Ineligible purposes. Cross reference to general provisions Subpart B-Basic Grants 131.10 Eligible applicants. 131.11 Application for a basic grant. 131.12 Amount of grant. 131.13 Waiver. Subpart C-Supplemental Grants 131.20 Eligible applicants. 131.21 Application for a supplemental grant. 131.22 Criteria for review of application for a supplemental grant. 131.23 Amount of grant. 131.24 Waiver. Subpart D-Special Purpose Grants 131.30 Eligible applicants. 131.31 Application for a special purpose grant. 131.32 Criteria for review of a special purpose grant. 131.33 Amount of grant. Appendix A-Point Scores for Review of Ap plications for Supplemental Grants. Appendix B-Point Scores for Review of Ap plications for Special Purpose Grants. AUTHORITY: Sec. 201-208 of Pub. L. 89329, 79 Stat. 1224-1226, as amended (20 U.S.C. 1021-1028), unless otherwise noted. SOURCE: 39 FR 40494, Nov. 18, 1974, unless otherwise noted. Subpart A-General § 131.1 Applicability. The regulations in this part apply to grants made by the Commissioner to assist and encourage improvements in library resources for institutions of higher education pursuant to his authority under Title II-A of the Higher Education Act of 1965, as amended. (20 U.S.C. 1021-1028) § 131.2 Definitions. As used in this part: "Act" means Title II-A of the Higher Education Act of 1965, Public Law 89329, 79 Stat. 1219, as amended. (20 U.S.C. 1021-1028) "Acquisition of books and other materials to be used for library purposes" means the purchase, lease-purchase, or straight lease of such books and other materials. It includes the necessary costs of ordering, processing, and cataloging such books and other materials, including necessary first binding of such books and other materials, and delivery of them to the initial place at which they are to be available for use: Provided, That such costs should ordinarily exceed neither the average of $2.75 per volume or item acquired nor 20 percent of the total grant awarded. "Basic grant" means a grant made pursuant to section 202 of the Act. (20 U.S.C. 1022) "Branch" means a campus of an institution of higher education located in a community in the United States different from that of the parent institution, not within a reasonable commuting distance from the main campus, and which has college level programs for which library facilities, services, and materials are necessary. "Combination of institutions" means a group of institutions of higher education that have entered into a cooperative arrangement for the purposes of carrying out a common objective on their behalf or a public or private nonprofit agency, organization, or institution designated or created by a group of institutions of higher education for the purpose of carrying out a common objective for the benefit of said institution. (20 U.S.C. 1022) "Full-time equivalent of the number of part-time students" is determined by dividing the total number of credit hours of part-time students by the studenthour load required by the institution for full-time student standing. "Full-time student" means a student who is carrying a sufficient number of credit hours or their equivalent (including research or special studies) to secure the degree or certificate toward which he is working in no more than the number of semesters or terms normally taken therefor at the institution in which he is enrolled. (20 U.S.C. 1023 (a)) education" "Institution of higher means an educational institution in any State which meets all of the following criteria: (a) It admits as regular students only persons having a certificate of graduation from a school providing secondary education, or the recognized equivalent of such a certificate. (b) It is legally authorized within such State to provide a program of education beyond secondary education. (c) It provides at least one of the following types of programs: (1) An educational program for which it awards a bachelor's degree; (2) A program of not less than 2 years which is acceptable for full credit toward a bachelor's degree; (3) A program of not less than 1 year of training to prepare students for gainful employment in a recognized occupation. (d) It is a public or other nonprofit institution. (e) It is either accredited by an organization named in a published list of the Commissioner as a nationally recognized accrediting agency or association or meets at least one of the following requirements: (1) The Commissioner has determined that there is satisfactory assurance, considering the resources available to the institution, the period of time, if any, during which it has operated, the effort it is making to meet accreditation standards, that the institution will meet the accreditation standards of such an agency or organization within a reasonable period of time and that the institution will be deemed to be within this paragraph (e) if the Commissioner determines that there is satisfactory assurance that, upon acquisition of the library resources with respect to which assistance under this part is sought, to be acquired within a reasonable time, the institution will meet the accreditation standards of such agency or association. (2) It is an institution whose credits are accepted, on transfer, by not less than three institutions which are so accredited, for credit on the same basis as if transferred from an institution so accredited. (20 U.S.C. 1026, 1141(a)) "Joint-use library facilities" means those library facilities, services, or materials provided by and for the use of a combination of institutions of higher education. (20 U.S.C. 1024) "Law library materials" means books, periodicals, documents, magnetic tapes, phonograph records, audio-visual materials, cataloging materials, and other printed and published materials which are suitable for inclusion in the law library resources of institutions of higher education and other eligible library institutions and which (with the exception of periodicals and newspapers) with reasonable care and use may be expected to last for more than one year. Such term also includes necessary binding for such printed and published materials, but shall not include equipment and supplies. (20 U.S.C. 1021) "Library materials" means books, periodicals, documents, magnetic tapes, phonograph records, audio-visual materials, cataloging materials, and other printed and published materials which are suitable for inclusion in the library resources of institutions of higher education and other eligible library institutions and which (with the exception of periodicals and newspapers) with reasonable care and use may be expected to last for more than one year, Such terms also include necessary first binding of such printed and published materials, but shall not include equipment or supplies. (20 U.S.C. 1021 (c)) "Library purposes," as applied to expenditures, means expenditures for the maintenance and operation of libraries, such as salaries, wages, supplies, materials, and equipment. Such term does not include expenditures for construction, acquisition, expansion or improvement of buildings, initial equipment therefor, site acquisition, or other capital expenditures. "New institution of higher education" means an educational institution in any State which demonstrates to the Commissioner that it has undertaken procedures preparatory to the enrollment of students in the fiscal year following the fiscal year for which a grant is requested and that, upon enrollment of such students, it will be an institution of higher education as defined in this section. (20 U.S.C. 1022, 1141(a), (b)) "Public and private nonprofit library institutions" means a library agency which is not part of an institution of higher education and whose primary function is to provide library and information services to institutions of higher education on a formal cooperative basis. A library agency shall be deemed to meet this requirement if it demonstrates that it provides over 50 percent of its library and information services to students, faculty, and independent researchers of institutions of higher education (excluding from that percentage the general public and students at the elementary and secondary level) on the basis of a formal written agreement with one or more institutions of higher education to make available library and information services on a cooperative basis. (20 U.S.C. 1021, 1022) "School or department of divinity" means an institution of higher education or a department or branch of such an institution whose program is specifically for the education of students to prepare them to become ministers of religion, to enter upon some other religious vocation, or to prepare them to teach theological subjects. (20 U.S.C. 1141(1), 1027) "Special purpose grant" means a grant made pursuant to section 204 of the Act. (20 U.S.C. 1024) "Supplemental grant" means a grant made pursuant to section 203 of the Act. (20 U.S.C. 1023) "Volume" means any printed, typewritten, handwritten, mimeographed, or processed work contained in one binding or portfolio, hardbound or paperbound, which has been classified, cataloged, or otherwise prepared for library use, including bound periodical volumes and nonperiodical Government documents. (20 U.S.C. 1021-1028) § 131.3 Program purposes. Funds appropriated under the Act shall be used by the Commissioner to make grants to eligible applicants to assist them in the acquisition of books and related library materials to be used for library purposes. Such grants shall be made in the following manner: (a) From the amount available for grants under this part, a basic grant shall be made to each eligible applicant which makes application; (b) Not more than 25 percent of the amounts available for grants under this part for any fiscal year may be used for special purpose grants for either: (1) Meeting a special need for additional library resources which will make a substantial contribution to the quality of an institution's educational resources (hereinafter referred to as Type A); (2) Meeting special national or regional needs in the library and information sciences (hereinafter referred to as Type B); (3) Establishing and strengthening joint-use library facilities (hereinafter referred to as Type C); and (4) Assisting other public and private library institutions which provide library and information services to institutions of higher education on a formal, cooperative basis (hereinafter referred to as Type D). (c) The remainder of such appropriation not used for basic or special purpose grants may be used for supplemental grants. (20 U.S.C. 1021-1024) § 131.4 Ineligible purposes. No grants may be made under this part for library materials to be used(a) For sectarian institution or religious worship; (b) Primarily in connection with any part of a program of a school or department of divinity; or (c) Primarily in connection with any medical library or related scientific communication instrumentality which is eligible for assistance under the Medical Library Assistance Act of 1965 (Pub. L. 89-291). (20 U.S.C. 1027, 42 U.S.C. 280b et seq.) Assistance provided under this part is Subpart B-Basic Grants § 131.10 Eligible applicants. The following are eligible to apply for a basic grant: (a) An institution of higher education on its own behalf; (b) An institution of higher education on behalf of a branch; (c) A combination of institutions of higher education; (d) A new institution of higher education (as defined in § 131.2) which shall be eligible for only one basic grant as a new institution of higher education; and (e) Public and private nonprofit library institutions. (20 U.S.C. 1022) § 131.11 Application for a basic grant. Each application for a basic grant shall contain information sufficient to enable the Commissioner to determine (a) The eligibility of the applicant pursuant to § 131.10; (b) That the applicant will expend during the fiscal year for which the grant is requested (from funds other than funds received under this part) for all library purposes an amount not less than the average annual amount it expended for such purposes, exclusive of construction expenditures, during the two fiscal years preceding the fiscal year for which assistance is being sought; and (c) The applicant will expend during the fiscal year for which the grant is requested (from funds other than funds received under this part) for library materials an amount not less than the average annual amount it expended for such materials during the two fiscal years preceding the fiscal year for which assistance is being sought. (20 U.S.C. 1022) § 131.12 Amount of grant. The amount of a basic grant shall, for any fiscal year, be equal to the amount expended by the applicant for library resources during that year from funds other than funds received under this part, except that no basic grant shall exceed $5,000 for each eligible applicant. In the case of an application from a combination of institutions, the amount of the basic grant may not exceed $5,000 for each member institution or branch on whose behalf the application is filed. (20 U.S.C. 1022) (a) If the Commissioner determines that there are special and unusual circumstances which prevent the applicant from making the assurances required by § 131.11 (b) and (c), he may waive such requirements for such assurances. (b) Such waiver will be granted under the following circumstances and to the following extent: (1) A recently established institution or branch, after making unusually high expenditures for library materials and total library purposes in its initial five years of operation to establish a basic program of library service, may reduce expenditures to a level adequate to maintain normal standards of operation. (2) A well-established institution, after undergoing sudden substantial increases in enrollment or in program activity requiring an unusually high level of expenditures for library materials and for total library purposes for a temporary period of time, may decrease such expenditures to a level adequate to maintain normal standards of operation. (3) A well-established institution after making an unusual "one-time" expenditure for library materials to acquire a special collection, may decrease such expenditure to a level to maintain normal standards of operation. If the "onetime" expenditure also resulted in a substantial increase in expenditure for all library purposes, it may also decrease expenditures for such purposes to a level adequate to maintain normal standards of operation. (4) An institution which is unable to maintain a normal level of expenditures because of theft, vandalism, fire, flood, earthquake, or other catastrophic occurrence, may temporarily reduce the level of expenditures for library materials and total library purposes. (5) When an institution has made unusually high expenditures for library materials or total library purposes to replace losses from theft, vandalism, fire, flood, earthquake, or other catastrophic occurrence in order to return to prior standards of library service, it may reduce such expenditures to a level adequate to maintain normal standards of operation. (c) The Commissioner may also grant a waiver to the extent appropriate, based on the applicant's ability to provide other evidence of special and unusual circumstances that the requirements for such assurances cannot be met for reasons other than those specified in paragraph (b) of this section. (20 U.S.C. 1022) Subpart C-Supplemental Grants § 131.20 Eligible applicants. The following are eligible to apply for a supplemental grant: (a) An institution of higher education; (b) A branch of an institution of higher education; (c) A combination of institutions of higher education; Provided, That in the fiscal year for which the grant is requested that the applicant institution or branch, either Each application for a supplemental grant shall contain information sufficient to enable the Commissioner to determine (a) The eligibility of the applicant pursuant to § 131.20; (b) That the applicant will expend during the fiscal year for which the grant is requested (from funds other than funds received under this part) for all library purposes, exclusive of construction expenditures, an amount not less than the average annual amount it expended for such purposes during the two fiscal years preceding the fiscal year for which assistance is being sought; (e) That the applicant will expend during the fiscal year for which the grant is requested (from funds other than funds received under this part) for Hbrary materials an amount not less than the average annual amount it expended for such resources during the two fiscal years preceding the fiscal year for which assistance is being sought; (d) The size and quality of the library resources of the application in relation to (1) Its present enrollment and expected increase in its enrollment; (2) Any special circumstances which are impeding or will impede the proper development of its library resources; (3) How a supplemental grant would be used to improve the size or quality of its library resources; and (e) The relative priority of the application in light of the criteria established by the Commissioner and set forth in § 131.22. (20 U.S.C. 1023) § 131.22 Criteria for review of application for a supplemental grant, The following criteria shall be applied by the Commissioner in approving applications for supplemental grants, in accordance with the point scores set forth in Appendix A to this part: (a) Degree of deficiency in the number of volumes of the applicant's library 90-004-7633 in relation to recent and expected increase in such enrollment and the type of institution or branch applying for a grant; (b) Participation in other Federal programs aiding disadvantaged students; (c) Number of economically disadvantaged students enrolled; (d) Recency of the establishment of the library collection; and (e) Efforts made to improve resources through membership in a library consortium or other efforts through participation in joint-use library facilities. (20 U.S.C. 1023; HR. Rept, No. 621, 89th Cong., 1st Sess. at p. 11 (1965); and Senate Rept. No. 673, 89th Cong., 1st Sess. at p. 24 (1965)) 503 § 131.23 Amount of grant. (a) Supplemental grant. The amount of a supplemental grant may not exceed $20 for each full-time student (including the full-time equivalent of the number of part-time students) enrolled in the applicant institution or branch except that, where an application is made both by a parent institution and branch thereof, the number of students enrolled in the branch may not be considered in computing the amount of the grant for the applicant parent institution. In the case of an application for a combination of institutions of higher education, the amount of the supplemental grant may not exceed $20 for each full-time student (including the fulltime equivalent of the number of parttime students) enrolled in each eligible member institution: Provided, however, Where a member institution has also applied for and received in the same fiscal year a supplemental grant on its own behalf, the number of students so enrolled may not be counted in computing the amount of the grant for the combination. (20 U.S.C. 1023 (a)) § 131.24 Waiver. The Commissioner may waive the assurances required by § 131.21 (b), (c) under the same circumstances and to the same extent as set forth in § 131.13(b) and (c). (20 U.S.C. 1023) Subpart D-Special Purpose Grants § 131.30 Eligible applicants. The following are eligible to apply for a special purpose grant: (a) Types A and B |