(2) The application must include— (i) A demonstration of need for literacy and basic skills training;

(ii) A description of the business or industry for which the strategy is to be established;

(iii) A statement of specific, measurable goals and participant outcomes;

(iv) A strategy for achieving the goals, including a description of the process to identify literacy and basic skills required by employers and the skills of individual workers, and a description of the specific services to be provided; and

(v) A description of the costs of the activities to be undertaken.

(Approved by the Office of Management and Budget under control number 18300512)

(Authority: 20 U.S.C. 1211(c)(3))

Subpart C-How Does the Secretary Make an Award?

§ 473.20 How does the Secretary evaluate an application?

(a) The Secretary evaluates an application on the basis of the criteria in § 473.21.

(b) The Secretary awards up to 100 points for these criteria, including 10 points that the Secretary assigns in accordance with paragraph (d) of this section.

(c) The maximum possible score for each criterion is indicated in parenthe

ses.

(d) For each competition under this part, the Secretary, in a notice published in the FEDERAL REGISTER, assigns 10 points among the criteria in § 473.21.

(Authority: 20 U.S.C. 1211(c))

§ 473.21 What selection criteria does the Secretary use?

The Secretary uses the following criteria to evaluate an application:

(a) Program factors. (15 points) The Secretary reviews each application to determine the extent to which the project

(1)(i) Will have a significant impact

(A) On a workforce in a particular type of business or industry, such as textile manufacture or health care;

(B) On businesses and industries of a specific size, such as small businesses and industries; or

(C) On businesses and industries in a specific type of geographic area, such as urban or rural businesses and industries; or

(ii) Has an innovative approach, such as an interactive video curriculum or peer mentoring, that will provide a model that is replicable in other businesses or industries of a similar type, size, or geographic area;

(2) Demonstrates a strong relationship between instruction and the literacy requirements of actual jobs, especially the increased skill requirements of the changing workplace;

(3) Is targeted to adults with inadequate basic skills for whom the training described is expected to mean new employment, continued employment, career advancement, or increased productivity;

(4) Involves workers in designing and implementing the project and in evaluating its outcomes;

(5) Includes support services designed to overcome the barriers experienced by small and medium-sized businesses and their employees in participating in the project. Support serv ices may include educational counsel. ing, transportation, and child care during non-working hours while adult workers are participating in the

project;

(6) Demonstrates the active commitment of all partners to accomplishing the goals of the project and the participant outcomes to be achieved; and

(7) Demonstrates the partnership's ability to continue the program when Federal funds are no longer available.

(b) Extent of need for the project. (12 points) The Secretary reviews each application to determine the extent to which the project meets specific needs, including consideration of

(1) The extent to which the project will focus on demonstrated national needs for workforce literacy training of adult workers;

(2) The adequacy of the applicant's documentation of the national needs to be addressed by the project;

(3) How well those national needs will be met by the project;

(4) The benefits to adult workers and their businesses and industries that will result from meeting those national needs; and

(5) The extent to which the application demonstrates a relationship between the basic skills training to be provided to adult workers and subsequent job-specific training to be provided to those workers.

(c) Quality of training. (15 points) The Secretary reviews each application to determine the quality of training to be provided by the project, including the extent to which the project will

(1) Use curriculum materials that are designed for adults and that reflect the needs of the workplace;

(2) Use individualized educational plans developed jointly by instructors and adult learners;

(3) Take place in a readily accessible environment conducive to adult learning; and

(4) Provide training through the partner that is an SEA, a local educational agency, an institution of higher education, or a school (including an area vocational school, an employment and training agency, or a communitybased organization), unless transferring this activity to another partner is necessary and reasonable within the framework of the project.

(d) Cooperative arrangements. (5 points) The Secretary considers

(1) The extent to which the project includes cooperative arrangements with organizations, other than partners, that are involved in providing literacy and basic skills training, including adult education organizations, vocational education organizations, community and junior colleges, community-based organizations, State level agencies, and private industry councils;

(2) The adequacy of the description of the roles of the organizations with whom these cooperative arrangements are made; and

(3) The extent to which the application demonstrates the active commitment of each of those organizations to accomplishing the goals of the project and the participant outcomes to be achieved.

(e) Plan of operation. (12 Points) The Secretary reviews each application to determine the quality of the plan of operation for the project, including

(1) The quality of the design of the project;

(2) The extent to which the project goals and participant outcomes(i) Will accomplish the purposes of the National Workforce Literacy Strategies program;

(ii) Are attainable within the project period, given the project's budget and other resources;

(iii) Are susceptible to evaluation; (iv) Are objective and measurable; and

(v) For a multi-year project, include specific objectives to be met, during each budget period, that can be used to determine the progress of the project toward meeting its intended goals and participant outcomes;

(3) The extent to which the plan of management is effective, ensures proper and efficient administration of the project, and includes

(i) A description of the respective roles of each member of the partnership in carrying out the plan;

(ii) A description of the activities to be carried out by any contractors under the plan; and

(iii) A description of the respective roles, including any cash or in-kind contributions, of any organizations that are not members of the partnership;

(4) The quality of the applicant's plan to use resources and personnel to achieve the objectives, goals, and intended participant outcomes described in the application;

(5) The quality of the applicant's plan to effectively disseminate, on a national, State, or local level, promising practices developed and found successful during the project period; and

(6) How the applicant will ensure that project participants who are otherwise eligible to participate are selected without regard to race, color, national origin, gender, age, or disabling condition.

(f) Applicant's experience and quality of key personnel. (11 points)

(1) The Secretary reviews each application to determine the extent of

the applicant's experience in providing literacy services to adult workers.

(2) The Secretary also reviews each application to determine the quality of key personnel that the applicant plans to use on the project, including

(i) The qualifications of the project director, in relation to the purposes of the project;

(ii) The qualifications of each of the other key personnel, in relation to the purposes of the project;

(iii) The time that each person referred to in paragraphs (f)(2)(i) and (ii) of this section will commit to the project; and

(iv) How the applicant, as part of its nondiscriminatory employment practices, will ensure that its personnel are selected for employment without regard to race, color, national origin, gender, age, or disabling condition.

(3) To determine personnel qualifications, the Secretary considers

(i) Experience and training in fields related to the objectives, goals, and intended participant outcomes described in the application;

(ii) Experience and training in project management.

(g) Evaluation plan. (15 points) The Secretary reviews each application to determine the quality of the evaluation plan for the project, including the extent to which the applicant's methods of evaluation—

(1) Are clearly explained and appropriate to the project;

(2) Will be conducted by an independent evaluator;

(3) Will assess the impact of improving basic skills on workforce or industry productivity variables such as job turnover, attendance, waste or error rates, hourly production, and lost management time;

(4) Include formative evaluation activities to help assess student progress and program management and improve program operations;

(5) Are applied systematically throughout the project period and will determine how successful the project is in meeting its intended objectives, goals, and participant outcomes; and

(6) To the extent possible, are objective and produce data that are quantifiable.

(h) Budget and cost-effectiveness. (5 points)

(1) The Secretary reviews each application to determine if the project has an adequate budget and is cost effective.

(2) The Secretary considers the extent to which

(i) The budget for the project is adequate to support the project activities; and

(ii) Costs are reasonable in relation to the purposes of the project. (Approved by the Office of Management and Budget under control number 18300512)

(Authority: 20 U.S.C. 1211(c))

§ 473.22 What additional factors does the Secretary consider?

In addition to the criteria in § 473.21, the Secretary may consider geographic factors, such as rural and urban areas and national distribution. (Authority: 20 U.S.C. 1211(c)(7))

§ 473.23 May the Secretary limit the design phase of a project?

The Secretary may limit the design phase of a project to a reasonable period.

(Authority: 20 U.S.C. 1211(c))

§ 473.24 May the Secretary limit the amount of funds for technology-based learning environments?

The Secretary may limit the amount or percentage of an award, or the amounts or percentages of all awards in a fiscal year, that may be used for technology-based learning environments, including amounts for hardware and software.

(Authority: 20 U.S.C. 1211(c))

§ 473.25 What is the Federal share of projects funded under this part?

An award under this part may not exceed 70 percent of the cost of a project.

(Authority: 20 U.S.C. 1211(c)(2), (5))

474.30 How many States use funds under this program?

474.31 How must projects that serve individuals of limited English proficiency provide for the needs of those adults? AUTHORITY: 20 U.S.C. 1211a(d), unless otherwise noted.

SOURCE: 54 FR 34424, Aug. 18, 1989, unless otherwise noted. Redesignated at 57 FR 24091, June 5, 1992.

EFFECTIVE DATE NOTE: At 57 FR 24091, June 5, 1992, part 474 was redesignated from part 435, effective either 45 days after publication in the FEDERAL REGISTER or later if Congress takes certain adjournments. The Department of Education will publish a document in the FEDERAL REGISTER at a later date, announcing the effective date.

Subpart A-General

8 474.1 What is the National English Literacy Demonstration Program for Individuals of Limited English Proficiency?

The National English Literacy Demonstration Program for individuals of limited English proficiency provides financial assistance for the development of innovative approaches and methods

used in English literacy programs for individuals of limited English proficiency.

(Authority: 20 U.S.C. 1211a(d))

§ 474.2 Who is eligible for an award?

Public or private nonprofit agencies, institutions, or organizations are eligible for a grant, cooperative agreement, or contract under this program.

(Authority: 20 U.S.C. 1211a(d))

§ 474.3 What activities may the Secretary fund?

(a) The Secretary may support, directly or through awards, the development of innovative approaches and methods of English literacy education for individuals of limited English proficiency that use new instructional methods and technologies.

(b) These innovative approaches and methods must be designed to help limited English proficient adults, out-ofschool youths, or both, to achieve full competence in the English language. (Authority: 20 U.S.C. 1201a(13) and 1211a(d)(1))

§ 474.4 What regulations apply?

The following regulations apply to the National English Literacy Demonstration Program for Individuals of Limited English Proficiency:

(a) The Federal Acquisition Regulation (FAR) in 48 CFR Chapter 1 and the Department of Education Acquisition Regulation (EDAR) in 48 CFR chapter 34 (applicable to contracts).

(b) The regulations in this part 474. (c) The regulations in 34 CFR part 425.

(Authority: 20 U.S.C. 1221a)

§ 474.5 What definitions apply?

The definitions in 34 CFR 425.4 apply to this part.

(Authority: 20 U.S.C. 1221a)

Subpart B-[Reserved]

Subpart C-How Does the Secretary Make an Award?

8 474.20 How does the Secretary evaluate an application?

(a) The Secretary evaluates an application for a grant or cooperative agreement on the basis of the criteria in § 474.21.

(b) The Secretary may award up to 100 points, including a reserved 15 points to be distributed in accordance with paragraph (d) of this section, based on the criteria in § 474.21.

(c) Subject to paragraph (d) of this section, the maximum possible score for each criterion is indicated in parentheses.

(d) For each competition as announced through a notice published in the FEDERAL REGISTER, the Secretary may assign the reserved points among the criteria in § 474.21.

(Authority: 20 U.S.C. 1221a(d))

§ 474.21 What selection criteria does the Secretary use?

The Secretary uses the following criteria to evaluate an application:

(a) Extent of need for the project. (15 points) The Secretary reviews each application to determine the extent to which the project meets specific needs, including consideration of

(1) The need for the innovative approaches and methods of English literacy education for individuals of limited English proficiency that the project proposes to develop;

(2) How the needs were identified; and

(3) How the project will meet the needs.

(b) Project objectives. (10 points) the Secretary reviews each application to determine the extent to which the project objectives

(1) Relate to the innovative approaches and methods of English literacy education for individuals of limited English proficiency proposed for use in the project;

(2) Are clearly stated;

(3) Are measurable; and

(4) Describe appropriate outcomes.

(c) Plan of operation. (20 points) The Secretary reviews each application to determine the quality of the plan of operation for the project including

(1) The quality of the project design and how it incorporates the use of new instructional methods and technologies;

(2) The extent to which the management plan is well-designed and ensures proper and efficient administration of the project;

(3) The quality of the applicant's plan to use its resources and personnel to achieve each objective; and

(4) How the applicant will select project participants and ensure that project participants who are otherwise eligible to participate are selected without regard to race, color, national origin, gender, age, or handicapping condition.

(d) Evaluation. (15 points) the Secretary reviews each application to determine the quality of the evaluation plan for the project, including the extent to which the applicant's methods of evaluation

(1) Are appropriate to the project;

(2) To the extent possible, are objective and produce data that are quantifiable;

(3) Contribute to the possible replication of the project; and

(4) To the extent possible, include a third party evaluation.

(e) Quality of key personnel. (15 points) (1) The Secretary reviews each application to determine the quality of key personnel the applicant plans to use on the project, including

(i) The qualifications of the director and other key personnel to be used in the project, particularly as their experience and expertise relate to English literacy and training in English-as-asecond-language for adults;

(ii) The appropriateness of the time that each person referred to in paragraph (e)(1)(i) of this section will commit to the project; and

(iii) How the applicant, as part of its nondiscriminatory employment practices, will ensure that personnel will be selected without regard to race, color, national origin, gender, age, or handicapping condition.