[Federal Register Volume 60, Number 132 (Tuesday, July 11, 1995)]
[Rules and Regulations]
[Pages 35798-35801]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-16938]




[[Page 35797]]

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Part II





National Institute for Literacy





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34 CFR Ch. XI and Part 1100



Literacy Leader Fellowship Program; Interim Final Rule and Notice

  Federal Register / Vol. 60, No. 132 / Tuesday, July 11, 1995 / Rules 
and Regulations  

[[Page 35798]]


NATIONAL INSTITUTE FOR LITERACY

34 CFR Ch. XI and Part 1100

[CFDA No. 84.257I]


Literacy Leader Fellowship Program

AGENCY: National Institute for Literacy.

ACTION: Interim final regulations.

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SUMMARY: The Director issues interim final regulations to govern the 
Literacy Leader Fellowship Program for Fiscal Year 1995 and for 
subsequent years. 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 regulations 
specify the categories of fellowships, how an individual applies for a 
fellowship, what conditions for eligibility must be met by an 
applicant, where the fellowship will be conducted, how a fellow is 
selected, the responsibilities of a fellow, and how the amount of a 
fellowship is determined.

DATES: Effective Date: These regulations are effective August 10, 1995.
    Comment Date: Comments must be received on or before September 30, 
1995.

ADDRESSES: All comments concerning these final regulations should be 
addressed to Susan Green, National Institute for Literacy, 800 
Connecticut Avenue NW., Suite 200, Washington, DC 20006.
    A copy of any comments that concern information collection 
requirements should also be sent to the Office of Management and Budget 
at the address listed in the Paperwork Reduction Act section of this 
preamble.

FOR FURTHER INFORMATION CONTACT: Susan Green, 202/632-1509.

SUPPLEMENTARY INFORMATION:

Background

    The Literacy Leadership Fellowship Program is authorized under 
section 384 of the Adult Education Act (20 U.S.C. 1213c), as amended. 
Fellowships may include stipends and allowances for subsistence and 
travel expenses as provided under Title 5 of the United States Code.

Executive Order 12286

    These interim final regulations have been reviewed in accordance 
with Executive Order 12286. Under the terms of the order, the Director 
has assessed the potential costs and benefits of this regulatory 
action. The potential costs associated with these regulations are those 
resulting from statutory requirements and those determined by the 
Director as necessary for administering this program effectively and 
efficiently. The Director has determined that the benefits of the 
regulations justify the costs. The Director has also determined that 
the regulatory action does not unduly interfere with State, local, and 
tribal governments in the exercise of their governmental functions.

Regulatory Flexibility Act Certification

    The Director certifies that these proposed regulations would not 
have a significant economic impact on a substantial number of small 
entities. These provisions would affect only individuals, who are not 
defined as ``small entities'' in the Regulatory Flexibility Act.

Paperwork Reduction Act of 1980

    Sections 1100.21 and 1100.33 contain information collection 
requirements. As required by section 3504(h) of the Paperwork Reduction 
Act of 1980, as amended, and the regulations implementing the Act, the 
National Institute for Literacy will submit a copy of these interim 
regulations to the Office of Management and Budget (OMB) for its 
review. Public reporting burden for this collection of information is 
estimated to average 15 hours per response. Organizations and 
individuals wishing to submit comments on the information collection 
requirements should direct them to the Office of Information and 
Regulatory Affairs, OMB, Room 3002, New Executive Office Building, 
Washington, DC 20503; Attention: Dan Chenok.

Invitation to Comment

    Interested persons are invited to submit comments and 
recommendations regarding these interim final regulations. The Director 
will take all comments into consideration and will make those changes 
to the regulations that the Director deems appropriate. The final 
regulations will govern applications for fellowships beginning in 
Fiscal Year 1996.
    All comments submitted in response to these interim regulations 
will be available for public inspection, during and after the comment 
period, in Suite 200, 800 Connecticut Avenue, NW., Washington, DC, 
between the hours of 8:30 A.M. to 4:30 P.M., Monday through Friday each 
week, except Federal holidays.
    To assist the National Institute for Literacy in complying with the 
specific requirements of Executive Order 12286 and the Paperwork 
Reduction Act of 1980 and their overall requirement of reducing 
regulatory burden, the Director invites comment on whether there may be 
further opportunities to reduce any regulatory burdens found in the 
interim final regulations.

Regulations

    The National Institute for Literacy is subject to the rulemaking 
requirements of the Administrative Procedure Act (APA). Under the APA, 
codified in Title 5 of the United States Code, section 553, matters 
relating to public property, loans, grants, benefits, or contracts are 
not subject to the rulemaking requirements of that section. Under 
ordinary circumstances, the Director would prefer not to invoke this 
exemption for the development of the regulations governing awards under 
the Literacy Leader Fellowship Program because the Director values 
public participation in the process. However, in order to make timely 
fellowship awards in Fiscal Year 1995 based on the regulations, the 
Director has decided to issue these regulations in final form, while at 
the same time taking public comment that will help the Director 
determine whether any changes are adivsable for future competitions.

Priorities

    The Institute may establish annual priorities, as stated in 34 CFR 
75.105, by publishing a notice of priorities in the Federal Register 
concurrently with, or prior to, publishing a notice inviting 
applications for that year.

List of Subjects in 34 CFR Part 1100

    Adult education; Grant programs--education; Reporting and 
recordkeeping requirements.

(Catalog of Federal Domestic Assistance Number 84.257I, National 
Institute for Literacy)

    Dated: July 6, 1995.
Carolyn Staley,
Deputy Director, National Institute for Literacy.

    The Director establishes chapter XI, consisting at this time of 
part 1100, in Title 34 of the Code of Federal Regulations to read as 
follows:
CHAPTER XI--NATIONAL INSTITUTE FOR LITERACY

PART 1100--LITERACY LEADER FELLOWSHIP PROGRAM

Subpart A--General

Sec.
1100.1  What is the Literacy Leader Fellowship Program?
1100.2  Who is eligible for a fellowship?
1100.3  What type of project may a fellow conduct under this 
program?
1100.4  What regulations apply?

[[Page 35799]]

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?

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 
applicant?
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?

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.

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 ultimately, the 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 of the United States;
    (2) Eligible for Federal assistance under the terms of 34 CFR 75.60 
and 75.61; and
    (3) Either a career literacy worker or an adult learner.


Sec. 1100.3  What type of project may a fellow conduct under this 
program?

    Under the auspices of the Institute, and in accordance with the 
Fellowship Agreement, the Literacy Leader Fellow may use a fellowship 
awarded under this part to engage in 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.


Sec. 1100.4  What regulations apply?

    This program is governed by the regulations in this part and the 
following additional regulations:

34 CFR 75.60, Individuals ineligible to receive assistance;
34 CFR 75.61, Certification of eligibility; effect of eligibility; and
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 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.
    Career literacy worker means an individual who is pursuing a career 
in literacy or adult education or a related field and who has relevant 
academic or professional experience. Relevant experience includes 
teaching, policymaking, administration, or research.
    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 of the Adult 
Education Act (20 U.S.C. 1213c) 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.
    Project means the work to be engaged in by the Fellow during the 
period of 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) Workforce and Workplace literacy. Millions of American adults 
need educational services either to enter the work force or to upgrade 
their work-related skills. Increasingly literacy programs are offered 
in the context of the workplace. Workforce education and development is 
a top national priority and a critical focus in the literacy field.
    (b) Family Literacy. Educational research and practice continue to 
demonstrate the fundamental importance of the family in creating both 
the motivation and conditions for a child's readiness for school and 
continued learning throughout life. This intergenerational literacy 
connection is having an increasingly significant effect on the funding, 
design, and operation of Federal, State, and local programs for 
children as well as adults.
    (c) English as a Second Language/Immigration and Literacy. Recent 
studies confirm that adults with limited English proficiency (LEP) 
experience a variety of social and economic disadvantages: lower wages, 
limited employment opportunities, limited access to public services, 
and barriers to becoming active members of their communities and 
neighborhoods. ESL instruction is currently the largest and fastest 
growing component of the Adult Education Act, and the demand continues 
to increase dramatically. About two-thirds of all recent immigrants to 
America are LEP, and about 76% of the 12 to 14 million LEP adults in 
America are immigrants. Issues related to the education of immigrants 
and ESL services are of 

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increasing importance to the literacy and adult education field.
    (d) Assessing Progress toward National Educational Goal 6. Goal 6, 
the adult literacy and lifelong learning goal, states 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.'' Gauging 
progress toward this goal is a primary concern of the Institute and a 
complex undertaking that challenges all sectors of the literacy field. 
As a result, there is growing interest in development of innovative 
approaches for measuring and documenting this progress in a variety of 
service settings.
    (e) The Role of Adult Learners in Literacy and Adult Education 
Programs. As the primary consumers of literacy and adult education 
services, adult learners have the greatest personal stake in the 
quality of these services, and unique contributions to make in setting 
policy for, planning, and implementing programs. The Institute is 
interested in learning more about how current and former adult learners 
can play meaningful roles at every level of the literacy field 
nationwide.

Subpart B--How Does an Individual Apply for a Fellowship?


Sec. 1100.10  What categories of fellowship does the Institute award?

    (a) The Institute awards two categories of Literacy Leadership 
Fellowships:
    (1) Career Literacy Worker Fellowships; and
    (2) Adult Learner Fellowships.
    (b) [Reserved]


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 also indicate which 
category of fellowship, as described in Sec. 1100.10(b), most 
accurately describes the applicant.

Subpart C--How Does the Director Award a Fellowship?


Sec. 1100.20  How is a fellow selected?

    (a) The Director rates applications using the selection criteria in 
Sec. 1100.21 and then determines the order in which applications in 
each category will be ranked. The Director may consider the following 
in making this determination:
    (1) The rating of the applications based on the criteria in 
Sec. 1100.21, plus any bonus points an applicant may have been awarded 
for addressing an Institute priority or priorities, as established 
annually.
    (2) Whether the selection of an application would increase the 
diversity of fellowship projects awarded under this program.
    (b) The Director determines the number of awards to be made in each 
category and chooses the corresponding number of top-ranked 
applications for each category.


Sec. 1100.21  What selection criteria does the Director use to rate an 
applicant?

    The Director uses 34 CFR 75.217 and the following criteria in 
evaluating each applicant for a fellowship:
    (a) Quality of the plan for the proposed activity. (40 points) The 
Director reviews the quality of each proposed project to ensure that--
    (1) The design of the project is of high quality;
    (2) The applicant's project is feasible;
    (3) The project addresses critical questions in innovative ways;
    (4) The applicant's project relates to the purposes of the 
fellowship program and the work of the Institute; and
    (5) If the proposed activities include research, the likely 
validity of the research hypothesis proposed, the usefulness of the 
objectives to be achieved, and the effectiveness of the methodology to 
be followed.
    (b) Significance of the proposed project. (30 points) The Director 
assesses the significance of the proposed project to ensure that--
    (1) The project addresses important issues in literacy or adult 
education;
    (2) 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;
    (3) The project will enhance literacy or adult education practice;
    (4) The project will complement or enhance related activities of 
value to the field; and
    (5) The project builds research capacity within the field.
    (c) Qualifications of the applicant. (30 points) The Director 
reviews the qualifications of each applicant to ensure--
    (1) The appropriateness and quality of the applicant's background, 
education, and work experiences as they relate to the proposed project, 
as shown in documentation that may include recommendations of present 
or former supervisors or colleagues;
    (2) Demonstrated ability to produce a final product that is 
comprehensive and useful;
    (3) If relevant, demonstrations of motivation and the ability to 
overcome obstacles in pursuing educational or career goals; and
    (4) If relevant, evidence of the availability of additional support 
to carry out the proposed activity.
Sec. 1100.22  How does the Director determine the amount of a 
fellowship?

    The amount of a fellowship includes--
    (a) A stipend, based on--
    (1) The fellow's current annual salary; prorated for the length of 
the fellowship not to exceed $30,000 salary reimbursement; or
    (2) If a fellow has no current salary, the fellow's education and 
experience; and
    (b) A subsistence allowance and necessary travel expenses related 
to the fellowship, consistent with 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.
    (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. 1100.24.


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 subsistence 
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.

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    (b) The employer shall pay the fellow the stipend and subsistence 
allowance 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 allowance and travel funds. The employer shall return the 
funds to the Director at the time and in the amount required by the 
Director. The employer shall also return to the Director any portion of 
the stipend and subsistence 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 fellowship project be conducted?

    (a) A fellow carries out a project at the National Institute for 
Literacy in Washington, DC, unless the Director determines that unusual 
circumstances exist and authorizes the fellow to carry out all or part 
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 Services, in Washington, DC, 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.


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 and the Chairperson of the National Institute for Literacy 
Advisory Board 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.

[FR Doc. 95-16938 Filed 7-10-95; 8:45 am]
BILLING CODE 6055-01-M