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Executive Order 12924

Issued by William J. Clinton on Friday 19 August 1994


Ronald E. McNair Postbaccalaureate Achievement Program; Final Rule DEPARTMENT OF EDUCATION

Federal Register, Volume 59 Issue 164 (Thursday, August 25, 1994)

[Federal Register Volume 59, Number 164 (Thursday, August 25, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 94-20892]


[[Page Unknown]]

[Federal Register: August 25, 1994]


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Part IV





Department of Education





_______________________________________________________________________



34 CFR Part 647




Ronald E. McNair Postbaccalaureate Achievement Program; Final Rule
DEPARTMENT OF EDUCATION

34 CFR Part 647

RIN 1840-AB65

 
Ronald E. McNair Postbaccalaureate Achievement Program

AGENCY: Department of Education.

ACTION: Final regulations.

-----------------------------------------------------------------------

SUMMARY: The Secretary establishes regulations to govern the Ronald E. 
McNair Postbaccalaureate Achievement Program (McNair). The regulations 
are needed to implement statutory changes made to the McNair program by 
the Higher Education Amendments of 1992 and the Higher Education 
Technical Amendments Act of 1993. These regulations also codify those 
policies and practices that have been used in the requirements 
governing the program for the past four years. Previously, the McNair 
program has been administered using only the program statute and the 
Education Department General Administrative Regulations (EDGAR).

EFFECTIVE DATE: These regulations take effect on or before October 11, 
1994 or later if the Congress takes certain adjournments, except that 
compliance is not required with the information collection requirements 
in Sec. 647.21, 647.22, and 647.32 until the information collection 
requirements contained in these sections have been submitted by the 
Department of Education and approved by the Office of Management and 
Budget under the Paperwork Reduction Act of 1980. If you want to know 
the effective date of these regulations, call or write the Department 
of Education contact person. A document announcing the effective date 
will be published in the Federal Register.

FOR FURTHER INFORMATION CONTACT: Eileen S. Bland, U.S. Department of 
Education, 400 Maryland Avenue, S.W., Room 5065, Washington, D.C. 
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: The purposes and allowable activities of the 
McNair program support the National Education Goals. Specifically, the 
program funds projects designed to increase the number of United States 
undergraduate and graduate students, especially minorities, who 
complete advanced degrees in numerous disciplines, including the fields 
of mathematics and science, and the proportion of graduates equipped 
with the capacity for advanced critical analysis and problem solving.
    On December 2, 1993, the Secretary published a notice of proposed 
rulemaking (NPRM) for the McNair program in the Federal Register (58 FR 
63870). In this notice the Secretary solicited public comment on the 
proposed regulations.

Analysis of Comments and Changes

    In response to the Secretary's invitation in the NPRM, 17 persons 
submitted comments on the proposed regulations. The following is an 
analysis of the comments and the changes in the regulations since 
publication of the NPRM. Substantive issues are discussed under the 
section of the regulations to which they pertain. Technical and other 
minor changes made to the language published in the NPRM--and suggested 
changes the Secretary is not legally authorized to make under 
applicable statutory authority--are not addressed.

Who is Eligible for a Grant? (Section 647.2)

    Comment: The Secretary received one comment regarding eligible 
applicants under this program. The commenter encouraged the Secretary 
to include ``disciplinary groups'' such as professional associations 
and public or private agencies or organizations or combinations of 
these groups as eligible applicants under the McNair program. The 
commenter indicated that these groups are included as eligible under 
section 402A of the Higher Education Act of 1965 as amended (HEA) and 
that the Department is being overly restrictive in this limitation.
    Discussion: The Secretary believes Sec. 647.2 of these regulations 
accurately reflects section 402E of the HEA which authorizes the McNair 
program. While section 402A of the HEA denotes the full complement of 
eligible applicants for all Federal TRIO Programs, institutions of 
higher education and combinations of those institutions are generally 
the only entities that can provide McNair program services. Further, 
section 402E(d) of the HEA provides for specific award considerations 
for institutions of higher education. However, applicants are 
encouraged to solicit and encourage the participation and coordination 
of professional associations, both private and public, to further 
enhance the quality of the services to be provided to the eligible 
participants.
    Changes: None.

Who Is Eligible To Participate in a McNair Grant? (Section 647.3)

    Comments: Many commenters suggested that the Secretary change 
Sec. 647.3 by deleting the eligibility requirement that students must 
have completed their sophomore year of study to participate in the 
McNair program. The commenters felt that this requirement was overly 
restrictive and placed an additional eligibility requirement that went 
beyond legislative intent. Further, the commenters felt that early 
intervention, even at the freshman level, may provide the program 
participants with necessary information and motivation necessary to 
make future educational choices and decisions.
    Discussion: The Secretary has determined that the requirement that 
students must have completed their sophomore year of study before they 
are eligible to participate in the McNair program is overly restrictive 
and has deleted the requirement. However, because of the small size of 
the McNair program (less than 70 grants nationwide and under 2,000 
participants currently), the Secretary encourages grantees to focus 
project services on students in their junior and senior years of 
undergraduate study. Thus, the Secretary prefers to see the emphasis of 
the McNair program placed on students who have completed the general 
college-wide requirements and are ready to select their major fields of 
study. Nevertheless, the Secretary will not absolutely preclude 
freshmen and sophomores from participation in the McNair program. 
Grantees are advised that recipients of summer research internships 
must have completed their sophomore year. It should be noted that a 
companion program, Student Support Services, emphasizes the provision 
of academic support services to freshmen and sophomore students, 
including mentoring and counseling, to encourage enrollment in 
postbaccalaureate programs of study.
    Changes: The requirement that students must have completed their 
sophomore year of study to be eligible to participate in the McNair 
program has been deleted except with regard to summer research 
internships.
    Comments: Several commenters questioned whether the proposed 
regulations would allow students enrolled at the master's level of 
studies to participate in the McNair program.
    Discussion: The proposed regulations do not preclude the 
participation of students enrolled in master's level studies. However, 
given the types of activities and services normally provided by the 
McNair program, the Secretary anticipates that students at the master's 
level of study probably have received effective preparation for 
doctoral studies.
    Changes: None.

How Long Is a Project Period? (Section 647.5)

    Comment: The Secretary received one comment regarding whether the 
four-to-five year grant award cycles would be made retroactive to 
include the grantees currently funded under the McNair program.
    Discussion: Grant awards made in FY 1995 will be for either four or 
five years, depending upon the peer review score received by applicants 
in the competition. The grant award cycle for currently funded grantees 
under the McNair program will not be modified.
    Changes: None.

What Definitions Apply? (Section 647.7)

    Comment: One commenter suggested that the definition for first-
generation college student might be clarified by utilizing the language 
agreed upon in the Talent Search Program for the similar definition of 
potential first-generation college student (Sec. 643.7).
    Discussion: The Secretary agrees with the commenter.
    Changes: The definition of first-generation college student has 
been revised to reflect the definition of that term in the Talent 
Search Program regulations.
    Comments: None.
    Discussion: The Secretary has reviewed the regulations since the 
publication of the NPRM and has determined that providing information 
on what groups are underrepresented in graduate education is beneficial 
to all prospective applicants. However, there is no need to define both 
Individuals from groups underrepresented in graduate education, and 
Groups underrepresented in graduate education.
    Changes: The definition of ``Individuals from groups 
underrepresented in graduate education'' has been deleted and replaced 
with the definition of ``Groups underrepresented in graduate 
education.''
    Further, an additional definition has been added to this section 
for ``target population.'' Applicants are asked to provide information 
on their proposed ``target population'' under the ``Need'' criterion, 
which was revised in response to comments that the criterion not be 
restricted to an applicant's student population.
    Comments: Several commenters questioned the definition of summer 
internship. Exception was taken to the phrase, ``* * * that normally 
will occur between the junior and senior year * * *'' because it 
appears restrictive and one commenter suggested that the term 
``experienced practitioner'' be defined.
    Discussion: The Secretary disagrees that the definition of this 
term could be interpreted as requiring that a summer internship take 
place only between a student's junior and senior years but decided to 
delete the phrase nevertheless.
    Changes: The definition of ``summer internship'' has been revised, 
and the Secretary has replaced the term ``experienced practitioners'' 
with ``experienced faculty researchers.''

How Does the Secretary Decide which New Grants to Make? (Section 
647.20)

    Comments: Two commenters observed that the eight point maximum 
prior experience score conflicts with the language included in the 
Higher Education Technical Amendments of 1993.
    Discussion: The Secretary has raised the maximum prior experience 
score to 15 points as required by a statutory change made by the Higher 
Education Technical Amendments Act of 1993.
    Changes: The maximum score for all the criteria in Sec. 647.22 is 
l5 points. Further, the Secretary has modified the maximum score for 
each criterion in that section to reflect the new total score.
    Comments: One commenter objected to the provision that additional 
points, equal to l0 percent of the applicant's score, be awarded to 
applications from Guam, the Virgin Islands, American Samoa, the Trust 
Territory of the Pacific Islands and the Northern Mariana Islands. The 
commenter objected because the commenter believes it gives those 
applicants an unfair advantage.
    Discussion: The requirement that priority be given to proposals 
submitted by the territories was deleted from the Higher Education Act 
by the Higher Education Technical Amendments Act of 1993.
    Changes: The provision has been deleted from Sec. 647.20(a) of the 
regulations.
    Comments: Several commenters objected to Sec. 647.20(c) of the 
proposed regulations, which describes how the Secretary awards grants 
when two or more applications receive identical scores and all of these 
applications cannot be funded. The commenters suggested that the use of 
a subjective selection factor such as geographical distribution was not 
impartial and could possibly be construed as setting a new precedent 
for other TRIO funding.
    Discussion: The Secretary believes that a tie-breaker that takes 
into account underserved geographic areas is appropriate. The Secretary 
further believes this provision reflects congressional concern 
regarding equitable distribution of services to geographic areas and 
eligible populations that have been underserved by the program.
    Changes: None.

What Selection Criteria Does the Secretary Use? (Section 647.21)

    Comments: Several commenters questioned why the ``Need'' criterion 
is based on the eligibility of students at the applicant institution 
when the program legislation does not restrict an applicant's service 
area to its own student population.
    Discussion: The Secretary agrees that the ``Need'' criterion as 
published could inadvertently restrict the applicant's service area.
    Changes: Section 647.21(b) has been revised and reformatted to 
appear as Sec. 647.21(a).
    Comments: One commenter suggested that Sec. 647.21(c)(2) would be 
strengthened by adding an objectives section, which would require the 
inclusion of information on specific process and outcome objectives 
relative to the purposes of the McNair program, their relevance in 
addressing the needs of the target group, and their clarity and 
attainability given the project budget and other resources.
    Discussion: The Secretary has reviewed the proposed regulations and 
determined that the inclusion of process and outcome objectives would 
provide relevant information about the quality of the proposed project. 
Further, to avoid duplication or overlap of information requested, 
additional changes within the selection criteria have been made to 
delete the criterion, ``Meeting the purpose of the McNair program,'' to 
include a new criterion, ``Objectives,'' and to revise the criterion, 
``Plan of Operation.'' Also included is a redistribution of the points 
that may be earned under each criterion.
    Changes: Section 647.21 (b) and (c) has been modified to include a 
new criterion, ``Objectives,'' a revision of the ``Plan of Operation'' 
criterion, and a modification of the point distribution.
    Comments: Several commenters suggested that Sec. 647.21(c)(2) 
appeared to be overly restrictive by requesting information on time 
commitments for all employees of the project rather than just those 
designated as ``key'' personnel.
    Discussion: As a result of the overall modification of the program 
selection criteria, the Secretary has concentrated all personnel 
concerns in Sec. 647.21(d) of the revised selection criteria.
    Changes: Section 647.21 has been modified.
    Comments: One commenter suggested that the ``Plan of Operation'' 
criterion failed to include language that mirrored section 402A(c)(6), 
which encourages coordination among TRIO programs and other programs 
for disadvantaged students regardless of their funding source.
    Discussion: The Secretary is aware of the legislative language to 
coordinate programs for disadvantaged students and agrees that it 
should be addressed in the regulations. Therefore, the selection 
criteria, specifically Sec. 647.21(c)(8), have been modified to include 
a request for pertinent information regarding any planned coordination 
activities.
    Changes: Section 647.21(c)(2) has been redesignated as 
Sec. 647.21(c)(8) and modified to include language requesting details 
of planned coordination activities by the applicant.
    Comments: Several commenters objected to the inclusion of fee 
waivers or tuition waivers as requirements for funding consideration 
and point assignment included in Sec. 647.21(e)(3).
    Discussion: The Secretary has reviewed the pertinent section under 
Sec. 647.21(e)(3) and has determined that the phrase in question is 
appropriate. The waiving of fees is not required as a condition of 
funding. Rather, the examples listed are but a few suggestions of the 
many kinds of support that could be construed as positive in nature and 
an indicator of institutional commitment.
    Changes: None.
    Comments: Several commenters questioned the requirement contained 
in the proposed plan of operation (Sec. 647.21(c)(4)(i)), which states 
that participants selected for the program be enrolled in programs of 
study in which a doctorate degree is the terminal degree. It was the 
consensus of the commenters that this language infers that students in 
some pre-professional programs (such as law or medical technology) 
might be ineligible for program participation.
    Discussion: The Secretary has reviewed the criterion and the 
language in question has been deleted due to the overall modification 
of the plan of operation. However, it should be noted that the intent 
of section 402A describes the purpose of the McNair program as one that 
motivates and prepares students for doctoral programs. Thus, this may 
preclude some fields of study that terminate at the master's level and 
some preprofessional programs.
    Changes: The plan of operation has been modified and the language 
in question has been deleted.
    Comments: One commenter questioned the failure of the selection 
criteria to include the award considerations contained in section 
402E(d)(3) of the HEA that called for consideration of students 
enrolled in projects authorized under this ``section.''
    Discussion: The reference in section 402E(d)(3) to this ``section'' 
refers to section 402E of the HEA, which is the section authorizing the 
McNair Program. Therefore, since the only Federal TRIO Program that 
serves students already enrolled in institutions of higher education is 
the Student Support Services program, the Secretary has interpreted 
that section as applying to the Student Support Services program and 
has revised Sec. 647.21(c)(3) accordingly.
    Changes: Section 647.21(c)(3) has been revised and redesignated as 
Sec. 647.21(c)(1).

How Does the Secretary Evaluate Prior Experience? (Section 647.22)

    Comments: One commenter suggested that the consideration of 
information relevant to the previous five years of funding prior to the 
fiscal year under funding consideration provided an insufficient time 
frame to determine the relative success of projects in encouraging 
students to enter doctoral study. The commenter suggested that seven to 
ten years was a more accurate indicator of success in this area.
    Discussion: The Secretary agrees that seven to ten years may 
provide a more comprehensive picture of the success of a project's 
endeavors to assure that students enter or complete a program of study 
leading to a doctoral degree. However, for the purposes of prior 
experience, the most recent years' experience of the project is 
considered adequate, and thus the rationale for the five-year cap, 
since that is the maximum grant award period allowed under current 
legislation. To ensure the consistent application of this policy, 
Sec. 647.22(a) has been revised to clearly state that the period to be 
considered is the performance period under an expiring McNair grant.
    Changes: Section 647.22(a) has been modified.

What are Allowable Costs? (Section 647.30)

    Comments: Several commenters objected to the provision that 
restricted the $2,400 stipend to the ``summer'' research internships. 
They felt that this provision was overly restrictive and did not allow 
the applicants flexibility in designing programs that most 
appropriately meet the unique needs of the students to be served.
    Discussion: The Secretary has reconsidered the provision that ties 
the payment of the $2,400 stipend to summer research internships. The 
Secretary will allow the payment of stipends for research internships 
that take place other than in the summer.
    Changes: Section 647.30(b) has been modified. Also, language has 
been added to Sec. 647.30(c) to clarify that tuition, room and board, 
and transportation costs are allowable only for summer internships 
involving research.

What are Unallowable Costs? (Section 647.31)

    Comments: Several commenters suggested that allowable costs should 
include student fees for test preparation workshops, colloquia or other 
courses that directly increase the likelihood of a student entering a 
doctoral program.
    Discussion: The Secretary disagrees with the commenters because 
this payment would constitute a form of direct student aid that is not 
allowed under this program except as provided for in Sec. 647.30. The 
provision of the workshops, colloquia or courses under the project for 
all interested participants is, however, allowable.
    Changes: None.

What Other Requirements Must A Grantee Meet? (Section 647.32)

    Comments: One commenter suggested that the phrase ``as a result of 
the services'' be deleted from Sec. 647.32(b)(4) since the causal 
connection between services and outcomes is often difficult to make.
    Discussion: The Secretary agrees that the phrase in the proposed 
regulations may cause an undue hardship on grantees to demonstrate that 
such a relationship exists.
    Changes: A change has been made in paragraph Sec. 647.32(b)(4) to 
eliminate the phrase ``as a result of the services.''

Paperwork Reduction Act of 1980

    Sections 647.21, 647.22, and 647.32 contain information collection 
requirements. As required by the Paperwork Reduction Act of 1980, the 
Department of Education will submit a copy of these sections to the 
Office of Management and Budget (OMB) for its review. (44 U.S.C. 
3504(h))
    Institutions of higher education and combinations of those 
institutions are eligible to apply for grants to carry out McNair 
Program projects. The Department needs and uses the information to make 
grants. Annual public reporting burden for this collection of 
information is estimated to average 20 hours per response for 68 
respondents, including the time for reviewing instructions, searching 
existing data sources, gathering and maintaining the data needed, and 
completing and reviewing the collection of information.
    Organizations and individuals desiring to submit comments on the 
information collection requirement should direct them to the Office of 
Information and Regulatory Affairs, OMB, Room 10235, New Executive 
Office Building, Washington, D.C. 20503; Attention: Daniel J. Chenok.

Intergovernmental Review

    This program is subject to the requirements 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 by or is 
available from any other agency or authority of the United States.

List of Subjects in 34 CFR Part 647

    Colleges and universities, Disadvantaged students, Discretionary 
grants, Educational programs, Graduate education, Reporting and 
recordkeeping requirement.

    Dated: August 17, 1994.
David A. Longanecker,
Assistant Secretary for Postsecondary Education.

(Catalog of Federal Domestic Assistance Number 84.217 Ronald E. 
McNair Postbaccalaureate Achievement Program.

    The Secretary amends Title 34 of the Code of Federal Regulations by 
adding a new Part 647 to read as follows:

PART 647--RONALD E. MCNAIR POSTBACCALAUREATE ACHIEVEMENT PROGRAM

Subpart A--General

Sec.
647.1  What is the Ronald E. McNair Postbaccalaureate Achievement 
Program?
647.2  Who is eligible for a grant?
647.3  Who is eligible to participate in a McNair project?
647.4  What activities and services may a project provide?
647.5  How long is a project period?
647.6  What regulations apply?
647.7  What definitions apply?

Subpart B--Assurances

647.10 What assurances must an applicant submit?

Subpart C--How Does the Secretary Make a Grant?

647.20  How does the Secretary decide which new grants to make?
647.21  What selection criteria does the Secretary use?
647.22  How does the Secretary evaluate prior experience?
647.23  How does the Secretary set the amount of a grant?

Subpart D--What Conditions Must Be Met by a Grantee?

647.30  What are allowable costs?
647.31  What are unallowable costs?
647.32  What other requirements must a grantee meet?

    Authority: 20 U.S.C. 1070a-11 and 1070a-15, unless otherwise 
noted.

Subpart A--General


Sec. 647.1  What is the Ronald E. McNair Postbaccalaureate Achievement 
Program?

    The Ronald E. McNair Postbaccalaureate Achievement Program--
referred to in these regulations as the McNair program--awards grants 
to institutions of higher education for projects designed to provide 
disadvantaged college students with effective preparation for doctoral 
study.

(Authority: 20 U.S.C. 1070a-15)


Sec. 647.2  Who is eligible for a grant?

    Institutions of higher education and combinations of those 
institutions are eligible for grants to carry out McNair projects.

(Authority: 20 U.S.C. 1070a-11, 1070a-15, 1088, and 1141(a) and 
1144a)


Sec. 647.3  Who is eligible to participate in a McNair project?

    A student is eligible to participate in a McNair project if the 
student meets all the following requirements:
    (a) (1) Is a citizen or national of the United States; or
    (2) Is a permanent resident of the United States; or
    (3) 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; or
    (4) Is a permanent resident of Guam, the Northern Mariana Islands, 
or the Trust Territory of the Pacific Islands; or
    (5) Is a resident of one of the Freely Associated States.
    (b) Is currently enrolled in a degree program at an institution of 
higher education that participates in the student financial assistance 
programs authorized under Title IV of the HEA.
    (c) Is--
    (1) A low-income individual who is a first-generation college 
student;
    (2) A member of a group that is underrepresented in graduate 
education; or
    (3) A member of a group that is not listed in Sec. 647.7 if the 
group is underrepresented in certain academic disciplines as documented 
by standard statistical references or other national survey data 
submitted to and accepted by the Secretary on a case-by-case basis.
    (d) Has not enrolled in doctoral level study at an institution of 
higher education.

(Authority: 20 U.S.C. 1070a-15)


Sec. 647.4  What activities and services may a project provide?

    A McNair project may provide the following services and activities:
    (a) Opportunities for research or other scholarly activities at the 
grantee institution or at graduate centers that are designed to provide 
participants with effective preparation for doctoral study.
    (b) Summer internships.
    (c) Seminars and other educational activities designed to prepare 
participants for doctoral study.
    (d) Tutoring.
    (e) Academic counseling.
    (f) Assistance to participants in securing admission to and 
financial assistance for enrollment in graduate programs.
    (g) Mentoring programs involving faculty members or students at 
institutions of higher education, or any combination of faculty members 
and students.
    (h) Exposure to cultural events and academic programs not usually 
available to project participants.

(Authority: 20 U.S.C. 1070a-15)


Sec. 647.5  How long is a project period?

    (a) Except as provided in paragraph (b) of this section, a project 
period under the McNair 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. 647.21.

(Authority: 20 U.S.C. 1070a-11)


Sec. 647.6  What regulations apply?

    The following regulations apply to the McNair 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).
    (3) 34 CFR Part 77 (Definitions that Apply to Department 
Regulations).
    (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 647.

(Authority: 20 U.S.C. 1070a-11 and 1070a-15)


Sec. 647.7  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
Project
Project Period
Public
Secretary
Supplies

    (b) Other definitions. The following definitions also apply to this 
part:
    First-generation college student means--
    (1) A student neither of whose natural or adoptive parents received 
a baccalaureate degree; or
    (2) A student who, prior to the age of 18, regularly resided with 
and received support from only one parent, and whose supporting parent 
did not receive a baccalaureate degree.
    (3) An individual who, prior to the age of 18, did not regularly 
reside with or receive support from a natural or an adoptive parent.
    Graduate center means an educational institution as defined in 
sections 481, 1201(a), and 1204 of the HEA; and that--
    (1) Provides instruction in one or more programs leading to a 
doctoral degree;
    (2) Maintains specialized library collections;
    (3) Employs scholars engaged in research that relates to the 
subject areas of the center; and
    (4) Provides outreach and consultative services on a national, 
regional or local basis.
    Graduate education means studies beyond the bachelor's degree 
leading to a postbaccalaureate degree.
    HEA means the Higher Education Act of 1965, as amended.
    Groups underrepresented in graduate education. The following ethnic 
and racial groups are currently underrepresented in graduate education: 
Black (non-Hispanic), Hispanic, and American Indian/Alaskan Native.
    Institution of higher education means an educational institution as 
defined in sections 481, 1201(a) and 1204 of the HEA.
    Low-income individual means an individual whose family's taxable 
income did not exceed 150 percent of the poverty level in the calendar 
year preceding the year in which the individual participates in the 
project. Poverty level income is determined by using criteria of 
poverty established by the Bureau of the Census of the U.S. Department 
of Commerce.
    Summer internship means an educational experience in which 
participants, under the guidance and direction of experienced faculty 
researchers, are provided an opportunity to engage in research or other 
scholarly activities.
    Target population means the universe from which McNair participants 
will be selected. The universe may be expressed in terms of geography, 
type of institution, academic discipline, type of disadvantage, type of 
underrepresentation, or any other qualifying descriptor that would 
enable an applicant to more precisely identify the kinds of eligible 
project participants they wish to serve.

(Authority: 20 U.S.C. 1070a-11, 1070a-15, and 1141)

Subpart B--Assurances


Sec. 647.10  What assurances must an applicant submit?

    An applicant must submit as part of its application, assurances 
that--
    (a) Each participant enrolled in the project will be enrolled in a 
degree program at an institution of higher education that participates 
in one or more of the student financial assistance programs authorized 
under Title IV of the HEA;
    (b) Each participant given a summer research internship will have 
completed his or her sophomore year of study; and
    (c)(1) At least two thirds of the students to be served will be 
low-income individuals who are first-generation college students; and
    (2) The remaining students to be served will be members of groups 
underrepresented in graduate education.

(Authority: 20 U.S.C. 1070a-15)

Subpart C--How Does the Secretary Make a Grant?


Sec. 647.20  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 an application on the basis of the 
selection criteria in Sec. 647.21.
    (ii) The maximum score for all the criteria in Sec. 647.21 is 100 
points. The maximum score for each criterion is indicated in 
parentheses with the criterion.
    (2)(i) For an application from an applicant who has carried out a 
McNair project in the fiscal year immediately preceding the fiscal year 
for which the applicant is applying, the Secretary evaluates the 
applicant's prior experience on the basis of the criteria in 
Sec. 647.22.
    (ii) The maximum score for all the criteria in Sec. 647.22 is 
fifteen (15) points. The maximum score for each criterion is indicated 
in parentheses with the criterion.
    (iii) If an applicant described in paragraph (a)(2)(i) of this 
section applies for more than one new grant in the same fiscal year, 
the Secretary applies the criteria in Sec. 647.22 to a project that 
seeks to continue support for an existing McNair project on that 
campus.
    (b) The Secretary makes new grants in rank order on the basis of 
the total scores received by applications under paragraphs (a)(1) 
through (a)(3) of this section.
    (c)(1) 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 achieve an equitable geographic distribution of all 
new projects.
    (2) In making an equitable geographic distribution of new projects, 
the Secretary considers only the locations of new projects.
    (d) The Secretary may decline to make a grant to an applicant that 
carried out a Federal TRIO Program project that involved the fraudulent 
use of funds.

(Authority: 20 U.S.C. 1070a-11 and 1070a-15)


Sec. 647.21  What selection criteria does the Secretary use?

    The Secretary uses the following criteria to evaluate an 
application for a new grant:
    (a) Need (16 Points). The Secretary reviews each application to 
determine the extent to which the applicant can clearly and 
definitively demonstrate the need for a McNair project to serve the 
target population. In particular, the Secretary looks for information 
that clearly defines the target population; describes the academic, 
financial and other problems that prevent potentially eligible project 
participants in the target population from completing baccalaureate 
programs and continuing to postbaccalaureate programs; and demonstrates 
that the project's target population is underrepresented in graduate 
education, doctorate degrees conferred and careers where a doctorate is 
a prerequisite.
    (b) Objectives (9 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 the 
purpose of the McNair program stated in Sec. 647.1;
    (2) Address the needs of the target population; and
    (3) Are measurable, ambitious, and attainable over the life of the 
project.
    (c) Plan of Operation (44 points). The Secretary reviews each 
application to determine the quality of the applicant's plans of 
operation, including--
    (1) (4 points) The plan for identifying, recruiting and selecting 
participants to be served by the project, including students enrolled 
in the Student Support Services program;
    (2) (4 points) The plan for assessing individual participant needs 
and for monitoring the academic growth of participants during the 
period in which the student is a McNair participant;
    (3) (5 points) The plan for providing high quality research and 
scholarly activities in which participants will be involved;
    (4) (5 points) The plan for involving faculty members in the design 
of research activities in which students will be involved;
    (5) (5 points) The plan for providing internships, seminars, and 
other educational activities designed to prepare undergraduate students 
for doctoral study;
    (6) (5 points) The plan for providing individual or group services 
designed to enhance a student's successful entry into postbaccalaureate 
education;
    (7) (3 points) The plan to inform the institutional community of 
the goals and objectives of the project;
    (8) (8 points) The plan to ensure proper and efficient 
administration of the project, including, but not limited to matters 
such as financial management, student records management, personnel 
management, the organizational structure, and the plan for coordinating 
the McNair project with other programs for disadvantaged students; and
    (9) (5 points) The follow-up plan that will be used to track the 
academic and career accomplishments of participants after they are no 
longer participating in the McNair project.
    (d) Quality of key personnel (9 points). The Secretary evaluates 
the quality of key personnel the applicant plans to use on the project 
on the basis of the following:
    (1)(i) The job qualifications of the project director.
    (ii) The job qualifications of each of the project's other key 
personnel.
    (iii) The quality of the project's plan for employing highly 
qualified persons, including the procedures to be used to employ 
members of groups underrepresented in higher education, including 
Blacks, Hispanics, American Indians, Alaska Natives, Asian Americans 
and Pacific Islanders (including Native Hawaiians).
    (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.
    (e) Adequacy of the resources and budget (15 points). The Secretary 
evaluates the extent to which--
    (1) The applicant's proposed allocation of resources in the budget 
is clearly related to the objectives of the project;
    (2) Project costs and resources, including facilities, equipment, 
and supplies, are reasonable in relation to the objectives and scope of 
the project; and
    (3) The applicant's proposed commitment of institutional resources 
to the McNair participants, as for example, the commitment of time from 
institutional research faculty and the waiver of tuition and fees for 
McNair participants engaged in summer research projects.
    (f) Evaluation plan (7 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, in specific and 
measurable ways, 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 a description of other project outcomes, including 
the use of quantifiable measures, if appropriate.

(Authority: 20 U.S.C. 1070a-15)


Sec. 647.22  How does the Secretary evaluate prior experience?

    (a) The Secretary reviews information relating to an applicant's 
performance as a grantee under its expiring McNair project. In addition 
to the application under review, this information may be derived from 
performance reports, audit reports, site visit reports, and project 
evaluation reports received by the Secretary during the project period 
about to be completed.
    (b) The Secretary evaluates the applicant's performance as a 
grantee on the basis of the following criteria:
    (1) (3 points) Whether the applicant consistently served the number 
and types of participants the project was funded to serve.
    (2) (4 points) Whether the applicant was successful in providing 
the participants with research and scholarly activities and whether 
those activities had an impact on project participants.
    (3) (8 points) The extent to which the applicant met or exceeded 
its funded objectives with regard to project participants as 
demonstrated by the number of participants who--
    (i) Attained a baccalaureate degree;
    (ii) Enrolled in a postbaccalaureate program; and
    (iii) Attained a doctoral level degree.

(Authority: 20 U.S.C. 1070a-11 and 1070a-15)


Sec. 647.23  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 1995 at the lesser of--
    (1) $190,000; 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. 647.30  What are allowable costs?

    Allowable project costs, not specifically covered by 34 CFR Part 
74, may include the following costs reasonably related to carrying out 
a McNair project:
    (a) Activities of an academic or scholarly nature, such as trips to 
institutions of higher education offering doctoral programs, and 
special lectures, symposia, and professional conferences, which have as 
their purpose the encouragement and preparation of project participants 
for doctoral studies.
    (b) Stipends of up to $2,400 per year for students engaged in 
research internships, provided that the student has completed the 
sophomore year of study at an eligible institution before the 
internship begins.
    (c) Necessary tuition, room and board, and transportation for 
students engaged in research internships during the summer.
    (d) 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.


Sec. 647.31  What are unallowable costs?

    Costs that may not be charged against a grant under this program 
include the following:
    (a) Payment of tuition, stipends, test preparation and fees or any 
other form of student financial support to staff or participants not 
expressly allowed under Sec. 647.30.
    (b) Construction, renovation, and remodeling of any facilities.

(Authority: 20 U.S.C. 1070a-5)


Sec. 647.32  What other requirements must a grantee meet?

    (a) Eligibility of participants. (1) A grantee shall determine the 
eligibility of each student before the student is selected to 
participate. A grantee does not have to redetermine a student's 
eligibility once the student has been determined eligible in accordance 
with the provisions of Sec. 647.3; and
    (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) Recordkeeping. For each student, a grantee shall maintain a 
record of--
    (1) The basis for the grantee's determination that the student is 
eligible to participate in the project under Sec. 647.3;
    (2) The individual needs assessment;
    (3) The services provided to the participant; and
    (4) The specific educational progress made by the student during 
and after participation in the project.
    (c) Other reporting requirements. A grantee shall submit to the 
Secretary reports and other information as requested in order to 
demonstrate program effectiveness.
    (d) Project director. A grantee shall designate a project director 
who has--
    (1) Authority to conduct the project effectively; and
    (2) Appropriate professional qualifications, experience and 
administrative skills to effectively fulfill the objectives of the 
project.

(Authority: 20 U.S.C. 1070a-15)

[FR Doc. 94-20892 Filed 8-24-94; 8:45 am]
BILLING CODE 4000-01-P


Citation:
Revokes: EO 12923, June 30, 1994;; ; Continued by: Notice of August 15, 1995; Notice of August 14, 1996; Notice of August 13, 1997; Notice of August 13, 1998; Notice of August 10, 1999;; ; Revoked by: EO 13206, April 4, 2001;; ; See: EO 12002,
 

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