[Federal Register Volume 59, Number 11 (Tuesday, January 18, 1994)]
[Unknown Section]
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From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-903]
[[Page Unknown]]
[Federal Register: January 18, 1994]
_______________________________________________________________________
Part III
Department of Education
_______________________________________________________________________
34 CFR Part 644
Educational Opportunity Centers Program; Final Rule and Notice Inviting
Applications
DEPARTMENT OF EDUCATION
34 CFR Part 644
RIN 1840-AB65
Educational Opportunity Centers
AGENCY: Department of Education.
ACTION: Final regulations.
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SUMMARY: The Secretary amends the regulations governing the Educational
Opportunity Centers program. The Educational Opportunity Centers
program is authorized under title IV of the Higher Education Act of
1965 (HEA), and these final regulations implement changes made to the
HEA by the Higher Education Amendments of 1992. In addition to
incorporating statutory changes, the regulations also clarify and
simplify requirements governing the program and revise one funding
criterion.
The purposes and allowable activities of the Educational
Opportunity Centers program support the National Education Goals.
Specifically, the program funds projects designed to improve the
academic competency of program participants (Goal #3).
DATES: These regulations take effect either 45 days after publication
in the Federal Register or later if the Congress takes certain
adjournments. If you want to know the effective date of these
regulations, call or write to the Department of Education contact
person. A document announcing the effective date will be published in
the Federal Register.
Applicability: The criteria listed under Sec. 644.22 will apply on
and after June 1, 1994. Until June 1, 1994, the existing criteria will
continue to apply.
FOR FURTHER INFORMATION CONTACT: Margaret A. Wingfield, U.S. Department
of Education, 400 Maryland Avenue, SW., room 5065, Washington, DC
20202-5249. Telephone: (202) 708-4804. Individuals who use a
telecommunications device for the deaf (TDD) may call the Federal
Information Relay Service (FIRS) at 1-800-877-8339 between 8 a.m. and 8
p.m., Eastern time, Monday through Friday.
SUPPLEMENTARY INFORMATION: These regulations implement the Higher
Education Amendments of 1992 (Pub. L. 102-325, enacted July 23, 1992).
The Educational Opportunity Centers program provides grants to
institutions of higher education; public and private agencies and
organizations; combinations of institutions, agencies, and
organizations; and secondary schools under special circumstances. The
purposes of the program are to (1) provide information regarding
financial and academic assistance available for individuals who desire
to pursue a program of postsecondary education; and (2) assist
individuals in applying for admission to institutions that offer
programs of postsecondary education, including preparing necessary
applications for use by admissions and financial aid officers.
On October 26, 1993, the Secretary published a notice of proposed
rulemaking (NPRM) for this program in the Federal Register (58 FR
57704). The NPRM included a summary of regulations proposed to
implement statutory changes and other regulations proposed to clarify
and simplify requirements governing the program.
Analysis of Comments and Changes
In response to the Secretary's invitation in the NPRM, 45 persons
submitted comments on the proposed regulations. An analysis of the
comments and the changes that have been made in the regulations since
publication of the NPRM is published as an appendix to these final
regulations.
Major Changes in the Regulations
The major differences between the NPRM and these final regulations
are as follows:
1. Section 644.21 (Selection Criteria--Plan of Operation)
The criterion listed under Sec. 644.21(c)(5) has been modified to
encourage applicants to include information about their plan to
coordinate with other projects for disadvantaged students.
2. Section 644.30 (Allowable Costs)
Section 644.30 has been revised to include, as allowable costs,
transportation, lodging, and meals for project participants and staff
during visits to postsecondary institutions or for participation in
``College Day'' and career awareness activities. Also, fees for college
admissions applications and college entrance examination fees are now
permissible under certain circumstances.
3. Section 644.31 (Unallowable Costs)
This section has been revised to conform to the changes made in the
allowable costs section.
4. Section 644.32 (Recordkeeping)
The language in Sec. 644.32(d)(1) has been modified to lessen the
recordkeeping burden on grantees.
Intergovernmental Review
This program is subject to the requirement of Executive Order 12372
and the regulations in 34 CFR part 79. The objective of the Executive
order is to foster an intergovernmental partnership and a strengthened
federalism by relying on processes developed by State and local
governments for coordination and review of proposed Federal financial
assistance.
In accordance with the order, this document is intended to provide
early notification of the Department's specific plans and actions for
this program.
Assessment of Educational Impact
In the notice of proposed rulemaking, the Secretary requested
comments on whether the proposed regulations would require transmission
of information that is being gathered by or is available from any other
agency or authority of the United States.
Based on the response to the proposed rules and on its own review,
the Department has determined that the regulations in this document do
not require transmission of information that is being gathered or is
available from any other agency or authority of the United States.
List of Subjects in 34 CFR Part 644
Colleges and Universities, Education of disadvantaged, Grant
programs--education, Reporting and recordkeeping requirements,
Secondary education.
(Catalog of Federal Domestic Assistance Number 84.066 Educational
Opportunity Centers Program.)
Dated: January 10, 1994.
Richard W. Riley,
Secretary of Education.
The Secretary revises part 644 of title 34 of the Code of Federal
Regulations to read as follows:
PART 644--EDUCATIONAL OPPORTUNITY CENTERS
Subpart A--General
Sec.
644.1 What is the Educational Opportunity Centers program?
644.2 Who is eligible for a grant?
644.3 Who is eligible to participate in a project?
644.4 What services may a project provide?
644.5 How long is a project period?
644.6 What regulations apply?
644.7 What definitions apply?
Subpart B--Assurances
644.10 What assurances must an applicant submit?
Subpart C--How Does the Secretary Make a Grant?
644.20 How does the Secretary decide which new grants to make?
644.21 What selection criteria does the Secretary use?
644.22 How does the Secretary evaluate prior experience?
644.23 How does the Secretary set the amount of a grant?
Subpart D--What Conditions Must Be Met by a Grantee?
644.30 What are allowable costs?
644.31 What are unallowable costs?
644.32 What other requirements must a grantee meet?
Authority: 20 U.S.C. 1070a-11 and 1070a-16, unless otherwise
noted.
Subpart A--General
Sec. 644.1 What is the Educational Opportunity Centers program?
The Educational Opportunity Centers program provides grants for
projects designed to provide--
(a) Information regarding financial and academic assistance
available for individuals who desire to pursue a program of
postsecondary education; and
(b) Assistance to individuals in applying for admission to
institutions that offer programs of postsecondary education, including
assistance in preparing necessary applications for use by admissions
and financial aid officers.
(Authority: 20 U.S.C. 1070a-16)
Sec. 644.2 Who is eligible for a grant?
The following are eligible for a grant to carry out an Educational
Opportunity Centers project:
(a) An institution of higher education.
(b) A public or private agency or organization.
(c) A combination of the types of institutions, agencies, and
organizations described in paragraphs (a) and (b) of this section.
(d) A secondary school, under exceptional circumstances such as if
no institution, agency, or organization described in paragraphs (a) and
(b) of this section is capable of carrying out an Educational
Opportunity Centers project in the target area to be served by the
proposed project.
(Authority: 20 U.S.C. 1070a-11)
Sec. 644.3 Who is eligible to participate in a project?
(a) An individual is eligible to participate in an Educational
Opportunity Centers project if the individual meets all of the
following requirements:
(1)(i) Is a citizen or national of the United States;
(ii) Is a permanent resident of the United States;
(iii) Is in the United States for other than a temporary purpose
and provides evidence from the Immigration and Naturalization Service
of his or her intent to become a permanent resident;
(iv) Is a permanent resident of Guam, the Northern Mariana Islands,
or the Trust Territory of the Pacific Islands (Palau); or
(v) Is a resident of the Freely Associated States--the Federated
States of Micronesia or the Republic of the Marshall Islands.
(2)(i) Is at least 19 years of age; or
(ii) Is less than 19 years of age, and the individual cannot be
appropriately served by a Talent Search project under 34 CFR part 643,
and the individual's participation would not dilute the Educational
Opportunity Centers project's services to individuals described in
paragraph (a)(2)(i) of this section.
(3) Expresses a desire to enroll, or is enrolled, in a program of
postsecondary education, and requests information or assistance in
applying for admission to, or financial aid for, such a program.
(b) A veteran as defined in Sec. 644.7(b), regardless of age, is
eligible to participate in an Educational Opportunity Centers project
if he or she satisfies the eligibility requirements in paragraph (a) of
this section other than the age requirement in paragraph (a)(2) of this
section.
(Authority: 20 U.S.C. 1070a-11 and 1070a-16)
Sec. 644.4 What services may a project provide?
An Educational Opportunity Centers project may provide the
following services:
(a) Public information campaigns designed to inform the community
about opportunities for postsecondary education and training.
(b) Academic advice and assistance in course selection.
(c) Assistance in completing college admission and financial aid
applications.
(d) Assistance in preparing for college entrance examinations.
(e) Guidance on secondary school reentry or entry to a General
Educational Development (GED) program or other alternative education
program for secondary school dropouts.
(f) Personal counseling.
(g) Tutorial services.
(h) Career workshops and counseling.
(i) Mentoring programs involving elementary or secondary school
teachers, faculty members at institutions of higher education,
students, or any combination of these persons.
(j) Activities described in paragraphs (a) through (i) of this
section that are specifically designed for students of limited English
proficiency.
(k) Other activities designed to meet the purposes of the
Educational Opportunity Centers program stated in Sec. 644.1.
(Authority: 20 U.S.C. 1070a-16)
Sec. 644.5 How long is a project period?
(a) Except as provided in paragraph (b) of this section, a project
period under the Educational Opportunity Centers program is four years.
(b) The Secretary approves a project period of five years for
applications that score in the highest ten percent of all applications
approved for new grants under the criteria in Sec. 644.21.
(Authority: 20 U.S.C. 1070a-11)
Sec. 644.6 What regulations apply?
The following regulations apply to the Educational Opportunity
Centers program:
(a) The Education Department General Administrative Regulations
(EDGAR) as follows:
(1) 34 CFR Part 74 (Administration of Grants to Institutions of
Higher Education, Hospitals, and Nonprofit Organizations).
(2) 34 CFR Part 75 (Direct Grant Programs), except for Sec. 75.511.
(3) 34 CFR Part 77 (Definitions that Apply to Department
Regulations), except for the definition of ``secondary school'' in
Sec. 77.1.
(4) 34 CFR Part 79 (Intergovernmental Review of Department of
Education Programs and Activities).
(5) 34 CFR Part 82 (New Restrictions on Lobbying).
(6) 34 CFR Part 85 (Governmentwide Debarment and Suspension
(Nonprocurement) and Governmentwide Requirements for Drug-Free
Workplace (Grants)).
(7) 34 CFR Part 86 (Drug-Free Schools and Campuses).
(b) The regulations in this part 644.
(Authority: 20 U.S.C. 1070a-11 and 1070a-16)
Sec. 644.7 What definitions apply?
(a) Definitions in EDGAR. The following terms used in this part are
defined in 34 CFR 77.1:
Applicant
Application
Budget
Budget period
EDGAR
Equipment
Facilities
Fiscal year
Grant
Grantee
Private
Project
Project period
Public
Secretary
Supplies
(b) Other definitions. The following definitions also apply to this
part:
HEA means the Higher Education Act of 1965, as amended.
Institution of higher education means an educational institution as
defined in sections 1201(a) and 481 of the HEA.
Low-income individual means an individual whose family's taxable
income did not exceed 150 percent of the poverty level amount in the
calendar year preceding the year in which the individual initially
participated in the project. The poverty level amount is determined by
using criteria of poverty established by the Bureau of the Census of
the U.S. Department of Commerce.
Participant means an individual who--
(i) Is determined to be eligible to participate in the project
under Sec. 644.3; and
(ii) Receives project services.
Postsecondary education means education beyond the secondary school
level.
Potential first-generation college student means--
(i) An individual neither of whose parents received a baccalaureate
degree; or
(ii) An individual who regularly resided with and received support
from only one parent and whose supporting parent did not receive a
baccalaureate degree.
Secondary school means a school that provides secondary education
as determined under State law, except that it does not include
education beyond grade 12.
Target area means a geographic area served by an Educational
Opportunity Centers project.
Veteran means a person who served on active duty as a member of the
Armed Forces of the United States--
(i) For a period of more than 180 days, any part of which occurred
after January 31, 1955, and who was discharged or released from active
duty under conditions other than dishonorable; or
(ii) After January 31, 1955, and who was discharged or released
from active duty because of a service-connected disability.
(Authority: 20 U.S.C. 1070a-11, 1070a-16, and 1141)
Subpart B--Assurances
Sec. 644.10 What assurances must an applicant submit?
An applicant shall submit, as part of its application, assurances
that--
(a) At least two-thirds of the individuals it serves under its
proposed Educational Opportunity Centers project will be low-income
individuals who are potential first-generation college students;
(b) Individuals who are receiving services from another Educational
Opportunity Centers project or a Talent Search project under 34 CFR
Part 643 will not receive services under the proposed project;
(c) The project will be located in a setting or settings accessible
to the individuals proposed to be served by the project; and
(d) If the applicant is an institution of higher education, it will
not use the project as a part of its recruitment program.
(Authority: 20 U.S.C. 1070a-16)
Subpart C--How Does the Secretary Make a Grant?
Sec. 644.20 How does the Secretary decide which new grants to make?
(a) The Secretary evaluates an application for a new grant as
follows:
(1)(i) The Secretary evaluates the application on the basis of the
selection criteria in Sec. 644.21.
(ii) The maximum score for all the criteria in Sec. 644.21 is 100
points. The maximum score for each criterion is indicated in
parentheses with the criterion.
(2)(i) For an application for a new grant to continue to serve
substantially the same populations or campuses that the applicant is
serving under an expiring project, the Secretary evaluates the
applicant's prior experience in delivering services under the expiring
project on the basis of the criteria in Sec. 644.22.
(ii) The maximum score for all the criteria in Sec. 644.22 is 15
points. The maximum score for each criterion is indicated in
parentheses with the criterion.
(3) The Secretary awards additional points equal to 10 percent of
the application's score under paragraphs (a) (1) and (2) of this
section to an application for a project in Guam, the Virgin Islands,
American Samoa, the Trust Territory of the Pacific Islands (Palau), or
the Northern Mariana Islands if the applicant meets the requirements of
subparts A, B, and D of this part.
(b) The Secretary makes new grants in rank order on the basis of
the applications' total scores under paragraphs (a) (1) through (3) of
this section.
(c) If the total scores of two or more applications are the same
and there are insufficient funds for these applications after the
approval of higher-ranked applications, the Secretary uses the
remaining funds to serve geographic areas and eligible populations that
have been underserved by the Educational Opportunity Centers program.
(d) The Secretary may decline to make a grant to an applicant that
carried out a project that involved the fraudulent use of funds under
section 402A(c)(2)(B) of the HEA.
(Authority: 20 U.S.C. 1070a-11, 1070a-16, and 1144a(a))
Sec. 644.21 What selection criteria does the Secretary use?
The Secretary uses the following criteria to evaluate an
application for a new grant:
(a) Need for the project (24 points). The Secretary evaluates the
need for an Educational Opportunity Centers project in the proposed
target area on the basis of the extent to which the application
contains clear evidence of--
(1) A high number or percentage, or both, of low-income families
residing in the target area;
(2) A high number or percentage, or both, of individuals residing
in the target area with education completion levels below the
baccalaureate level;
(3) A high need on the part of residents of the target area for
further education and training from programs of postsecondary education
in order to meet changing employment trends; and
(4) Other indicators of need for an Educational Opportunity Centers
project, including the presence of unaddressed educational or
socioeconomic problems of adult residents in the target area.
(b) Objectives (8 points). The Secretary evaluates the quality of
the applicant's proposed project objectives on the basis of the extent
to which they--
(1) Include both process and outcome objectives relating to each of
the purposes of the Educational Opportunity Centers program stated in
Sec. 644.1;
(2) Address the needs of the target area;
(3) Are clearly described, specific, and measurable; and
(4) Are ambitious but attainable within each budget period and the
project period given the project budget and other resources.
(c) Plan of operation (30 points). The Secretary evaluates the
quality of the applicant's plan of operation on the basis of the
following:
(1) (4 points) The plan to inform the residents, schools, and
community organizations in the target area of the goals, objectives,
and services of the project and the eligibility requirements for
participation in the project;
(2) (4 points) The plan to identify and select eligible
participants and ensure their participation without regard to race,
color, national origin, gender, or disability;
(3) (2 points) The plan to assess each participant's need for
services provided by the project;
(4) (12 points) The plan to provide services that meet
participants' needs and achieve the objectives of the project; and
(5) (8 points) The management plan to ensure the proper and
efficient administration of the project including, but not limited to,
the project's organizational structure, the time committed to the
project by the project director and other personnel, and, where
appropriate, its coordination with other projects for disadvantaged
students.
(d) Applicant and community support (16 points). The Secretary
evaluates the applicant and community support for the proposed project
on the basis of the extent to which the applicant has made provision
for resources to supplement the grant and enhance the project's
services, including--
(1) (8 points) Facilities, equipment, supplies, personnel, and
other resources committed by the applicant; and
(2) (8 points) Resources secured through written commitments from
schools, community organizations, and others.
(e) Quality of personnel (9 points). (1) The Secretary evaluates
the quality of the personnel the applicant plans to use in the project
on the basis of the following:
(i) The qualifications required of the project director.
(ii) The qualifications required of each of the other personnel to
be used in the project.
(iii) The plan to employ personnel who have succeeded in overcoming
the disadvantages or circumstances like those of the population of the
target area.
(2) In evaluating the qualifications of a person, the Secretary
considers his or her experience and training in fields related to the
objectives of the project.
(f) Budget (5 points). The Secretary evaluates the extent to which
the project budget is reasonable, cost-effective, and adequate to
support the project.
(g) Evaluation plan (8 points). The Secretary evaluates the quality
of the evaluation plan for the project on the basis of the extent to
which the applicant's methods of evaluation--
(1) Are appropriate to the project's objectives;
(2) Provide for the applicant to determine, using specific and
quantifiable measures, the success of the project in--
(i) Making progress toward achieving its objectives (a formative
evaluation); and
(ii) Achieving its objectives at the end of the project period (a
summative evaluation); and
(3) Provide for the disclosure of unanticipated project outcomes,
using quantifiable measures if appropriate.
(Approved by the Office of Management and Budget under control
number 1840-0065)
(Authority: 20 U.S.C. 1070a-16)
Sec. 644.22 How does the Secretary evaluate prior experience?
(a) In the case of an application described in
Sec. 644.20(a)(2)(i), the Secretary reviews information relating to an
applicant's performance under its expiring Educational Opportunity
Centers project. This information includes performance reports, audit
reports, site visit reports, and project evaluation reports.
(b) The Secretary evaluates the applicant's prior experience in
delivering services on the basis of the following criteria:
(1) (3 points) (i) Whether the applicant provided services to the
required number of participants who resided in the target area; and
(ii) Whether two-thirds of all participants served were low-income
individuals and potential first-generation college students.
(2) (6 points) The extent to which the applicant met or exceeded
its objectives regarding the provision of assistance to individuals in
applying for admission to, or financial aid for, programs of
postsecondary education.
(3) (6 points) The extent to which the applicant met or exceeded
its objectives regarding the admission or reentry of participants to
programs of postsecondary education.
(Approved by the Office of Management and Budget under control
number 1840-0065)
(Authority: 20 U.S.C. 1070a-16)
Sec. 644.23 How does the Secretary set the amount of a grant?
(a) The Secretary sets the amount of a grant on the basis of--
(1) 34 CFR 75.232 and 75.233, for new grants; and
(2) 34 CFR 75.253, for the second and subsequent years of a project
period.
(b) If the circumstances described in section 402A(b)(3) of the HEA
exist, the Secretary uses the available funds to set the amount of the
grant beginning in fiscal year 1994 at the lesser of--
(1) $180,000; or
(2) The amount requested by the applicant.
(Authority: 20 U.S.C. 1070a-11)
Subpart D--What Conditions Must Be Met by a Grantee?
Sec. 644.30 What are allowable costs?
The cost principles that apply to the Educational Opportunity
Centers program are in 34 CFR part 74, subpart Q. Allowable costs
include the following if they are reasonably related to the objectives
of the project:
(a) Transportation, meals, and, with specific prior approval of the
Secretary, lodging for participants and staff for--
(1) Visits to postsecondary educational institutions to obtain
information relating to the admission of participants to those
institutions;
(2) Participation in ``College Day'' activities; and
(3) Field trips to observe and meet with people who are employed in
various career fields in the target area and who can serve as role
models for participants.
(b) Purchase of testing materials.
(c) Fees required for college admissions of entrance examinations
if--
(1) A waiver is unavailable; and
(2) The fee is paid by the grantee to a third party on behalf of a
participant.
(d) In-service training of project staff.
(e) Rental of space if--
(1) Space is not available at the site of the grantee; and
(2) The rented space is not owned by the grantee.
(f) Purchase of computer hardware, computer software, or other
equipment for student development, project administration, and
recordkeeping, if the applicant demonstrates to the Secretary's
satisfaction that the equipment is required to meet the objectives of
the project more economically or efficiently.
(Authority: 20 U.S.C. 1070a-11 and 1070a-16)
Sec. 644.31 What are unallowable costs?
Costs that are unallowable under the Educational Opportunity
Centers program include, but are not limited to, the following:
(a) Tuition, fees, stipends, and other forms of direct financial
support for participants.
(b) Research not directly related to the evaluation or improvement
of the project.
(c) Construction, renovation, and remodeling of any facilities.
(Authority: 20 U.S.C. 1070a-11 and 1070a-16)
Sec. 644.32 What other requirements must a grantee meet?
(a) Eligibility of participants. (1) A grantee shall determine the
eligibility of each participant in the project at the time that the
individual is selected to participate.
(2) A grantee shall determine the status of a low-income individual
on the basis of the documentation described in section 402A(e) of the
HEA.
(b) Number of participants. In each budget period, a grantee shall
serve a minimum of 1,000 participants who reside in the target area.
However, the Secretary may reduce the minimum number of these
participants if the amount of the grant for the budget period is less
than $180,000.
(c) Recordkeeping. For each participant, a grantee shall maintain a
record of--
(1) The basis for the grantee's determination that the participant
is eligible to participate in the project under Sec. 644.3;
(2) The services that are provided to the participant; and
(3) The specific educational benefits received by the participant.
(d) Project director. (1) A grantee shall employ a full-time
project director unless paragraph (d)(3) of this section applies.
(2) The grantee shall give the project director sufficient
authority to administer the project effectively.
(3) The Secretary waives the requirement in paragraph (d) (1) of
this section if the applicant demonstrates that the requirement will
hinder coordination--
(i) Among the Federal TRIO Programs (sections 402A through 402F of
the HEA); or
(ii) Between the programs funded under sections 402A through 410 of
the HEA and similar programs funded through other sources.
(Approved by the Office of Management and Budget under control
number 1840-0065)
(Authority: 20 U.S.C. 1070a-11 and 1070a-16).
Note: This appendix will not be codified in the Code of Federal
Regulations.
Appendix--Analysis of Comments and Responses
The following is an analysis of the comments and changes in the
regulations since the publication of the NPRM on October 26, 1993 (58
FR 57704). Substantive issues are discussed under the section of the
regulations to which they pertain. Minor changes--and suggested changes
that the Secretary is not legally authorized to make under applicable
statutes--are not generally addressed.
How long is a project period? (Sec. 644.6)
Comment: One commenter suggested that the Secretary change the
regulations so that a competition for Educational Opportunity Center
(EOC) grants would be held once every two years. The commenter noted
that such a schedule would be more efficient than a 4-year schedule
and would be more fair because applicants who were not funded could
reapply more quickly.
Discussion: The length of EOC project periods is prescribed in
the Higher Education Act. Section 644.6 of these regulations merely
reflects the statutory requirement.
Changes: None.
What selection criteria does the Secretary use? (Sec. 644.21)
Comment: Several commenters recommended that Sec. 644.21(c)(5)
be changed to require the Secretary to consider an applicant's plan
to coordinate its EOC project with other projects that serve
disadvantaged students. The commenters maintained that allotting
points based on such a plan would encourage coordination among
projects. Some commenters offered specific langauge suggesting that
the Secretary evaluate an applicant's plan of operation based in
part on ``the plan, including the project's organization structure,
its coordination with other programs for disadvantaged students
sponsored by the sponsoring entity, and the time committed to the
project by administrative and other staff, to ensure the proper and
efficient administration of the project.''
Discussion: The Secretary agrees that an applicant's plan to
coordinate activities with other projects should be considered in
the selection criteria and that such consideration will encourage
coordination. However, the Secretary recognizes that in some cases
an EOC project may be the only project for disadvantaged students
administered by a particular institution or agency. Therefore, the
Secretary has adopted much of the suggested language but has
included the modifier ``where appropriate'' to ensure that
applicants who administer only an EOC project will not be
disadvantaged by their inability to coordinate with other projects.
Changes: Section 644.21(c)(5) has been changed to read: ``The
management plan to ensure the proper and efficient administration of
the project including, but not limited to, the project's
organizational structure, the time committed to the project by the
project director and other personnel, and, where appropriate, its
coordination with other projects for disadvantaged students.''
How does the Secretary evaluate prior experience? (Sec. 644.22)
Comment: Many commenters suggested that the Secretary change
Sec. 644.22, relating to prior experience points. None of the
commenters asked the Secretary to change the wording of the
criteria; all requested that the Secretary describe in greater
detail how the criteria are applied. Some commenters argued the
regulations should require the Secretary to notify grantees as to
the number of points they received for prior experience before the
funding determinations are made. Commenters argued that such a
procedure would allow grantees to ``correct errors'' in the
Secretary's evaluation of their prior experience. Other commenters
suggested that the regulations should require the Secretary to award
a portion of the prior experience points each year based on a
grantee's annual performance report. They suggested that each
grantee should be informed within a specified period as to how well
each performance report was scored.
Commenters also noted that the regulations should require the
Secretary to award prior experience points based only on a grantee's
performance during the first two years of its grant. This procedure,
they argued, would ensure that a grantee's prior experience would be
measured against actual outcomes rather than speculation about what
the grantee is likely to have accomplished by the end of the project
period. Several commenters offered suggestions on how prior
experience points should be allocated under the two-year evaluation
schedule.
Discussion: The comments suggest a high degree of anxiety over
how the Secretary rates prior experience. The comments imply that
the assessment process should be continuous, extensive, and
interactive. The Secretary, however, has no intention of
unnecessarily burdening grantees with such a process. Under
Sec. 644.20(2)(i) of the regulations, the Secretary only evaluates
prior experience when a grantee submits an application for ``a new
grant to continue to serve substantially the same populations or
campuses that the applicant is serving under an expiring grant.''
Prior experience is not evaluated until the Secretary receives such
an application. This procedure reflects the mandate expressed in
section 402(A)(c)(1) of the Higher Education Act, which states: ``In
making grants * * * the Secretary shall consider prior experience.''
The law requires the Secretary to evaluate prior experience only
when the Secretary is deciding to make a grant; the Secretary only
decides to make a grant if an application has been submitted. Thus,
the final assessment of prior experience is conducted as part of the
overall process for selecting new grants. This process begins when
applications are received and ends when applicants are notified of
the Secretary's funding decisions.
The application process is not an interactive process. After the
closing date, no additional information is accepted or considered.
Therefore, any information that an applicant feels should be
considered during the course of the selection process should be
provided before the closing date. The Secretary does not disclose
information relating to the rank of applications until all
applicants are notified of the Secretary's funding decisions. After
applicants receive notification, they may request copies of
documents that reflect the prior experience assessments.
Changes: None.
What are allowable costs? (Sec. 644.30)
Comment: Many commenters suggested that the Secretary amend
Sec. 644.30 of the proposed regulations to include college admission
fees and college entrance examination fees in the list of allowable
costs. The commenters noted that many adult EOC participants cannot
afford to pay examination and application fees and are therefore
discouraged from pursuing postsecondary education.
Discussion: The Secretary agrees that admission fees should be
included in the list of allowable costs because some adult
participants may be discouraged from applying to postsecondary
institutions because of the expense associated with examination and
application fees. However, the Secretary strongly encourages
Educational Opportunity Centers to work with higher educational
institutions to secure waivers whenever possible. Further,
application fees will not be an allowable cost under Sec. 644.30 if
the fee is paid to the grantee institution because the Secretary
encourages grantees to provide meaningful support to the Educational
Opportunity Centers that they administer.
Changes: The Secretary has changed Sec. 644.30 so that the list
of allowable costs includes fees required for college admissions
applications or entrance examination fees if (1) a waiver of the fee
is unavailable; and (2) the fee is paid by the grantee to a third
party on behalf of a participant.
What are unallowable costs? (Sec. 644.31)
Comment: Many commenters requested that the Secretary remove
transportation, meals, and lodging from the list of unallowable
costs in Sec. 644.31. The commenters further requested that the
Secretary include transportation, meals, and lodging in the list of
allowable costs in Sec. 644.30. Several commenters argued that
campus visits are necessary to help participants choose an
appropriate postsecondary placement. Other commenters noted that
such visits are often impossible for EOC participants who reside in
rural areas. Finally, some commenters argued that transportation,
meals, and lodging should be allowable costs because they are
allowable under the Talent Search program.
Discussion: The Secretary believes that college visits are often
necessary to help adult participants gain the confidence and insight
that they need to feel comfortable in applying for college
admission. The Secretary agrees with the commenters that it would be
unfortunate if the cost of such visitations prevented some
participants from pursuing postsecondary education. Therefore, on a
case-by-case basis, transportation, lodging, and meals may be
allowable costs under the circumstances described in the
regulations.
Changes: The Secretary has removed transportation, lodging, and
meals from the list of unallowable costs in Sec. 644.31. The
Secretary has also changed Sec. 644.30 so that the list of allowable
costs includes: ``(a) Transportation, meals, and, with specific
prior approval of the Secretary, lodging for participants and staff
for--(1) Visits to postsecondary educational institutions to obtain
information relating to the admission of participants to those
institutions; (2) Participation in ``College Day'' activities; and
(3) Field trips to observe and meet with people who are employed in
various career fields in the target area and who can act as role
models for participants.''
What other requirements must a grantee meet? (Sec. 644.32)
Comment: Some commenters suggested that the Secretary should
change Sec. 644.32(d)(1) to read: ``Unless a part-time director
furthers coordination of the project with other programs for
disadvantaged clients operated by the sponsoring institution or
agency, or unless a waiver is granted, a grantee shall employ a
full-time project director.'' The commenters argued that the change
was necessary because the language in the NPRM does not reflect the
intent of the 1992 Amendments to the Higher Education Act, which
requires the Secretary to encourage coordination among TRIO programs
and other programs for disadvantaged students and to allow for a
less-than-full-time director.
One commenter recommended that the Secretary require a full-time
project director at all Educational Opportunity Centers. The
commenter noted that the degree of detail to which a director must
be attentive requires a full-time commitment. The commenter further
suggested that coordination among projects is desirable and can be
accomplished when various directors work together for the mutual
benefit of all projects on a single campus.
Discussion: The Secretary strongly supports coordination of EOC
activities between and among projects to extent that the
coordination fosters--
(1) Improved services for the EOC participants;
(2) More efficient or effective means of delivering services; or
(3) An increase in the resources available to participants.
There is no magic formula for coordination. It only occurs when
all partners see it in their best interest to cooperate and
coordinate activities to obtain some beneficial objectives. Projects
do not have to share staff to coordinate activities. Coordination
can occur in a number of ways by staff at all levels. Having a part-
time director does not guarantee that coordination of activities
will occur. Having a full-time director does not guarantee that the
coordination of activities will not occur.
Each project is different in terms of its setting, resources,
and support systems. The Secretary recognizes that a project may
effectively operate with less than a full-time director if other
support personnel are in place to assist in shared management
duties. However, coordination can take many other forms. For
example, coordination may be achieved by planning and conducting
joint or cooperative field trips, lectures, career days, or test-
preparation sessions. Coordination may also be achieved by sharing
space or equipment.
Section 644.32(d)(1) accurately reflects both the intent of the
1992 Amendments to the HEA and the Secretary's commitment to
coordination. Waivers of the requirement for a full-time director
are available under Sec. 644.32(d)(3) if an applicant can show that
efforts to coordinate among projects will be hindered by not
allowing one person to direct more than one project.
The Secretary believes that in many cases the size and scope of
an EOC project require the attention of a full-time director. The
average EOC project receives more than a million dollars over the
course of a project period and serves more than eight thousand
participants. Given the size and scope of EOC projects, the
Secretary believes that the appropriateness of allowing a part-time
director must be evaluated with great care.
Changes: None.
Comment: Several commenters suggested that the Secretary should
change Sec. 644.32(c)(3), relating to records of educational
benefits. The commenters requested that the Secretary eliminate the
phrase ``the specific educational benefits to the participants that
resulted from the services'' because keeping a record of how each
participant benefited from the services would be too burdensome. The
commenters suggested that Sec. 644.32(c)(3) require only that
grantees keep a record of ``the specific educational benefits
received by the participant.''
One commenter suggested that the Secretary should not change the
recordkeeping requirement in Sec. 644.32(c)(3) because it formed the
basis for collecting valuable statistics.
Discussion: The Secretary agrees that the phrase ``that resulted
from the services'' implies that a grantee must demonstrate and
record a causal relationship between services and benefits. The
Secretary believes that such a record is not necessary to indicate a
benefit, particularly in instances where the services provided can
be deemed to be benefits in and of themselves.
Changes: The recordkeeping requirement at Sec. 644.32(c)(3) is
changed to read ``the specific educational benefits received by the
participant.''
[FR Doc. 94-903 Filed 1-14-94; 8:45 am]
BILLING CODE 4000-01-P
