[Federal Register Volume 62, Number 122 (Wednesday, June 25, 1997)]
[Rules and Regulations]
[Pages 34378-34381]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-16495]
[[Page 34377]]
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Part III
National Institute for Literacy
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34 CFR Part 1100
Literacy Leader Fellowship Program; Final Rule and Notice
Federal Register / Vol. 62, No. 122 / Wednesday, June 25, 1997 /
Rules and Regulations
[[Page 34378]]
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NATIONAL INSTITUTE FOR LITERACY
34 CFR Part 1100
[CFDA No. 84.257I]
Literacy Leader Fellowship Program
AGENCY: National Institute for Literacy.
ACTION: Final regulations.
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SUMMARY: The Director amends the regulations governing the Literacy
Leader Fellowship Program. Under this program, the Director may award
fellowships to individuals to enable them to engage in research,
education, training, technical assistance, or other activities that
advance the field of adult education or literacy. These amendments make
changes that improve the administration of the program and also
establish new priorities under the program.
DATES: These regulations take effect July 25, 1997.
FOR FURTHER INFORMATION CONTACT: Meg Young, Telephone: (202) 632-1517.
E-mail: myoung@nifl.gov. 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: On May 7, 1997, the Director published a
notice of proposed rulemaking (NPRM) for these amendments in the
Federal Register (62 FR 24860). The NPRM explained that the Institute
has developed new areas of emphasis and that the Director believes it
is necessary to address these areas in the regulations through the
establishment of new priorities for the Literacy Leader Fellowship
Program. The NPRM also discussed changes that the Director believes are
necessary to expand the accessibility of, and to improve the overall
administration of, the program. For a more detailed discussion of the
issues concerning these amendments, see page 24861 of the NPRM.
Except for minor editorial and technical revisions, there are no
differences between the NPRM and these final regulations.
Analysis of Comments
In response to the Director's invitation to comment in the NPRM,
two parties submitted comments on the proposed regulations. Below is an
analysis of the comments received and the Director's responses to the
comments.
Issues are grouped according to subject, with appropriate sections
of the regulations referenced in parentheses.
Eligibility for Fellowships (Sec. 1100.2)
Comment: The commenters favored the change that permits non-United
States citizens to be eligible for fellowships. One commenter suggested
that United States citizens not currently living in the United States
should also be eligible for fellowships.
Discussion: Under Sec. 1100.2(b) of the regulations, United States
citizens are already eligible for fellowship awards, and a United
States citizen who is living outside of the United States is not
precluded from applying for an award. However, if such an individual is
selected to receive a fellowship award, that individual must comply
with all requirements of the program and the fellowship agreement
between the Institute and the fellow, which may include carrying out
all or a portion of the project at the Institute's offices in
Washington, D.C. or participating in meetings and other activities at
Federal agencies.
Changes: None.
Supervision of Fellows (Secs. 1100.30-1100.33)
Comment: One group of commenters expressed concern about
adequate control and supervision by the Institute over the fellows'
activities. The commenters suggested that, in addition to the
reports that the fellows must submit, there should be a periodic
examination of the fellows' progress and that the Institute should
also conduct visits with the fellows to confirm results. Finally,
the commenters suggested that no research activity should be
conducted without the Director's knowledge and approval.
Discussion: The Director believes that the regulations, as drafted,
ensure the necessary amount of supervision by the Institute over a
fellow's project. The regulations require that a fellow carry out all,
or a portion, of the project at the Institute's offices in Washington,
D.C. unless unusual circumstances exist. Further, the regulations
provide that all fellowship activities are conducted under the direct
or general oversight of the Institute. The regulations also state that
to continue a fellowship to completion, a fellow must be making
satisfactory progress as determined periodically by the Director.
Finally, the application process itself and the fellowship agreement
between the fellow and the Institute are sufficient to ensure that the
Director has knowledge of, and has approved, any research or other
activity to be carried out under the fellowship. Thus, the Director
believes that the regulations already address the commenters' concerns
and that no changes are needed.
Changes: None.
Paperwork Reduction Act of 1995
Under 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 assigned to the
collection of information in these final regulations is displayed at
the end of the affected sections of the regulations.
List of Subjects in 34 CFR Part 1100
Adult education; Grant programs--education; Reporting and
recordkeeping requirements.
Dated: June 19, 1997.
Carolyn Staley,
Deputy Director, National Institute for Literacy.
(Catalog of Federal Domestic Assistance Number 84.257I, Literacy
Leader Fellowship Program)
The Director amends Title 34 of the Code of Federal Regulations by
revising Part 1100 to read as follows:
PART 1100--NATIONAL INSTITUTE FOR LITERACY: LITERACY LEADER
FELLOWSHIP PROGRAM
Subpart A--General
Sec.
1100.1 What is the Literacy Leader Fellows Program?
1100.2 Who is eligible for a fellowship?
1100.3 What types of projects may a fellow conduct under this
program?
1100.4 What regulations apply?
1100.5 What definitions apply?
1100.6 What priorities may the Director establish?
Subpart B--How Does an Individual Apply for a Fellowship?
1100.10 What categories of fellowships does the Institute award?
1100.11 How does an individual apply for a fellowship?
1100.12 What applications are not evaluated for funding?
Subpart C--How Does the Director Award a Fellowship?
1100.20 How is a fellow selected?
1100.21 What selection criteria does the Director use to rate an
application?
1100.22 How does the Director determine the amount of a fellowship?
1100.23 What payment methods may the Director use?
1100.24 What are the procedures for payment of a fellowship award
directly to the fellow?
1100.25 What are the procedures for payment of a fellowship award
through the fellow's employer?
[[Page 34379]]
Subpart D--What Conditions Must Be Met by a Fellow?
1100.30 Where may the fellowship project be conducted?
1100.31 Who is responsible for oversight of fellowship activities?
1100.32 What is the duration of a fellowship?
1100.33 What reports are required?
Authority: 20 U.S.C. 1213c(e)
Subpart A--General
Sec. 1100.1 What is the Literacy Leader Fellowship Program?
(a) Under the Literacy Leader Fellowship Program, the Director of
the National Institute for Literacy provides financial assistance to
outstanding individuals who are pursuing careers in adult education or
literacy.
(b) Fellowships are awarded to these individuals for the purpose of
carrying out short-term, innovative projects that contribute to the
knowledge base of the adult education or literacy field.
(c) Fellowships are intended to benefit the fellow, the Institute,
and the national literacy field by providing the fellow with the
opportunity to interact with national leaders in the field and make
contributions to federal policy initiatives that promote a fully
literate adult population.
Sec. 1100.2 Who is eligible for a fellowship?
(a) Only individuals are eligible to be recipients of fellowships.
(b) To be eligible for a fellowship under this program, an
individual must be--
(1) A citizen or national of the United States, or a permanent
resident of the United States, or an individual who is in the United
States for other than temporary purposes and intends to become a
permanent resident;
(2) Eligible for Federal assistance under the terms of 34 CFR 75.60
and 75.61; and
(3) Either a literacy worker or an adult learner.
(c) An individual who has received a fellowship award in a prior
year is not eligible for another award.
(d) Several individuals may apply jointly for one award, if each
individual will contribute significantly to the proposed project and if
the proposed project will develop leadership for each individual.
Sec. 1100.3 What types of project may a fellow conduct under this
program?
(a) Under the auspices of the Institute, and in accordance with the
Fellowship Agreement, a Literacy Leader Fellow may use a fellowship
awarded under this part to engage in research, education, training,
technical assistance, or other activities that advance the field of
adult education or literacy, including the training of volunteer
literacy providers at the national, State, or local level.
(b) A Literacy Leader Fellow may not use a fellowship awarded under
this part for any of the following:
(1) Tuition and fees for continuing the education of the applicant
where this is the sole or primary purpose of the project.
(2) Planning and implementing fundraisers.
(3) General program operations and administration.
(4) Activities that otherwise do not meet the purposes of the
Literacy Leader Fellowship program, as described in paragraph (a) of
this section.
Sec. 1100.4 What regulations apply?
This program is governed by the regulations in this part and the
following additional regulations:
34 CFR 74.36, Intangible property;
34 CFR 75.60, Individuals ineligible to receive assistance;
34 CFR part 85, Governmentwide Debarment and Suspension
(Nonprocurement) and Governmentwide Requirements for Drug-Free
Workplace (Grants).
Sec. 1100.5 What definitions apply?
(a) The definitions in 34 CFR 77.1, except that the definitions of
``Applicant'', ``Application'', ``Award'', and ``Project'' do not apply
to this part.
(b) Other definitions. The following definitions also apply to this
part:
Adult learner means an individual over 16 years old who is pursuing
or has completed some form of literacy or basic skills training,
including preparation for the G.E.D.
Applicant means an individual (or more than one individual, if
applying jointly) requesting a fellowship under this program.
Application means a written request for a fellowship under this
program.
Award means an amount of funds provided for fellowship activities.
Board means the National Institute for Literacy's advisory board
established pursuant to section 384(f) of the Adult Education Act (20
U.S.C. 1213c(f)).
Director means the Director of the National Institute for Literacy.
Fellow means a recipient of a fellowship.
Fellowship means an award of financial assistance made by the
Institute to an individual pursuant to section 384(e) of the Adult
Education Act (20 U.S.C. 1213c(e)) to enable that individual to conduct
research or other authorized literacy activities under the auspices of
the Institute.
Fellowship Agreement means a written agreement entered into between
the Institute and a fellow, which, when executed, has the legal effect
of obligating the fellowship award, and which states the rights and
obligations of the parties.
Institute means the National Institute for Literacy.
Literacy worker means an individual who is pursuing a career in
literacy or adult education or a related field and who either has a
minimum of five years of relevant academic, volunteer or professional
experience in the literacy, adult education, or related field, or has
made a significant contribution to, or notable progress in, the field.
Relevant experience includes teaching, policymaking, administration, or
research.
Project means the work to be engaged in by the fellow during the
period of the fellowship.
Research means one or more of the following activities in literacy
or education or education related fields: basic and applied research,
planning, surveys, assessments, evaluations, investigations,
experiments, development and demonstrations.
Sec. 1100.6 What priorities may the Director establish?
The Director may, through a notice published in the Federal
Register, select annually one or more priorities for funding. These
priorities may be chosen from the areas of greatest immediate concern
to the Institute and may include, but are not limited to, the following
areas:
(a) Developing leadership in adult learners. Because adult learners
are the true experts on literacy, they are an important resource for
the field. Their firsthand experience as ``customers'' of the literacy
system can be invaluable in assisting the field in moving forward,
particularly in terms of raising public awareness and understanding
about literacy.
(b) Expanding the use of technology in literacy programs. One of
the Institute's major projects is the Literacy Information aNd
Communication System (LINCS), an Internet-based information system that
provides timely information and abundant resources to the literacy
community. Keeping the literacy community up to date in the Information
Age is vital.
(c) Improving accountability for literacy programs. Literacy
programs must develop accountability systems that demonstrate their
effectiveness in helping adult learners contribute more fully in the
workplace, family and community. There is growing interest in
[[Page 34380]]
results-oriented literacy practice, especially as related to the
Equipped for the Future (EFF) framework.
(d) Raising public awareness about literacy. The Institute is
leading a national effort to raise public awareness that literacy is
part of the solution to many social concerns, including health,
welfare, the economy, and the well-being of children. Projects that
enhance this effort will be given priority consideration.
Subpart B--How Does an Individual Apply for a Fellowship?
Sec. 1100.10 What categories of fellowships does the Institute award?
The Institute awards two categories of Literacy Leadership
Fellowships:
(a) Literacy Worker Fellowships; and
(b) Adult Learner Fellowships.
Sec. 1100.11 How does an individual apply for a fellowship?
An individual shall apply to the Director for a fellowship award in
response to an application notice published by the Director in the
Federal Register. The application must describe a plan for one or more
of the activities stated in Sec. 1100.3 that the applicant proposes to
conduct under the fellowship. The application must indicate which
category of fellowship, as described in Sec. 1100.10, most accurately
describes the applicant. Applicants must also submit four letters of
recommendation and certain forms, assurances and certifications,
including the certification required under 34 CFR 75.61. (Approved by
the Office of Management and Budget under OMB Control Number 3430-0003,
Expiration Date 6/30/2000.)
Sec. 1100.12 What applications are not evaluated for funding?
The Director does not evaluate an application if--
(a) The applicant is not eligible under Sec. 1100.2;
(b) The applicant does not comply with all of the procedural rules
that govern the submission of applications for Literacy Leader
Fellowship funds;
(c) The application does not contain the information required by
the Institute;
(d) The application proposes a project for which a fellow may not
use fellowship funds, as described in Sec. 1100.3(b).
(e) The application is not submitted by the deadline stated in the
application notice.
Subpart C--How Does the Director Award a Fellowship?
Sec. 1100.20 How is a fellow selected?
(a) The Director selects applications for fellowships on the basis
of the selection criteria in Sec. 1100.21 and any priorities that have
been published in the Federal Register and are applicable to the
selection of applications.
(b)(1) The Director may use experts from the literacy field to rank
applications according to the selection criteria in Sec. 1100.21, and
then provide the top-ranked applications to the Institute's Advisory
Board.
(2) The Institute's Advisory Board evaluates these applications
based on the selection criteria in Sec. 1100.21 and makes funding
recommendations to the Director.
(3) The Director then determines the number of awards to be made in
each fellowship category and the order in which applications will be
selected for fellowships, based on the initial rank order,
recommendations by the board, and any other information relevant to any
of the selection criteria, applicable priorities, or the purposes of
the Literacy Leader Fellowship Program, including whether the selection
of an application would increase the diversity of fellowship projects
under this program.
Sec. 1100.21 What selection criteria does the Director use to rate an
applicant?
The Director uses the following criteria in evaluating each
applicant for a fellowship:
(a) Quality of plan. (45 points) The Director uses the following
criteria to evaluate the quality of the proposed project:
(1) The proposed project deals with an issue of major concern to
the literacy field.
(2) The design of the project is strong and feasible.
(3) The project addresses critical issues in an innovative way.
(4) The plan demonstrates a knowledge of similar programs and an
intention, where appropriate, to coordinate with them.
(5) The applicant describes adequate support and resources for the
project.
(6) The plan includes evaluation methods to determine the
effectiveness of the project.
(7) The project results are likely to contribute to the knowledge
base in literacy or adult education, and to federal policy initiatives
in these or related areas.
(8) The project will enhance literacy or adult education practice.
(9) The project builds research capacity or improves practice
within the field.
(b) Qualifications of applicant. (25 points) The Director uses the
following criteria to evaluate the qualifications of the applicant:
(1) The applicant has a strong background in the literacy field.
[Include all relevant experience, which may include experience as a
volunteer or an adult learner.]
(2) The applicant has expertise in the proposed area of the
project.
(3) The applicant has demonstrated the ability to complete a
quality project or has shown leadership in this area.
(4) The applicant provides letters of recommendation that show
strong knowledge by others in the literacy field of the applicant's
background and past work.
(c) Relevance to the Institute. (10 points) The Director uses the
following criteria to evaluate the relevance of the applicant's
proposal to the Institute:
(1) The project significantly relates to the purposes and work of
the Institute.
(2) The applicant proposes to spend a significant portion of the
project time at the Institute, taking into account the nature and scope
of the proposed project.
(d) Dissemination plan. (10 points) The Director uses the following
criteria to evaluate the quality of the dissemination plan:
(1) The applicant clearly specifies what information will be made
available to the field and how this information will further the
efforts of the field.
(2) The applicant describes how this information will be shared
with the field (e.g., print, on-line, presentations, video, etc.).
(e) Budget. (10 points) The Director uses the following criteria to
evaluate the budget:
(1) The budget will adequately support the project.
(2) The costs are clearly related to the objectives of the project.
(3) The budget is cost effective.
(4) The budget narrative clearly describes the budget and how costs
are calculated.
Sec. 1100.22 How does the Director determine the amount of a
fellowship?
The amount of a fellowship includes--
(a) A stipend, not to exceed $30,000, based on--
(1) The fellow's current annual salary, prorated for the length of
the fellowship salary reimbursement; or
(2) If a fellow has no current salary, the fellow's education and
experience; and
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(b) A subsistence allowance, materials allowance (covering costs of
materials and supplies directly related to the completion of the
project), and travel expenses (including expenses to attend quarterly
meetings in Washington, DC) related to the fellowship and necessary to
complete the scope of work outlined in the proposal, consistent with
Title 5 U.S.C. chapter 57.
Sec. 1100.23 What payment methods may the Director use?
(a) The Director will pay a fellowship award directly to the fellow
or through the fellow's employer. The application should specify if the
fellow wishes to be paid directly or through the fellow's employer.
(b) The Director considers the preferences of the fellow in
determining whether to pay a fellowship award directly to the fellow or
through the fellow's employer; however, the Director pays a fellowship
award through the fellow's employer only if the employer enters into an
agreement with the Director to comply with the provisions of
Sec. 1100.25.
Sec. 1100.24 What are the procedures for payment of a fellowship award
directly to the fellow?
(a) If the Director pays a fellowship award directly to the fellow
after the Director determines the amount of a fellowship award, the
fellowship recipient shall submit a payment schedule to the Director
for approval. The Director advises the recipient of the approved
schedule.
(b) If a fellow does not complete the fellowship, or if the
Institute terminates the fellowship, the fellow shall return to the
Director a prorated portion of the stipend and any unused substance and
materials allowance and travel funds at the time and in the manner
required by the Director.
Sec. 1100.25 What are the procedures for payment of a fellowship award
through the fellow's employer?
(a) If the Director pays a fellowship award through the fellow's
employer, the employer shall submit a payment schedule to the Director
for approval.
(b) The employer shall pay the fellow the stipend, subsistence and
materials allowance, and travel funds according to the payment schedule
approved by the Director. If the fellow does not complete the
fellowship, the fellow shall return to the employer a prorated portion
of the stipend and any unused subsistence and materials allowance and
travel funds. The employer shall return the funds to the Director at
the time and in the manner required by the Director. The employer shall
also return to the Director any portion of the stipend, subsistence and
materials allowance and travel funds not yet paid by the employer to
the fellow.
Subpart D--What Conditions Must be Met by a Fellow?
Sec. 1100.30 Where may the followship project be conducted?
(a) A fellow carries out all, or a portion of, the fellowship
project at the National Institute for Literacy in Washington, D.C. If
the Director determines that unusual circumstances exist, the Director
may authorize the fellow to carry out all of the project elsewhere.
(b) Office space and logistics will be provided by the Institute.
(c) The fellow may also be required to participate in meetings,
conferences and other activities at the Departments of Education,
Labor, or Health and Human and Services, in Washington, D.C., or in
site visits to other locations, if deemed appropriate for the project
being conducted.
Sec. 1100.31 Who is responsible for oversight of fellowship
activities?
(a) All fellowship activities are conducted under the direct or
general oversight of the Institute. The Institute may arrange through
written agreement for another Federal agency, or another public or
private nonprofit agency or organization that is substantially involved
in literacy research or services, to assume direct supervision of the
fellowship activities.
(b) Fellows may be assigned a peer mentor to orient them to the
Federal System and Institute procedures.
Sec. 1100.32 What is the duration of a fellowship?
(a) The Institute awards fellowships for a period of at least three
and not more than 12 months of full-time or part-time activity. An
award may not exceed 12 months in duration. The actual period of the
fellowship will be determined at the time of award based on proposed
activities.
(b) In order to continue the fellowship to completion, the fellow
must be making satisfactory progress as determined periodically by the
Director.
(c) A fellowship may be terminated under the terms of 34 CFR 74.61.
Sec. 1100.33 What reports are required?
(a) A fellow shall submit fellowship results to the Institute in
formats suitable for wide dissemination to policymakers and the public.
These formats should include, as appropriate to the topic of the
fellowship and the intended audience, articles for academic journals,
newspapers, and magazines.
(b) Each fellowship agreement will contain specific provisions for
how, when, and in what format the fellow will report on results, and
how and to whom the results will be disseminated.
(c) A fellow shall submit a final performance report to the
Director no later than 90 days after the completion of the fellowship.
The report must contain a description of the activities conducted by
the fellow and a thorough analysis of the extent to which, in the
opinion of the fellow, the objectives of the project have been
achieved. In addition, the report must include a detailed discussion of
how the activities performed and results achieved could be used to
enhance literacy practice in the United States. (Approved by the Office
of Management and Budget under OMB Control Number 3430-0003, Expiration
Date 6/30/2000.)
[FR Doc. 97-16495 Filed 6-24-97; 8:45 am]
BILLING CODE 6055-01-M
