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which has been questioned at the time of audit shall be maintained until necessary adjustments have been reviewed and cleared by the Department or by the Grants Officer.

14. Disposal of Records

General Rule

Each Grantee shall provide for keeping accessible and intact all records pertaining to the Grant: (1) For 3 years after the close of the fiscal year in which the expenditures are liquidated; or (2) Until the Grantee is notified that such records are not needed for program administrative review, or (3) Until the Grantee is notified of the completion of the Federal fiscal audit.

15. Federal Regulations

All projects under this Grant shall be conducted in accordance with, and subject to, the applicable statutes and regulations under which the Grant is made.

16. Purchases and/or Rentals

Subcontracts and provisions for purchases of supplies, materials, services and/or equipment, and rental of equipment, and/or space shall be made in accordance with applicable State and local regulations.

17. Cooperative Agreements

A Grantee may enter into a cooperative agreement or contract to provide services under this Grant if the services to be so provided, as well as the cooperating institution, organization, or agency, are specified in the project proposal and if the agreement or contract has been approved in writing by the Grants Officer. Such a cooperative agreement or contract will be acceptable only if the Grants Officer is assured that the Grantee will retain the responsibility for supervision of the project.

18. Travel

a. Travel shall be in accordance with institution regulations. b. No foreign travel is authorized under this Grant unless prior approval is received from the Grants Officer.

19. Clearance of Forms

In the event the work performed involves the collection of identical information from 10 or more individuals or organizations other than Federal employees or agencies, the Grantee will submit to the Grants Officer six copies of all questionnaire forms and survey plans for approval prior to their use.

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As used throughout the Grant Document, the following shall have the meanings and limitations set forth below:

A. The term "Public" as applied to any school includes a school of any agency of the United States Government.

B. For purposes of dependency allowances, "Dependent" means those persons (excluding the participant) for whom deductions are allowable for Federal Income Tax purposes. A married participant who files a joint return and whose spouse is the major earner, may not claim any dependents.

Notwithstanding the provisions of the above definition, an individual will not be considered to be a dependent if under this or any other program of Federal Educational Assistance such individual is receiving a stipend or an allowance in the nature of subsistence or is being claimed as a dependent of another person.

2. Oath or Affirmation (Not applicable for arts and humanities institutes)

A. The Grantee shall not pay any stipend to any individual enrolled in the Institute unless such individual has taken and subscribed to an oath or affirmation, prescribed by section 1001 (F) (1) of Public Law 85-864, as amended.

B. The Grantee shall incorporate such oath or affirmation with the Institute records.

3. Limitation on Payments to Dependents

The claiming and paying for additional dependents not provided for under this grant shall be allowable costs without regard to the limitation on costs stated in Article 3 of the Grant Terms and Conditions entitled Limitations on Costs.

4. Brochures, Circulars or Announcements

Brochures, circulars, or announcements prepared by the Project Director to announce the Institute to prospective applicants will: A. Refer to the Institutes for Advanced Study by type of program, and

B. Conform throughout with the Plan of Operation, and specifically with the selection criteria set forth therein.

The Project Director shall submit to the Project Officer two copies of each such announcement as soon as it becomes available for distribution.

5. Estimate of Time or Effort

The Grantee shall maintain quarterly "Time or Effort Reports" for all professional staff rendering services under this Grant. Such reports shall be prepared on an ex post facto basis not later than 1 month following the quarter within which the services were rendered. The estimate may be based on either hours or on percentage of effort. The estimate may be prepared by either the professional staff member himself or his supervisor and retained by the Grantee. The "Time or Effort Reports" should be available for inspection at any time by representatives of the Government.

6. Equipment Purchases (Not applicable to arts and humanities institutes)

No funds received under this Grant shall be used for the purchase of Science, Math and Modern Language teaching equipment or equipment suitable for use for teaching in such fields of education, which can be identified as originating in or having been exported from a Communist Country unless such equipment is unavailable from any other source.

7. Technical Reports

In accordance with article 4a of the Grant Terms and Conditions entitled Reports, the Grantee shall submit to the Project Officer two copies of the final report of the work performed under this Grant 30 days after the completion date of the Institute.



1. The following pages are not intended as a form to be filled in and returned. Rather, they contain an outline of required provisions presented in an acceptable format to be used by State staffs as a guide in preparing and presenting an approvable revised plan. All material in the guide outline, other than the paragraph and subparagraph headings, is merely illustrative of the type of information which should be supplied in the section. However, the numbering system should be followed. The instructions may contain interpretations of the Federal statute more detailed than those contained in the Regulations (45 CFR Part 143).

2. Copy should be typed or duplicated on standard 81⁄2"x11" white paper with at least a one inch margin on left.

3. The plan should include appropriate paragraphs under each numbered and titled paragraph or subparagraph shown in the guide outline which follows. If a State wishes to provide information not appropriate under any subparagraph heading of the outline, appropriate subparagraphs with numbers and headings should be added.

4. Each major paragraph (e.g., 1.0, 2.0, or 3.0) should begin on a new page. 5. Pages should not be numbered but, to repeat, the numerical indexing of paragraphs and subparagraphs should be followed. This will provide ready reference and convenient substitution in case of amendments to the plan. Each page should, however, carry in the upper right-hand corner the number of the first paragraph or subparagraph beginning on that page.

6. Pages in the appendix, if any, should be designated in the upper right-hand corner by the specific section or subsection to which the appendix material is germane. A separate sheet should be used for each item of material placed in the appendix.

7. Charts or forms on larger pages, if any, should be folded to plan size and secured to the rest of the plan in a way which will permit spreading out without being detached.

8. States are advised to read the entire guide and regulations before they begin to prepare a plan. The overall view will help in understanding what information should be included in each paragraph or subparagraph and the effect of the information on approvability of the State plan.

9. Four copies of the plan or of any amendments are required; all copies are to be fully executed, that is accompanied by fully executed required certificate. One copy of the State's plan and amendments will be returned to the State agency with the Commissioner's approval.

10. Amendments should conform to the original paragraph numbering and page arrangement so that they can be inserted in the plan document at the appropriate places; should be accompanied by a certificate of the State educational agency and, in case of amendments involving interpretations of State law, by a certificate of the appropriate State legal officer.


A letter of transmittal should accompany each copy of the plan or any amendments thereto. The transmittal letter, or a face sheet, should indicate the date on which the plan or amendment was approved by the State agency. All plans and amendments thereto should be submitted to the Director, Division of State Grants, Bureau of Educational Assistance Programs, U.S. Office of Education, Department of Health, Education, and Welfare, Washington, D.C. 20202.



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