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(a) Programs. Except to the extent inconsistent with an applicable statute or regulation, the provisions contained in this part apply to all Federal programs of assistance authorized under the following authorities:
(1) Special programs and projects under section 306 of the Elementary and Secondary Education Act of 1965 (20 U.S.C. 844b);
(2) Program planning and evaluation under section 411 of the General Education Provisions Act (20 U.S.C. 1222);
(3) Strengthening State and local educational agencies under title V of the Elementary and Secondary Education Act of 1965 (20 U.S.C. 861);
(4) Bilingual education programs under title VII of the Elementary and Secondary Education Act of 1965 (20 U.S.C. 880b);
(5) Dropout prevention projects under section 807 of the Elementary and Secondary Education Act of 1965 (20 U.S.C. 887);
(6) Demonstration projects to improve school nutrition and health services for children from low-income families under section 808 of the Elementary and Secondary Education Act of 1965 (20 U.S.C. 887a);
(7) Centers and services to meet special needs of the handicapped, training personnel for the education of the handicapped, research in the education of the handicapped, instructional media for the handicapped, and special programs for children with specific learning disabilities under parts C, D, E, F, and G, respectively, of the Education of the Handicapped Act (20 U.S.C. 1421, 1431, 1441, 1451, and 1461);
(8) Special experimental demonstration projects and teacher training under section 309 of the Adult Education Act (20 U.S.C. 1208);
(9) Desegregation of public education under title IV of the Civil Rights of 1964 (42 U.S.C. 2000c-2000c-9);
(10) Dissemination, surveys, exemplary projects, and studies under section 2 of the Cooperative Research Act (20 U.S.C. 331a);
(11) Research and training, exemplary programs and projects, demonstration schools, and grants to reduce borrowing costs for schools and dormitories; and curriculum development in vocational and technical education under sections 131(a), 142(c), 151, and 153; and part I of the Vocational Education Act of 1963 (20 U.S.C. 1281(a), 1302(d), 1321, 1323, 1391);
(12) The follow-through program under section 222(a) (2) of the Economic Opportunity Act of 1964 (42 U.S.C. 2809 (a) (2));
(13) Emergency school aid under title VII of the Education Amendments of 1972 (20 U.S.C. 1601);
(14) Grants for noncommercial educational broadcasting facilities under part IV of title III of the Communications Act of 1934 (47 U.S.C. 390);
(15) On-the-job training, redevelopment areas, correctional institutions, work experience and training programs, and training and technical assistance under sections 204 (c), 241, 251, and 309, respectively, of the Manpower Development and Training Act (42 U.S.C. 2584 (c), 2610a, 2610b, 2610c, and 2619);
(16) Language development under title VI of the National Defense Education Act of 1958 (20 U.S.C. 511);
(17) Programs under the Environmental Education Act (20 U.S.C. 1531);
(18) Programs under the Drug Abuse Education Act of 1970 (21 U.S.C. 1001);
(19) Special programs and projects relating to national and regional problems under section 106 of title I of the Higher Education Act of 1965 (20 U.S.C. 1005a);
(20) College library resources and library training and research under parts A and B, respectively, of title II of the Higher Education Act of 1965 (20 U.S.C. 1021, 1031);
(21) Strengthening developing institutions under title III of the Higher Education Act of 1965 (20 U.S.C. 1051);
(22) Supplemental educational opportunity grants under part A-2 of title IV of the Higher Education Act of 1965 (20 U.S.C. 1070b);
(23) Special programs for students from disadvantaged backgrounds under part A-4 of title IV of the Higher Education Act of 1965 (20 U.S.C. 1070);
(24) Work-study programs under title IV-C of the Higher Education Act of 1965 (42 U.S.C. 2751);
(25) Cooperative education programs under title IV-D of the Higher Education Act of 1965 (20 U.S.C. 1087a);
(26) Attracting qualified persons to the field of education, the teacher corps, fellowships for teachers and related educational personnel, improving training opportunities for personnel serving in programs of education other than higher education, training programs for higher education personnel, and training and development programs for vocational education personnel under section 504 and parts B-1, C, D, E, and F, respectively, of the Education Professions Development Act (20 U.S.C. 1091c, 1101, 1111, 1119, 1119b, 1119c);
(27) Financial assistance for the improvement of undergraduate instruction under title VI of the Higher Education Act of 1965 (20 U.S.C. 1121);
(28) Construction of academic facilities under title VII of the Higher Education Act of 1965, except loans for construction of academic facilities; under part C thereof (20 U.S.C. 1132a);
(29) Education programs in foreign language and area studies under section 102(b) (6) of the Mutual Educational and Cultural Exchange Act of 1961 (22 U.S.C. 2452 (b) (6));
(30) Programs under the Indian Elementary and Secondary School Assistance Act, under title III of Pub. L. 81-874 (as added by Part A of the Indian Education Act, Pub. L. 92-318, title IV) (20 U.S.C. 241aa);
(31) Financial assistance for the improvement of educational opportunities for Indian children under section 810 of the Elementary and Secondary Education Act (as added by Part B of the Indian Education Act, Pub. L. 92-318, title IV) (20 U.S.C. 887c); and
(32) Financial assistance for the improvement of educational opportunities for adult Indians under section 314 of the Adult Education Act (as added by Part C of the Indian Education Act, Pub. L. 92-3318, title IV) (20 U.S.C. 1211a).
The application shall describe: (a) The nature, duration, purpose, and plan of the proposed project; (b) the qualifications of the project director and of the professional personnel who will be involved in the project; (c) the facilities and resources that will be made available; (d) a justification of the amount of Federal funds requested; (e) the portion of the cost of the project proposed to be contributed by the applicant; (f) a proposed budget; and (g) such other information and assurances as the Commissioner may require.
(20 U.S.C. 1221c(b)(1); OMB Circular No. A-102.)
The application shall contain the name of the official authorized to submit the application and the name of the individual or official who will be responsible for carrying out the project. Unless otherwise indicated in the application, the former individual or official will be deemed to be the individual or official to whom communications shall be directed, the individual or official who shall be responsible for the receipt, custody, and disbursement of Federal funds, and the individual or official who shall have ultimate responsibility for the accounting of such Federal funds.
(20 U.S.C. 1221c(b)(1); OMB Circular No. A-102.)
§ 100a.18 Designation and certification of agency to administer the project. (a) Each project application and amendment thereto shall give the official name of the applicant, which shall be the agency responsible for carrying out the project.
(b) Each project application and amendment shall include an assurance by the applicant to the effect that the application or amendment has been adopted by the applicant. (OMB Circular No. A-102.)
§ 100a.19 Cooperative arrangements.
(a) Eligible parties may enter into cooperative arrangements with other eligible parties, including those in another State, to apply for assistance.
(b) A joint application made by two or more applicants under a particular Federal program may have separate budgets corresponding to the programs, services, and activities performed by each of the joint applicants, or may have a combined budget. If joint applications present separate budgets, the Commissioner may make separate awards, or may award separate amounts for each of the joint applicants.
(c) In the case of each cooperative arrangement authorized under paragraph (a) of this section and receiving assistance, except where the Commissioner makes separate awards under paragraph (b) of this section, all such applicants (1) shall be deemed to be joint legal recipients of the grant or contract and (2) shall be jointly and severally legally responsible for administering the project assisted under such grant or contract. (20 U.S.C. 1221c(b)(1), 1232c (b) (1).)
§ 100a.20 Effective date of approved project.
tion to the review of an application by the Commissioner in accordance with such procedures as he may establish.
(b) Review by the Commissioner and by the panel of experts will take into account the following factors (in addition to such other criteria as may be prescribed by statute or regulation):
(1) The need for the proposed activity in the area served or to be served by the applicant;
(2) Relevance to priority areas of concern as reflected in provisions contained in the applicable Federal statutes and regulations;
(3) Adequacy of qualifications and experience of personnel designated to carry out the proposed project;
(4) Adequacy of facilities and other resources;
(5) Reasonableness of estimated cost in relation to anticipated results;
(6) Expected potential for utilizing the results of the proposed project in other projects or programs for similar educational purposes;
(7) Sufficiency of size, scope, and duration of the project so as to secure productive results; and
(8) Soundness of the proposed plan of operation, including consideration of the extent to which:
(i) The objectives of the proposed project are sharply defined, clearly stated, capable of being attained by the proposed procedures, and capable of being measured;
(ii) Provision is made for adequate evaluation of the effectiveness of the project and for determining the extent to which the objectives are accomplished;
(iii) Where appropriate, provision is made for satisfactory inservice training connected with project services; and
(iv) Provision is made for disseminating the results of the project and for making materials, techniques, and other outputs resulting therefrom available to the general public and specifically to those concerned with the area of education with which the project is itself concerned.
(20 U.S.C. 1221c(b) (1).)
§ 100a.27 Disposition of applications.
(a) On the basis of the review of an application pursuant to § 100a.26, the Commissioner will either (1) select the application for funding in whole or in part, for such amount of funds and subject to such conditions as he may deem necessary or desirable for the comple
tion of the approved project, (2) not select the application for funding, or (3) defer action on the application for such reasons as lack of funds or a need for further review.
(b) An application which is deferred or not selected for funding is not precluded from reconsideration or resubmission.
(c) The Commissioner will notify the applicant in writing of the disposition of its application. A notification of grant award or contract document will be issued to notify the applicant of a project application selected for funding.
(d) If the Commissioner awards a grant, the grant shall be subject to, and the grant award document will incorporate, the grant terms and conditions set forth in appendix A to this subchapter, pursuant to § 100a.290. If the Commissioner awards a contract, the contract award document shall include whatever provisions are required by Federal law or regulations, including the regulations of the applicable Federal program. (20 U.S.C. 1221c (b) (1).)
The grant or contract must be appropriately amended prior to any material change in the administration of an approved project, or in organization, policies, or operations affecting an approved project. Substantive amendments will be subject to approval in the same manner as original applications. Project amendments may be initiated by the Commissioner if changes are made in Federal appropriations or laws governing such projects. If such amendment constitutes a partial termination of the award, the procedures contained in § 100a.495 shall apply.
(20 U.S.C. 1221c(b)(1); 1232c.)
§ 100a.29 Budget revisions and minor
(a) State and local governments. (1) This paragraph applies only to recipients which are State and local governments (as defined in § 100.1 of this subchapter).
(OMB Circular No. A-102, attachment K.) (2) As used in this paragraph: (i) "Direct cost object class budget categories" include only the following: (a) Personnel;
(b) Fringe benefits; (c) Travel;
(d) Equipment; (e) Supplies;
(g) Construction; and (h) Other.
(ii) "Construction" means solely or primarily for construction.
(iii) "Nonconstruction" means not solely or primarily for construction. (OMB Circular No. A-102, exhibit M-3, 5.)
(3) For nonconstruction grants and contracts, State and local government recipients shall request prior approval promptly from the Commissioner for budget revisions whenever:
(i) The revision results from changes in the scope or the objectives of the project;
(ii) The revision indicates the need for additional Federal funding;
(iii) The budget is over $100,000 and the cumulative amount of transfers among direct cost object class budget categories exceeds or is expected to exceed $10,000, or 5 percent of the budget, whichever is greater. The same criteria apply to the cumulative amount of transfees among projects, functions, and activities when budgeted separately for a grant or contract, except that no transfer is permissible which could cause any Federal appropriation, or part thereof, to be used for purposes other than those intended;
(iv) The budget is $100,000 or less, and the cumulative amount of transfers among direct cost object class budget categories exceeds or is expected to exceed 5 percent of the budget. The same criteria apply to the cumulative amount of transfers among projects, functions, and activities when budgeted separately for a grant or contract, except that no transfer is permissible which would cause any Federal appropriation, or part thereof, to be used for purposes other than those intended;
(v) The revisions involve the transfer of amounts budgeted for indirect costs to absorb increases in direct costs; or
(vi) The revisions pertain to the addition of items requiring prior approval in accordance with the provisions of appendix B of this subchapter.
(OMB Circular No. A-102, attachment K, 1-2.)
(4) Budget revisions for nonconstruction grants or contracts, other than those revisions set forth in paragraph (a) (3) of this section, do not require approval by the Commissioner. Budget revisions which do not require such approval include (i) the use of recipient funds in
furtherance of project objectives over and above the recipient minimum share (if any) included in the approved budget and (ii) the transfer of amounts budgeted for direct costs to absorb authorized increases in indirect costs.
(OMB Circular No. A-102, attachment K, 2.)
(5) For construction grants and contracts, State and local government recipients shall request prior approval promptly from the Commissioner for budget revisions whenever;
(i) The revision results from changes in the scope or objective of the project;
(ii) The revision increases the budgeted amounts of Federal funds needed to complete the project.
(OMB Circular No. A-102, attachment K, 2.)
(6) (i) For both construction and nonconstruction grants and contracts, State and local government recipients shall notify the Commissioner promptly whenever the amount of Federal authorized funds is expected to exceed the needs of the recipient by more than $5,000 or 5 percent of the Federal grant or contract, whichever is greater.
(ii) The notification required in paragraph (a) (6) (i) of this section will not be required when applications for additional funding are submitted for continuing grants and contracts and those applications include the recipient's estimate of what the unobligated balance of federally-authorized funds will be at the end of the current period.
(OMB Circular No. A-102, attachment K, 2.)
(7) When requesting approval for budget revisions, recipients shall use the budget forms which were used in the application. However, recipients may request by letter the approvals required by paragraph (a) (3) (vi) of this section.
(8) Within 30 days from the date of receipt of the request for budget revisions, the Commissioner will review the request and notify the recipient as to whether or not the budget revisions have been approved. If the revision is still under consideration at the end of that 30-day period, the Commissioner will inform the recipient in writing as to when the recipient may expect the Commissioner's decision.
(OMB Circular No. A-102, attachment K, 3.)
(b) Recipients other than State and local governments. Minor deviations from the project of a recipient other than a State or local government (as