[Federal Register Volume 62, Number 122 (Wednesday, June 25, 1997)]
[Rules and Regulations]
[Pages 34378-34381]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-16495]



[[Page 34377]]

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Part III





National Institute for Literacy





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34 CFR Part 1100



Literacy Leader Fellowship Program; Final Rule and Notice

  Federal Register / Vol. 62, No. 122 / Wednesday, June 25, 1997 / 
Rules and Regulations  

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NATIONAL INSTITUTE FOR LITERACY

34 CFR Part 1100

[CFDA No. 84.257I]


Literacy Leader Fellowship Program

AGENCY: National Institute for Literacy.

ACTION: Final regulations.

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SUMMARY: The Director amends the regulations governing the Literacy 
Leader Fellowship Program. Under this program, the Director may award 
fellowships to individuals to enable them to engage in research, 
education, training, technical assistance, or other activities that 
advance the field of adult education or literacy. These amendments make 
changes that improve the administration of the program and also 
establish new priorities under the program.

DATES: These regulations take effect July 25, 1997.

FOR FURTHER INFORMATION CONTACT: Meg Young, Telephone: (202) 632-1517. 
E-mail: [email protected]. Individuals who use a telecommunications 
device for the deaf (TDD) may call the Federal Information Relay 
Service (FIRS) at 1-800-877-8339 between 8 a.m. and 8 p.m., Eastern 
time, Monday through Friday.

SUPPLEMENTARY INFORMATION: On May 7, 1997, the Director published a 
notice of proposed rulemaking (NPRM) for these amendments in the 
Federal Register (62 FR 24860). The NPRM explained that the Institute 
has developed new areas of emphasis and that the Director believes it 
is necessary to address these areas in the regulations through the 
establishment of new priorities for the Literacy Leader Fellowship 
Program. The NPRM also discussed changes that the Director believes are 
necessary to expand the accessibility of, and to improve the overall 
administration of, the program. For a more detailed discussion of the 
issues concerning these amendments, see page 24861 of the NPRM.
    Except for minor editorial and technical revisions, there are no 
differences between the NPRM and these final regulations.

Analysis of Comments

    In response to the Director's invitation to comment in the NPRM, 
two parties submitted comments on the proposed regulations. Below is an 
analysis of the comments received and the Director's responses to the 
comments.
    Issues are grouped according to subject, with appropriate sections 
of the regulations referenced in parentheses.

Eligibility for Fellowships (Sec. 1100.2)

    Comment: The commenters favored the change that permits non-United 
States citizens to be eligible for fellowships. One commenter suggested 
that United States citizens not currently living in the United States 
should also be eligible for fellowships.
    Discussion: Under Sec. 1100.2(b) of the regulations, United States 
citizens are already eligible for fellowship awards, and a United 
States citizen who is living outside of the United States is not 
precluded from applying for an award. However, if such an individual is 
selected to receive a fellowship award, that individual must comply 
with all requirements of the program and the fellowship agreement 
between the Institute and the fellow, which may include carrying out 
all or a portion of the project at the Institute's offices in 
Washington, D.C. or participating in meetings and other activities at 
Federal agencies.
    Changes: None.

Supervision of Fellows (Secs. 1100.30-1100.33)

    Comment: One group of commenters expressed concern about 
adequate control and supervision by the Institute over the fellows' 
activities. The commenters suggested that, in addition to the 
reports that the fellows must submit, there should be a periodic 
examination of the fellows' progress and that the Institute should 
also conduct visits with the fellows to confirm results. Finally, 
the commenters suggested that no research activity should be 
conducted without the Director's knowledge and approval.
    Discussion: The Director believes that the regulations, as drafted, 
ensure the necessary amount of supervision by the Institute over a 
fellow's project. The regulations require that a fellow carry out all, 
or a portion, of the project at the Institute's offices in Washington, 
D.C. unless unusual circumstances exist. Further, the regulations 
provide that all fellowship activities are conducted under the direct 
or general oversight of the Institute. The regulations also state that 
to continue a fellowship to completion, a fellow must be making 
satisfactory progress as determined periodically by the Director. 
Finally, the application process itself and the fellowship agreement 
between the fellow and the Institute are sufficient to ensure that the 
Director has knowledge of, and has approved, any research or other 
activity to be carried out under the fellowship. Thus, the Director 
believes that the regulations already address the commenters' concerns 
and that no changes are needed.
    Changes: None.

Paperwork Reduction Act of 1995

    Under the Paperwork Reduction Act of 1995, no persons are required 
to respond to a collection of information unless it displays a valid 
OMB control number. The valid OMB control number assigned to the 
collection of information in these final regulations is displayed at 
the end of the affected sections of the regulations.

List of Subjects in 34 CFR Part 1100

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

    Dated: June 19, 1997.
Carolyn Staley,
Deputy Director, National Institute for Literacy.

(Catalog of Federal Domestic Assistance Number 84.257I, Literacy 
Leader Fellowship Program)

    The Director amends Title 34 of the Code of Federal Regulations by 
revising Part 1100 to read as follows:

PART 1100--NATIONAL INSTITUTE FOR LITERACY: LITERACY LEADER 
FELLOWSHIP PROGRAM

Subpart A--General

Sec.
1100.1  What is the Literacy Leader Fellows Program?
1100.2  Who is eligible for a fellowship?
1100.3  What types of projects may a fellow conduct under this 
program?
1100.4  What regulations apply?
1100.5  What definitions apply?
1100.6  What priorities may the Director establish?

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

1100.10  What categories of fellowships does the Institute award?
1100.11  How does an individual apply for a fellowship?
1100.12  What applications are not evaluated for funding?

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

1100.20  How is a fellow selected?
1100.21  What selection criteria does the Director use to rate an 
application?
1100.22  How does the Director determine the amount of a fellowship?
1100.23  What payment methods may the Director use?
1100.24  What are the procedures for payment of a fellowship award 
directly to the fellow?
1100.25  What are the procedures for payment of a fellowship award 
through the fellow's employer?

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

1100.30  Where may the fellowship project be conducted?
1100.31  Who is responsible for oversight of fellowship activities?
1100.32  What is the duration of a fellowship?
1100.33  What reports are required?

    Authority: 20 U.S.C. 1213c(e)

Subpart A--General


Sec. 1100.1  What is the Literacy Leader Fellowship Program?

    (a) Under the Literacy Leader Fellowship Program, the Director of 
the National Institute for Literacy provides financial assistance to 
outstanding individuals who are pursuing careers in adult education or 
literacy.
    (b) Fellowships are awarded to these individuals for the purpose of 
carrying out short-term, innovative projects that contribute to the 
knowledge base of the adult education or literacy field.
    (c) Fellowships are intended to benefit the fellow, the Institute, 
and the national literacy field by providing the fellow with the 
opportunity to interact with national leaders in the field and make 
contributions to federal policy initiatives that promote a fully 
literate adult population.


Sec. 1100.2  Who is eligible for a fellowship?

    (a) Only individuals are eligible to be recipients of fellowships.
    (b) To be eligible for a fellowship under this program, an 
individual must be--
    (1) A citizen or national of the United States, or a permanent 
resident of the United States, or an individual who is in the United 
States for other than temporary purposes and intends to become a 
permanent resident;
    (2) Eligible for Federal assistance under the terms of 34 CFR 75.60 
and 75.61; and
    (3) Either a literacy worker or an adult learner.
    (c) An individual who has received a fellowship award in a prior 
year is not eligible for another award.
    (d) Several individuals may apply jointly for one award, if each 
individual will contribute significantly to the proposed project and if 
the proposed project will develop leadership for each individual.


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

    (a) Under the auspices of the Institute, and in accordance with the 
Fellowship Agreement, a Literacy Leader Fellow may use a fellowship 
awarded under this part to engage in research, education, training, 
technical assistance, or other activities that advance the field of 
adult education or literacy, including the training of volunteer 
literacy providers at the national, State, or local level.
    (b) A Literacy Leader Fellow may not use a fellowship awarded under 
this part for any of the following:
    (1) Tuition and fees for continuing the education of the applicant 
where this is the sole or primary purpose of the project.
    (2) Planning and implementing fundraisers.
    (3) General program operations and administration.
    (4) Activities that otherwise do not meet the purposes of the 
Literacy Leader Fellowship program, as described in paragraph (a) of 
this section.


Sec. 1100.4  What regulations apply?

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

34 CFR 74.36, Intangible property;
34 CFR 75.60, Individuals ineligible to receive assistance;
34 CFR part 85, Governmentwide Debarment and Suspension 
(Nonprocurement) and Governmentwide Requirements for Drug-Free 
Workplace (Grants).


Sec. 1100.5  What definitions apply?

    (a) The definitions in 34 CFR 77.1, except that the definitions of 
``Applicant'', ``Application'', ``Award'', and ``Project'' do not apply 
to this part.
    (b) Other definitions. The following definitions also apply to this 
part:
    Adult learner means an individual over 16 years old who is pursuing 
or has completed some form of literacy or basic skills training, 
including preparation for the G.E.D.
    Applicant means an individual (or more than one individual, if 
applying jointly) requesting a fellowship under this program.
    Application means a written request for a fellowship under this 
program.
    Award means an amount of funds provided for fellowship activities.
    Board means the National Institute for Literacy's advisory board 
established pursuant to section 384(f) of the Adult Education Act (20 
U.S.C. 1213c(f)).
    Director means the Director of the National Institute for Literacy.
    Fellow means a recipient of a fellowship.
    Fellowship means an award of financial assistance made by the 
Institute to an individual pursuant to section 384(e) of the Adult 
Education Act (20 U.S.C. 1213c(e)) to enable that individual to conduct 
research or other authorized literacy activities under the auspices of 
the Institute.
    Fellowship Agreement means a written agreement entered into between 
the Institute and a fellow, which, when executed, has the legal effect 
of obligating the fellowship award, and which states the rights and 
obligations of the parties.
    Institute means the National Institute for Literacy.
    Literacy worker means an individual who is pursuing a career in 
literacy or adult education or a related field and who either has a 
minimum of five years of relevant academic, volunteer or professional 
experience in the literacy, adult education, or related field, or has 
made a significant contribution to, or notable progress in, the field. 
Relevant experience includes teaching, policymaking, administration, or 
research.
    Project means the work to be engaged in by the fellow during the 
period of the fellowship.
    Research means one or more of the following activities in literacy 
or education or education related fields: basic and applied research, 
planning, surveys, assessments, evaluations, investigations, 
experiments, development and demonstrations.


Sec. 1100.6  What priorities may the Director establish?

    The Director may, through a notice published in the Federal 
Register, select annually one or more priorities for funding. These 
priorities may be chosen from the areas of greatest immediate concern 
to the Institute and may include, but are not limited to, the following 
areas:
    (a) Developing leadership in adult learners. Because adult learners 
are the true experts on literacy, they are an important resource for 
the field. Their firsthand experience as ``customers'' of the literacy 
system can be invaluable in assisting the field in moving forward, 
particularly in terms of raising public awareness and understanding 
about literacy.
    (b) Expanding the use of technology in literacy programs. One of 
the Institute's major projects is the Literacy Information aNd 
Communication System (LINCS), an Internet-based information system that 
provides timely information and abundant resources to the literacy 
community. Keeping the literacy community up to date in the Information 
Age is vital.
    (c) Improving accountability for literacy programs. Literacy 
programs must develop accountability systems that demonstrate their 
effectiveness in helping adult learners contribute more fully in the 
workplace, family and community. There is growing interest in

[[Page 34380]]

results-oriented literacy practice, especially as related to the 
Equipped for the Future (EFF) framework.
    (d) Raising public awareness about literacy. The Institute is 
leading a national effort to raise public awareness that literacy is 
part of the solution to many social concerns, including health, 
welfare, the economy, and the well-being of children. Projects that 
enhance this effort will be given priority consideration.

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


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

    The Institute awards two categories of Literacy Leadership 
Fellowships:
    (a) Literacy Worker Fellowships; and
    (b) Adult Learner Fellowships.


Sec. 1100.11  How does an individual apply for a fellowship?

    An individual shall apply to the Director for a fellowship award in 
response to an application notice published by the Director in the 
Federal Register. The application must describe a plan for one or more 
of the activities stated in Sec. 1100.3 that the applicant proposes to 
conduct under the fellowship. The application must indicate which 
category of fellowship, as described in Sec. 1100.10, most accurately 
describes the applicant. Applicants must also submit four letters of 
recommendation and certain forms, assurances and certifications, 
including the certification required under 34 CFR 75.61. (Approved by 
the Office of Management and Budget under OMB Control Number 3430-0003, 
Expiration Date 6/30/2000.)


Sec. 1100.12  What applications are not evaluated for funding?

    The Director does not evaluate an application if--
    (a) The applicant is not eligible under Sec. 1100.2;
    (b) The applicant does not comply with all of the procedural rules 
that govern the submission of applications for Literacy Leader 
Fellowship funds;
    (c) The application does not contain the information required by 
the Institute;
    (d) The application proposes a project for which a fellow may not 
use fellowship funds, as described in Sec. 1100.3(b).
    (e) The application is not submitted by the deadline stated in the 
application notice.

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


Sec. 1100.20  How is a fellow selected?

    (a) The Director selects applications for fellowships on the basis 
of the selection criteria in Sec. 1100.21 and any priorities that have 
been published in the Federal Register and are applicable to the 
selection of applications.
    (b)(1) The Director may use experts from the literacy field to rank 
applications according to the selection criteria in Sec. 1100.21, and 
then provide the top-ranked applications to the Institute's Advisory 
Board.
    (2) The Institute's Advisory Board evaluates these applications 
based on the selection criteria in Sec. 1100.21 and makes funding 
recommendations to the Director.
    (3) The Director then determines the number of awards to be made in 
each fellowship category and the order in which applications will be 
selected for fellowships, based on the initial rank order, 
recommendations by the board, and any other information relevant to any 
of the selection criteria, applicable priorities, or the purposes of 
the Literacy Leader Fellowship Program, including whether the selection 
of an application would increase the diversity of fellowship projects 
under this program.


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

    The Director uses the following criteria in evaluating each 
applicant for a fellowship:
    (a) Quality of plan. (45 points) The Director uses the following 
criteria to evaluate the quality of the proposed project:
    (1) The proposed project deals with an issue of major concern to 
the literacy field.
    (2) The design of the project is strong and feasible.
    (3) The project addresses critical issues in an innovative way.
    (4) The plan demonstrates a knowledge of similar programs and an 
intention, where appropriate, to coordinate with them.
    (5) The applicant describes adequate support and resources for the 
project.
    (6) The plan includes evaluation methods to determine the 
effectiveness of the project.
    (7) The project results are likely to contribute to the knowledge 
base in literacy or adult education, and to federal policy initiatives 
in these or related areas.
    (8) The project will enhance literacy or adult education practice.
    (9) The project builds research capacity or improves practice 
within the field.
    (b) Qualifications of applicant. (25 points) The Director uses the 
following criteria to evaluate the qualifications of the applicant:
    (1) The applicant has a strong background in the literacy field. 
[Include all relevant experience, which may include experience as a 
volunteer or an adult learner.]
    (2) The applicant has expertise in the proposed area of the 
project.
    (3) The applicant has demonstrated the ability to complete a 
quality project or has shown leadership in this area.
    (4) The applicant provides letters of recommendation that show 
strong knowledge by others in the literacy field of the applicant's 
background and past work.
    (c) Relevance to the Institute. (10 points) The Director uses the 
following criteria to evaluate the relevance of the applicant's 
proposal to the Institute:
    (1) The project significantly relates to the purposes and work of 
the Institute.
    (2) The applicant proposes to spend a significant portion of the 
project time at the Institute, taking into account the nature and scope 
of the proposed project.
    (d) Dissemination plan. (10 points) The Director uses the following 
criteria to evaluate the quality of the dissemination plan:
    (1) The applicant clearly specifies what information will be made 
available to the field and how this information will further the 
efforts of the field.
    (2) The applicant describes how this information will be shared 
with the field (e.g., print, on-line, presentations, video, etc.).
    (e) Budget. (10 points) The Director uses the following criteria to 
evaluate the budget:
    (1) The budget will adequately support the project.
    (2) The costs are clearly related to the objectives of the project.
    (3) The budget is cost effective.
    (4) The budget narrative clearly describes the budget and how costs 
are calculated.


Sec. 1100.22  How does the Director determine the amount of a 
fellowship?

    The amount of a fellowship includes--
    (a) A stipend, not to exceed $30,000, based on--
    (1) The fellow's current annual salary, prorated for the length of 
the fellowship salary reimbursement; or
    (2) If a fellow has no current salary, the fellow's education and 
experience; and

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    (b) A subsistence allowance, materials allowance (covering costs of 
materials and supplies directly related to the completion of the 
project), and travel expenses (including expenses to attend quarterly 
meetings in Washington, DC) related to the fellowship and necessary to 
complete the scope of work outlined in the proposal, consistent with 
Title 5 U.S.C. chapter 57.


Sec. 1100.23  What payment methods may the Director use?

    (a) The Director will pay a fellowship award directly to the fellow 
or through the fellow's employer. The application should specify if the 
fellow wishes to be paid directly or through the fellow's employer.
    (b) The Director considers the preferences of the fellow in 
determining whether to pay a fellowship award directly to the fellow or 
through the fellow's employer; however, the Director pays a fellowship 
award through the fellow's employer only if the employer enters into an 
agreement with the Director to comply with the provisions of 
Sec. 1100.25.


Sec. 1100.24  What are the procedures for payment of a fellowship award 
directly to the fellow?

    (a) If the Director pays a fellowship award directly to the fellow 
after the Director determines the amount of a fellowship award, the 
fellowship recipient shall submit a payment schedule to the Director 
for approval. The Director advises the recipient of the approved 
schedule.
    (b) If a fellow does not complete the fellowship, or if the 
Institute terminates the fellowship, the fellow shall return to the 
Director a prorated portion of the stipend and any unused substance and 
materials allowance and travel funds at the time and in the manner 
required by the Director.


Sec. 1100.25  What are the procedures for payment of a fellowship award 
through the fellow's employer?

    (a) If the Director pays a fellowship award through the fellow's 
employer, the employer shall submit a payment schedule to the Director 
for approval.
    (b) The employer shall pay the fellow the stipend, subsistence and 
materials allowance, and travel funds according to the payment schedule 
approved by the Director. If the fellow does not complete the 
fellowship, the fellow shall return to the employer a prorated portion 
of the stipend and any unused subsistence and materials allowance and 
travel funds. The employer shall return the funds to the Director at 
the time and in the manner required by the Director. The employer shall 
also return to the Director any portion of the stipend, subsistence and 
materials allowance and travel funds not yet paid by the employer to 
the fellow.

Subpart D--What Conditions Must be Met by a Fellow?


Sec. 1100.30  Where may the followship project be conducted?

    (a) A fellow carries out all, or a portion of, the fellowship 
project at the National Institute for Literacy in Washington, D.C. If 
the Director determines that unusual circumstances exist, the Director 
may authorize the fellow to carry out all of the project elsewhere.
    (b) Office space and logistics will be provided by the Institute.
    (c) The fellow may also be required to participate in meetings, 
conferences and other activities at the Departments of Education, 
Labor, or Health and Human and Services, in Washington, D.C., or in 
site visits to other locations, if deemed appropriate for the project 
being conducted.


Sec. 1100.31  Who is responsible for oversight of fellowship 
activities?

    (a) All fellowship activities are conducted under the direct or 
general oversight of the Institute. The Institute may arrange through 
written agreement for another Federal agency, or another public or 
private nonprofit agency or organization that is substantially involved 
in literacy research or services, to assume direct supervision of the 
fellowship activities.
    (b) Fellows may be assigned a peer mentor to orient them to the 
Federal System and Institute procedures.


Sec. 1100.32  What is the duration of a fellowship?

    (a) The Institute awards fellowships for a period of at least three 
and not more than 12 months of full-time or part-time activity. An 
award may not exceed 12 months in duration. The actual period of the 
fellowship will be determined at the time of award based on proposed 
activities.
    (b) In order to continue the fellowship to completion, the fellow 
must be making satisfactory progress as determined periodically by the 
Director.
    (c) A fellowship may be terminated under the terms of 34 CFR 74.61.


Sec. 1100.33  What reports are required?

    (a) A fellow shall submit fellowship results to the Institute in 
formats suitable for wide dissemination to policymakers and the public. 
These formats should include, as appropriate to the topic of the 
fellowship and the intended audience, articles for academic journals, 
newspapers, and magazines.
    (b) Each fellowship agreement will contain specific provisions for 
how, when, and in what format the fellow will report on results, and 
how and to whom the results will be disseminated.
    (c) A fellow shall submit a final performance report to the 
Director no later than 90 days after the completion of the fellowship. 
The report must contain a description of the activities conducted by 
the fellow and a thorough analysis of the extent to which, in the 
opinion of the fellow, the objectives of the project have been 
achieved. In addition, the report must include a detailed discussion of 
how the activities performed and results achieved could be used to 
enhance literacy practice in the United States. (Approved by the Office 
of Management and Budget under OMB Control Number 3430-0003, Expiration 
Date 6/30/2000.)

[FR Doc. 97-16495 Filed 6-24-97; 8:45 am]
BILLING CODE 6055-01-M