[Federal Register Volume 61, Number 48 (Monday, March 11, 1996)]
[Notices]
[Pages 9864-9883]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-5714]
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_______________________________________________________________________
Part VI
Department of Education
_______________________________________________________________________
Tribally Controlled Postsecondary Vocational Institutions Program;
Notice Inviting Applications for New Awards for Fiscal Year 1996;
Notice
Federal Register / Vol. 61, No. 48 / Monday, March 11, 1996 /
Notices
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DEPARTMENT OF EDUCATION
[CFDA No.: 84.245]
Tribally Controlled Postsecondary Vocational Institutions
Program; Notice Inviting Applications for New Awards for Fiscal Year
(FY) 1996
Note to Applicants: This notice is a complete application package.
Together with the statute authorizing the program and applicable
regulations governing the program, including the Education Department
General Administrative Regulations (EDGAR), this notice contains all of
the information, application forms, and instructions needed to apply
for a grant under this competition.
Purpose of Program: The Tribally Controlled Postsecondary
Vocational Institutions Program provides grants for the operation and
improvement of tribally controlled postsecondary vocational
institutions to ensure continued and expanded educational opportunities
for Indian students, and to allow for the improvement and expansion of
the physical resources of those institutions.
The Secretary intends to distribute all funds available under this
program through this competitive grant process and, therefore, it is
anticipated that no funds would be reserved to fund additional training
equipment costs at a later date.
The Secretary wishes to highlight for potential applicants that
this program can help to further the National Education Goals.
Specifically, the Tribally Controlled Postsecondary Vocational
Institutions Program supports the National Education Goal that, by the
year 2000, every adult American will be literate and will possess the
knowledge and skills necessary to compete in a global economy and
exercise the rights and responsibilities of citizenship.
Eligible Applicants: A tribally controlled postsecondary vocational
institution, as defined in 34 CFR 410.5, that meets the requirements in
34 CFR 410.2 is eligible for an award under this program.
Deadline for Transmittal of Applications: April 10, 1996.
Available Funds: $2,919,000 for the first 12 months. Funding for
the second, third, fourth, and fifth years of the project period for
any grant awarded under this competition is subject to the availability
of funds and to a grantee meeting the requirements in 34 CFR 75.253.
Applicants should note that Congress has not yet enacted final
appropriations for Department of Education programs for fiscal year
1996. As a result of final action, funds available for this competition
could be reduced or even eliminated.
Estimated Range of Awards: $1,054,000-$1,800,000 (funding for first
12 months).
Estimated Average Size of Awards: $1,459,500 (funding for first 12
months).
Estimated Number of Awards: A minimum of 2.
Note: The Department is not bound by any estimates in this
notice.
Project Period: 5 years.
Applicable Regulations:
(a) The Education Department General Administrative Regulations
(EDGAR) as follows:
(1) 34 CFR Part 75 (Direct Grant Programs).
(2) 34 CFR Part 77 (Definitions that Apply to Department
Regulations).
(3) 34 CFR Part 80 (Uniform Administrative Requirements for Grants
and Cooperative Agreements to State and Local Governments).
(4) 34 CFR Part 81 (General Education Provisions Act--
Enforcement).
(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 for this program in 34 CFR Parts 400 and 410.
Content of the Application: To receive an institutional support
grant under the Tribally Controlled Postsecondary Vocational
Institutions Program, an applicant must include the following
information in the application:
(a) Documentation showing that the institution is eligible
according to the requirements in 34 CFR 410.2.
(b) A description of the fiscal control and fund accounting
procedures to be used for all funds received under this program that
will allow the Secretary to monitor expenditures and the Education
Department Inspector General, the U.S. Comptroller General, or an
independent non-Federal auditor to audit the institution's programs.
(c) The institution's operating expenses for the preceding fiscal
year, including allowable expenses listed in 34 CFR 410.30.
(d) The institution's Indian student count.
(e) A comprehensive development plan that must address--
(1) The institutional mission statement, i.e., a broad statement of
purpose, that identifies the institution's distinguishing
characteristics, including the characteristics of the students the
institution serves and plans to serve, and the programs of study it
offers and proposes to offer.
(2) Data for the past three academic years reflecting the number
and required qualifications of the teaching and administrative staff,
the number of students enrolled, attendance rates, dropout rates,
graduation rates, rate of job placement or college enrollment after
graduation, and the most significant scholastic problems affecting the
student population.
(3) A description of how the institution is responsive to the
current and projected labor market needs in its geographic area,
including the institution's plans for placement of students.
(4) Assumptions concerning the institutional environment, the
potential number of students to be served, enrollment trends, and
economic factors that could affect the institution.
(5) Major problems or deficiencies that inhibit the institution
from realizing its mission.
(6) Long-range and short-range goals that will chart the growth and
development of the institution and address the problems identified
under paragraph (e)(5) of this section.
(7) Measurable objectives related to reaching each goal.
(8) Time-frames for achieving the goals and objectives described in
paragraphs (e)(6) and (7) of this section.
(9) Priorities for implementing improvements concerning
instructional and student support, capital expenditures, equipment, and
other priority areas.
(10) Major resource requirements necessary to achieve the
institution's goals and objectives, including personnel, finances,
equipment, and facilities.
(11) A detailed budget identifying the costs to be paid with a
grant under this program and resources available from other Federal,
State, and local sources that will be used to achieve the institution's
goals and objectives. Budget and cost information must be sufficiently
detailed to enable the Secretary to determine the amount of payments
pursuant to section 386(b)(2) of the Carl D. Perkins Vocational and
Applied Technology Education Act (Act). The statement must include
information on allowable expenses listed in 34 CFR 410.30.
(12) Strategies and resources for objectively evaluating the
institution's progress towards, and success in, achieving its goals and
objectives.
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Selection Criteria: The Secretary uses the following selection
criteria to evaluate applications for new grants under this
competition. If only one or two applicants are eligible, the Secretary
selects each eligible applicant. The amount of each grant is determined
by the quality of the application, based on the selection criteria, and
the respective needs of the applicants. If there are more than two
elibible applicants, the Secretary ranks each application using the
selection criteria. The Secretary funds two or more applicants. The
number of grants made and the amount of each grant is determined by
taking into account the quality of the applications and the respective
needs of the applicants.
The program regulations in 34 CFR 410.21 assign a maximum of 85
points for these criteria. Further, under 34 CFR 410.20(b) the
Secretary is authorized to distribute an additional 15 points among the
criteria to bring the total to a maximum of 100 points. The maximum
score for each criterion is indicated in parentheses.
(a) Institutional goals and objectives. (15 points) The Secretary
reviews each application to determine the extent to which the
applicant's current and future institutional goals and objectives are--
(1) Realistic and defined in terms of measurable results; and
(2) Directly related to the problems to be solved.
(b) Comprehensive development plan. (30 points) The Secretary
reviews each application to determine the extent to which the plan is
effectively designed to meet the applicant's current and future
institutional goals and objectives, including instructional and student
support needs, and equipment and capital requirements.
(c) Implementation strategy. (25 points) The Secretary reviews each
application to determine the extent to which an applicant's
implementation strategy--
(1) For each major activity funded under this program, is
comprehensive and likely to be effective, taking into account the
applicant's past performance and the data for the past three academic
years reflecting the number and required qualifications of the teaching
and administrative staff, the number of students enrolled, attendance
rates, dropout rates, graduation rates, rate of job placement or
college enrollment after graduation, and the most significant
scholastic problems affecting the student population;
(2) Includes a realistic timetable for each such activity; and
(3) Includes a staff management plan likely to ensure effective
administration of the project activities.
(d) Budget and cost effectiveness. (20 points) The Secretary
reviews each application to determine the extent to which--
(1) The budget is adequate to support the proposed activities to be
funded under this program, including capital expenditures and
acquisition of equipment, if applicable;
(2) Costs are necessary and reasonable in relation to similar
activities the institution carried out in previous years; and
(3) The budget narrative justifies the expenditures.
(e) Evaluation plan. (10 points) The Secretary reviews each
application to determine the quality of the evaluation plan the
institution plans to use to determine its progress towards, and success
in, achieving its goals and objectives, including the extent to which--
(1) The plan identifies, at a minimum, types of data to be
collected, expected outcomes, and how those outcomes will be measured;
(2) The methods of evaluation are appropriate and, to the extent
possible, are objective and produce data that are quantifiable; and
(3) The methods of evaluation provide periodic data that can be
used for ongoing program improvement.
Additional Factors: After evaluating applications according to the
criteria in 34 CFR 410.21 and consulting, to the extent practicable,
with boards of trustees and the tribal governments chartering the
institutions being considered, the Secretary determines whether the
most highly rated applications are equitably distributed among Indian
tribes.
The Secretary may select other applications for funding if doing so
would improve the distribution of projects among Indian tribes.
In addition to the criteria in 34 CFR 410.21, the Secretary
considers whether funding a particular applicant duplicates an effort
already being made.
Instructions for Transmittal of Applications:
(a) If an applicant wants to apply for a grant, the applicant
shall--
(1) Mail the original and six copies of the application on or
before the deadline date to: U.S. Department of Education, Application
Control Center, Attention: (CFDA# 84.245), Washington, DC 20202-4725.
(2) Hand deliver the original and six copies of the application by
4:30 p.m. (Washington, DC time) on the deadline date to: U.S.
Department of Education, Application Control Center, Attention: (CFDA#
84.245), Room #3633, Regional Office Building #3, 7th and D Streets,
SW., Washington, DC
(b) An applicant must show one of the following as proof of
mailing:
(1) A legibly dated U.S. Postal Service postmark.
(2) A legible mail receipt with the date of mailing stamped by the
U.S. Postal Service.
(3) A dated shipping label, invoice, or receipt from a commercial
carrier.
(4) Any other proof of mailing acceptable to the Secretary.
(c) If an application is mailed through the U.S. Postal Service,
the Secretary does not accept either of the following as proof of
mailing:
(1) A private metered postmark.
(2) A mail receipt that is not dated by the U.S. Postal Service.
Notes: (1) The U.S. Postal Service does not uniformly provide a
dated postmark. Before relying on this method, an applicant should
check with its local post office.
(2) The Application Control Center will mail a Grant Application
Receipt Acknowledgement to each applicant. If an applicant fails to
receive the notification of application receipt within 15 days from the
date of mailing the application, the applicant should call the U.S.
Department of Education Application Control Center at (202) 708-9494.
(3) The applicant must indicate on the envelope and--if not
provided by the Department--in Item 10 of the Application for Federal
Assistance (Standard Form 424) the CFDA number--and suffix letter, if
any--of the competition under which the application is being submitted.
Application Instructions and Forms: All forms and instructions are
included as Appendix A of this notice. Questions and answers pertaining
to this program are included, as Appendix B, to assist potential
applicants.
To apply for an award under this program competition, your
application must be organized in the following order and include the
following five parts:
Part I: Application for Federal Assistance (Standard Form 424 (Rev.
4-88)) and instructions.
Part II: Budget Information--Non-Construction Programs (ED Form No.
524) and instructions.
Part III: Budget Narrative.
Part IV: Program Narrative.
Part V: Additional Assurances and Certifications:
a. Assurances--Non-Construction Programs (Standard Form 424B).
b. Certification regarding Lobbying; Debarment, Suspension, and
Other
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Responsibility Matters; and Drug-Free Workplace Requirements (ED 80-
0013) and Instructions.
c. Certification regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion: Lower Tier Covered Transactions (ED 80-0014, 9/90)
and Instructions. (NOTE: ED 80-0014 is intended for the use of grantees
and should not be transmitted to the Department.)
d. Disclosure of Lobbying Activities (Standard Form LLL) (if
applicable) and Instructions, and Disclosure of Lobbying Activities
Continuation Sheet (Standard Form LLL-A).
e. Notice to all Applicants.
An applicant may submit information on a photostatic copy of the
forms in Appendix A. However, each of the pertinent documents must each
have an original ink signature. All applicants must submit ONE original
signed application, including ink signatures on all forms and
assurances and SIX copies of the application. Please mark each
application as original or copy. No grant may be awarded unless a
completed application form has been received.
For Further Information Contact: Roberta Lewis, U.S. Department of
Education, 600 Independence Avenue, SW. (Room 4523--MES), Washington,
DC 20202-7242. Telephone (202) 205-5680. 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.
Information about the Department's funding opportunities, including
copies of application notices for discretionary grant competitions, can
be viewed on the Department's electronic bulletin board (ED Board),
telephone (202) 260-9950; on the Internet Gopher Server at
GOPHER.ED.GOV (under Announcements, Bulletins, and Press Releases); or
on the World Wide Web (at http://www.ed.gov/money.htm). However, the
official application notice for a discretionary grant competition is
the notice published in the Federal Register.
Program Authority: 20 U.S.C. 2397-2397h.
Dated: March 6, 1996.
Jon Weintraub,
Acting Assistant Secretary, Office of Vocational and Adult Education.
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Appendix A
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APPENDIX A
Part II--Budget Information
Instructions for Part II--Budget Information Sections A and B--Budget
Summary by Categories
1. Personnel: Show salaries to be paid to personnel.
2. Fringe Benefits: Indicate the rate and amount of fringe
benefits.
3. Travel: Indicate the amount requested for both local and out
of State travel of Project Staff. Include funds for at least one
trip for two people to attend the Project Director's Workshop.
4. Equipment: Indicate the cost of non-expendable personal
property that has a cost of $5,000 or more per unit.
5. Supplies: Include the cost of consumable supplies and
materials to be used during the project period.
6. Contractual: Show the amount to be used for: (1) procurement
contracts (except those which belong on other lines such as supplies
and equipment); and (2) sub-contracts.
7. Construction: Not Applicable
8. Other: Indicate all direct costs not clearly covered by lines
1 through 6 above, including consultants and capital expenditures.
9. Total Direct Cost: Show the total for Lines 1 through 8.
10. Indirect Costs: Indicate the rate and amount of indirect
costs.
(Note: Except for grants to Federally recognized Indian tribes,
the indirect cost rate cannot exceed 8% of the total direct
charges.)
11. Training/stipend Cost: Indicate cost per student and number
of hours of instruction (minimum wage is the basis for amount per
hour--$4.25).
12. Total Costs: Show total for lines 9 through 11.
Instructions for Part III--Budget Narrative
Prepare a detailed Budget Narrative for each year of the project
that justifies, and/or clarifies the budget figures shown in Section
A. Explain:
1. How personnel costs are calculated--provide yearly and/or
hourly rates; for other than full-time staff, provide hours per day,
week, month, and year.
2. The basis used to estimate certain costs (professional
personnel, consultants, travel, indirect costs) and any other costs
that may appear unusual;
3. How the major cost items relate to the proposed project
activities (refer to application page);
4. The costs of the project's evaluation component;
5. What matching occurs in each budget category.
Please limit this section to no more than five pages.
Instructions for Part IV--Program Narrative
The program narrative will comprise the largest portion of your
application. This part is where you spell out the who, what, when,
where, why, and how of your proposed project.
Although you will not have a form to fill out for your
narrative, there is a format. This format is the selection criteria.
Because your application will be reviewed and rated by a review
panel on the basis of the selection criteria, your narrative should
follow the order and format of the criteria.
Before preparing your application, you should carefully read the
legislation and regulations of the program, eligibility
requirements, information on any priority set by the Secretary, and
the selection criteria for this competition.
Your program narrative should be clear, concise, and to the
point. Begin the narrative with a one page abstract or summary of
your proposed project. Then describe the project in detail,
addressing each selection criterion in order.
The Secretary strongly requests you limit the program narrative
to no more than 30 double-spaced, typed pages (on one side only),
although the Secretary will consider your application if it is
longer. Be sure to number consecutively ALL pages in your
application.
You may include supporting documentation as appendices. Be sure
that this material is concise and pertinent to this program
competition.
You are advised that:
(a) The Department considers only information contained in the
application in ranking applications for funding consideration.
Letters of support sent separately from the formal application
package are not considered in the review by the technical review
panels. (EDGAR Sec. 75.217)
(b) The technical review panel evaluates each application solely
on the basis of the established technical review criteria. Letters
of support contained in the application will strengthen the
application only insofar as they contain commitments which pertain
to the established technical review criteria, such as commitment and
resources.
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Notice To All Applicants
Thank you for your interest in this program. The purpose of this
enclosure is to inform you about a new provision in the Department
of Education's General Education Provisions Act (GEPA) that applies
to applicants for new grant awards under Department programs. This
provision is section 427 of GEPA, enacted as part of the Improving
America's Schools Act of 1994 (Pub. L. 103-382).
To Whom Does This Provision Apply?
Section 427 of GEPA affects applicants for new discretionary
grant awards under this program. ALL APPLICANTS FOR NEW AWARDS MUST
INCLUDE INFORMATION IN THEIR APPLICATIONS TO ADDRESS THIS NEW
PROVISION IN ORDER TO RECEIVE FUNDING UNDER THIS PROGRAM.
What Does This Provision Require?
Section 427 requires each applicant for funds (other than an
individual person) to include in its application a description of
the steps the applicant proposes to take to ensure equitable access
to, and participation in, its federally-assisted program for
students, teachers, and other program beneficiaries with special
needs.
This section allows applicants discretion in developing the
required description. The statute highlights six types of barriers
that can impede equitable access or participation that you may
address: gender, race, national origin, color, disability, or age.
Based on local circumstances, you can determine whether these or
other barriers may prevent your students, teachers, etc. from
equitable access or participation. Your description need not be
lengthy; you may provide a clear and succinct description of how you
plan to address those barriers that are applicable to your
circumstances. In addition, the information my be provided in a
single narrative, or, if appropriate, may be discussed in connection
with related topics in the application.
Section 427 is not intended to duplicate the requirements of
civil rights statutes, but rather to ensure that, in designing their
projects, applicants for Federal funds address equity concerns that
may affect the ability of certain potential beneficiaries to fully
participate in the project and to achieve to high standards.
Consistent with program requirements and its approved application,
an applicant may use the Federal funds awarded to it to eliminate
barriers it identifies.
What Are Examples of How an Applicant Might Satisfy the Requirement
of This Provision?
The following examples may help illustrate how an applicant may
comply with section 427.
(1) An applicant that proposes to carry out an adult literacy
project serving, among others, adults with limited English
proficiency, might describe in its application how it intends to
distribute a brochure about the proposed project to such potential
participants in their native language.
(2) An applicant that proposes to develop instructional
materials for classroom use might describe how it will make the
materials available on audio tape or in braille for students who are
blind.
(3) An applicant that proposes to carry out a model science
program for secondary students and is concerned that girls may be
less likely than boys to enroll in the course, might indicate how it
tends to conduct ``outreach'' efforts to girls, to encourage their
enrollment.
We recognize that many applicants may already be implementing
effective steps to ensure equity of access and participation in
their grant programs, and we appreciate your cooperation in
responding to the requirements of this provision.
Estimated Burden Statement
According to the Paperwork Reduction Act of 1995, no persons are
required to respond to a collection of information unless it
displays a valid OMB control number. The valid OMB control number
for this information collection is 1801-0004 (Exp. 8/31/98). The
time required to complete this information collection is estimated
to vary from 1 to 3 hours per response, with an average of 1.5
hours, including the time to review instructions, search existing
data resources, gather and maintain the data needed, and complete
and review the information collection. If you have any comments
concerning the accuracy of the time estimate(s) or suggestions for
improving this form, please write to: U.S. Department of Education,
Washington, DC 20202-4651.
Appendix B
Potential applicants frequently direct questions to officials of
the Department regarding application notices and programmatic and
administrative regulations governing various direct grant programs.
To assist potential applicants the Department has assembled the
following most commonly asked questions.
Q. Can we get an extension of the deadline?
A. No. A closing date may be changed only under extraordinary
circumstances. Any change must be announced in the Federal Register
and apply to all applications. Waivers for individual applications
cannot be granted regardless of the circumstances.
Q. How many copies of the application should I submit and must
they be bound?
A. Our new policy calls for an original and six copies to be
submitted. The binding of applications is optional and discouraged.
Q. We just missed the deadline for the XXX competition. May we
submit under another competition?
A. Yes, however, the likelihood of success is not good. A
properly prepared application must meet the requirements of the
competition to which it is submitted.
Q. I'm not sure which competition is most appropriate for my
project. What should I do?
A. We are happy to discuss any questions with you and provide
clarification on the unique elements of the various competitions.
Q. Will you help us prepare our application?
A. We are happy to provide general program information. Clearly,
it would not be appropriate for staff to participate in the actual
writing of an application, but we can respond to specific questions
about application requirements, evaluation criteria, and the
priorities. Applicants should understand that this previous
preapplication consultation is not required, nor will it in any way
influence the success of an application.
Q. When will I find out if I'm going to be funded?
A. You can expect to receive notification within 3 to 4 months
of the application closing date, depending on the number of
applications received and the number of competitions with closing
dates at about the same time.
Q. Once my application has been reviewed by the review panel,
can you tell me the outcome?
A. No. Every year we are called by a number of applicants who
have legitimate reasons for needing to know the outcome of the
review prior to official notification. Some applicants need to make
job decisions, some need to notify a local school district, etc.
Regardless of the reason, because final funding decisions have not
been made at that point, we cannot share information about the
review with anyone.
Q. Will my application be returned if I am not funded?
A. We no longer return unsuccessful applications. Thus,
applicants should retain at least one copy of the application.
Q. Can I obtain copies of reviewers' comments?
A. Upon written request, reviewers' comments will be mailed to
unsuccessful applicants.
Q. Is travel allowed under these projects?
A. Travel associated with carrying out the project is allowed.
Because we will request the project directors and evaluators of
funded projects to attend an annual project directors meeting, you
should include annual trips for each to Washington, D.C., in the
travel budget. Travel to conferences is sometimes allowed when it is
for purposes of dissemination.
Q. If my application receives high scores from the reviewers,
does that mean that I will receive funding?
A. Not necessarily. It is often the case that the number of
applications scored highly by the reviewers exceeds the dollars
available for funding projects under a particular competition. The
order of selection, which is based on the scores of all the
applications and other relevant factors, determines the applications
that can be funded.
Q. What happens during negotiations?
A. During negotiations technical and budget issues may be
raised. These are issues that have been identified during the panel
and staff reviews that require clarification. Sometimes issues are
stated as ``conditions.'' These are issues that have been identified
as so critical that the award cannot be made unless those conditions
are met. Questions may also be raised about the proposed budget.
Generally, these issues are raised because there is inadequate
justification or explanation of a particular budget item, or because
the budget item seems unimportant to the successful completion of
the project. If you are asked to make changes that you feel could
seriously affect the project's
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success, you may provide reasons for not making the changes or
provide alternative suggestions. Similarly, if proposed budget
reductions will, in your opinion, seriously affect the project
activities, you may explain why and provide additional justification
for the proposed expenses. An award cannot be made until all
negotiation issues have been resolved.
Q. How do I provide an assurance?
A. Except for SF-424B, ``Assurances--Non-Construction
Programs,'' simply state in writing that you are meeting a
prescribed requirement.
Q. Where can copies of the Federal Register, program
regulations, and Federal statutes be obtained?
A. Copies of these materials can usually be found at your local
library. If not, they can be obtained from the Government Printing
Office by writing to: Superintendent of Documents, U.S. Government
Printing Office, Washington, D.C. 20402. Telephone: (202) 783-3238.
When requesting copies of regulations or statutes, it is helpful to
use the specific name, public law number, or part number. The
material referenced in this notice should be referred to as follows:
(1) Carl D. Perkins Vocational and Applied Technology Education
Act (Perkins Act) (Public Law 101-392, 104 Stat. 753 (1990) 20
U.S.C. Secs. 2301 et seq. (Supp. IV) 1992).
(2) State Vocational and Applied Technology Education Programs
and National Discretionary Programs of Vocational Education Final
Regulations, 34 CFR Parts 400 and 410.
(3) Education Department General Administrative Regulations, 34
CFR Parts 74, 75, 77, 79, 80, 81, 82, 85, and 86.
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