by the Fund for each fiscal year, and

(c) national project solicitations, to announced by the Fund for each fiscal year.

(20 U.S.C. 1221d)

§ 1501.7 Criteria for evaluating applications.

(a) A request for funds for the continuation of a project begun in a prior fiscal year and containing an approved multi-year work plan will be given priority over an application for the initiation of a new project. Requests for continuation awards will be approved only if (1) satisfactory progress, as indicated by site visits, progress reports and other relevant data, has been made in implementing the approved work program; (2) the project, in conformity with the funding criteria against which the original proposal was evaluated, is achieving the approved goals and objectives; and (3) the project has been successful, and continues to offer promise of success, in terms of its relationship to the general goals of the Fund.

(b) An application or (in the case of the comprehensive program) a preapplication for initial assistance under this part shall be evaluated in terms of the extent to which the proposal therein:

(1) Has the potential for advancing one or more of the following general goals of the Fund:

(i) To increase the cost-effectiveness of educational services;

(ii) To achieve far-reaching improvements in postsecondary education;

(iii) To promote learner-centered improvements in postsecondary education;

(2) Represents an improvement upon, or significant departure from, existing practice;

(3) Involves processes, features, or products applicable in other postsecondary educational settings;

(4) Meets the following operational standards:

(i) Is feasible and has sound project design, including budget and evaluation plans;

(ii) Has the potential for having available financial resources for continuation beyond the period of Fund support, unless the project is self-terminating;

(iii) Gives evidence of commitment to the project, such as financial contributions, on the part of the applicant institution and any other institutions or organizations to be involved in the project;

(5) Is unlikely to be supported by other sources; and

(6) Meets one or more of the objectives of the Comprehensive Program set forth in § 1501.8.

(20 U.S.C. 1221d)

[40 FR 12266, Mar. 18, 1975, as amended at 41 FR 8791, Mar. 1, 1976]

§ 1501.8 Comprehensive program objectives.

The Fund will accept preapplications and applications (from those applicants whose preapplications are approved) directed toward one or more of the following objectives, in the context of postsecondary education:

(a) Reducing costs and stretching the educational dollar;

(b) Extending effective educational opportunity to those still not adequately served by the educational system;

(c) Meeting individual needs in a mass educational system;

(d) Improving programs, personnel, and instruction for more effective education;

(e) Creating and applying more meaningful standards of excellence for education beyond high school;

(f) Making better use of educational resources beyond colleges and universities;

(g) Helping people make better choices about whether, when, and where to enroll for education beyond high school;

(h) Increasing flexibility throughout postsecondary education to permit greater responsiveness to changing social and economic needs.

(20 U.S.C. 1221d)

[41 FR 8791, Mar. 1, 1976]

§ 1501.9 [Reserved]

§ 1501.10 Application procedures.

(a) An application or preapplication for assistance under this part must be filed with the Fund on or before the closing date or dates published in the FEDERAL REGISTER by the Fund for each fiscal year.

(b) Except as provided in paragraph (f) of this section, an application or preapplication must have a title page providing the following information:

(1) Name and address of applicant.

(2) Name, address, title, phone number, and signature of applicant's authorizing officer.

(3) Name, address, title, and phone number of proposed project director. (4) Dates of proposed project, including evaluation time.

(5) Amount of assistance requested. (6) Proposal title.

(7) A brief, one-paragraph description of the proposal.

(c) Except as provided in paragraph (f) of this section, a preapplication must contain the following information, in a format to be selected by the applicant: (1) A statement of the problem being addressed; (2) a description of the specific criteria by which the success or failure of the project could be determined; (3) a description of how the objectives are to be accomplished; (4) a statement of the potential long-range outcomes of the project; and (5) a statement of the estimated budget range and the nature

and amount of major anticipated expenditures.

(d) Except as provided in paragraph (f) of this section, an application submitted under the Comprehensive and Special Focus programs must contain the following information, in a format to be selected by the applicant:

(1) A diagnosis of the problem addressed, including a description of the problem and, as applicable, a discussion of pertinent empirical data and past attempts to deal with the problem.

(2) A description of the proposed project, including its methodology and schedule, qualifications of the persons who would conduct it, its short-term and long-term objectives and its specific allocation of available funds in the form of a budget.

(3) Evidence of commitment, including an indication of (i) the nature and extent of involvement in the project on the part of the applicant institution and any other institutions or organizations to be involved in the project, and (ii), unless the project is selfterminating, expected sources of financial support after the period of Fund support has elapsed.

(4) An evaluation plan, including the criteria by which the project will be evaluated, the methods and schedules for such evaluation, and the cost of such evaluation.

(e) Except as provided in paragraph (f) of this section, an application submitted under the National Projects competitions must contain:

(1) A description of the applicant's current approach to the specified topic;

(2) Evidence of the success of this approach and a description of the evaluation methodology utilized;

(3) An assessment of the significance of the approach for postsecondary education; and

(4) A budget, itemizing costs for the major categories of project activity.

(f) A State or local government seeking assistance under this part must apply in accordance with such procedures, and using such forms, as the Fund may specially prescribe in con

formity with pertinent directives of the Office of Management and Budget. Much of the material required of such applicants pursuant to such directives is similar to the material required of applicants proceeding under paragraphs (b), (c), (d) and (e) of this section.

(g) Prior to its disposition of applications for assistance under this part, the Fund may obtain the review and advice of qualified persons not employed by the Department of Health, Education, and Welfare. Any such review shall be in addition to the review of applications by the Fund in accordance with such procedures as it may establish, including consultation with the Board of Advisors to the Fund.

(h) No application for assistance under this part to an institution of postsecondary education shall be approved until the Fund has submitted it to the State postsecondary education commission, if there is one, established or designated pursuant to section 1202 of the Higher Education Act of 1965 in the State in which the institution is located and afforded the commission an opportunity to submit its comments and recommendations as to the application to the Fund.

(i) No application for assistance under § 1501.8 of this part shall be approved until the procedure for implementating the evaluation plan required under paragraph (d) of this section or, as applicable, paragraph (f) of this section has been established and a schedule for the submission of reports on such evaluation by the applicant to the Fund has been agreed upon.

(20 U.S.C. 1221d; OMB Circular No. A-102, Attachment M)

[40 FR 12266, Mar. 18, 1975, as amended at 41 FR 8791, Mar. 1, 1976]

§ 1501.11 Reporting.

The recipient shall comply with the schedule for reporting on its evaluation of the project agreed upon pursuant to § 1501.10(i).

(20 U.S.C. 1221d; OMB Circular No. A-102, Attachment M)