Tribally Controlled Postsecondary Vocational Institutions Program; Notice Inviting Applications for New Awards for Fiscal Year (FY) 1996

[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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