How Does the Secretary Make a Grant?

34 C.F.R. Part ..., Subpart C
in effectEffective: 2024-07-01

34 C.F.R. § 642.20 How does the Secretary evaluate an application for a new award?

(a) The Secretary evaluates an application on the basis of the criteria in § 642.21. (1) The Secretary awards up to 75 points for these criteria. (2) The maximum possible score for each complete criterion is indicated in the parentheses next to the heading of that criterion. (b) In addition, for an applicant who is conducting a Training program in the fiscal year immediately prior to the fiscal year for which the applicant is applying, the Secretary evaluates the applicant's prior experience (PE) of high quality service delivery, as provided in § 642.22, based on the applicant's performance during the first project year of that expiring Training program grant. (c) The Secretary selects applications for funding within each specific absolute priority established for the competition in rank order on the basis of the score received by the application in the peer review process. (d) Within each specific absolute priority, if there are insufficient funds to fund all applications at the next peer review score, the Secretary adds the PE points awarded under § 642.22 to the peer review score to determine an adjusted total score for those applications. The Secretary makes awards at the next peer review score to the applications that have the highest total adjusted score. (e) In the event a tie score still exists, the Secretary will select for funding the applicant that has the greatest capacity to provide training to eligible participants in all regions of the Nation, consistent with § 642.23.

34 C.F.R. § 642.21 What selection criteria does the Secretary use?

The Secretary uses the criteria in paragraphs (a) through (f) of this section to evaluate applications: (a) Plan of operation. (20 points) (1) The Secretary reviews each application for information that shows the quality of the plan of operation for the project. (2) The Secretary looks for information that shows— (i) High quality in the design of the project; (ii) An effective plan of management that insures proper and efficient administration of the project; (iii) A clear description of how the objectives of the project relate to the purpose of the program; (iv) The way the applicant plans to use its resources and personnel to achieve each objective; and (v) A clear description of how the applicant will provide equal access and treatment for eligible project participants who are members of groups that have been traditionally underrepresented, such as— (A) Members of racial or ethnic minority groups; (B) Women; (C) Individuals with disabilities; and (D) The elderly. (b) Quality of key personnel. (20 points) (1) The Secretary reviews each application for information that shows the qualifications of the key personnel the applicant plans to use on the project. (2) The Secretary looks for information that shows— (i) The qualifications of the project director; (ii) The qualifications of each of the other key personnel to be used in the project; (iii) The time that each person referred to in paragraphs (b)(2)(i) and (ii) of this section plans to commit to the project; and (iv) The extent to which the applicant, as part of its nondiscriminatory employment practices, encourages applications for employment from persons who are members of groups that have been traditionally underrepresented, such as— (A) Members of racial or ethnic minority groups; (B) Women; (C) Individuals with disabilities; and (D) The elderly. (3) To determine the qualifications of a person, the Secretary considers evidence of past experience and training, in fields related to the objectives of the project, as well as other information that the applicant provides. (c) Budget and cost effectiveness. (10 points) (1) The Secretary reviews each application for information that shows that the project has an adequate budget and is cost effective. (2) The Secretary looks for information that shows— (i) The budget for the project is adequate to support the project activities; and (ii) Costs are reasonable in relation to the objectives of the project. (d) Evaluation plan. (10 points) (1) The Secretary reviews each application for information that shows the quality of the evaluation plan for the project. (2) The Secretary looks for information that shows methods of evaluation that are appropriate for the project and, to the extent possible, are objective and produce data that are quantifiable. (e) Adequacy of resources. (15 points) (1) The Secretary reviews each application for information that shows that the applicant plans to devote adequate resources to the project. (2) The Secretary looks for information that shows— (i) The facilities that the applicant plans to use are adequate; and (ii) The equipment and supplies that the applicant plans to use are adequate.

34 C.F.R. § 642.22 How does the Secretary evaluate prior experience?

(a) In the case of an application described in § 642.20(b), the Secretary— (1) Evaluates the applicant's performance under its expiring Training program grant; (2) To determine the number of PE points to be awarded, uses the approved project objectives for the applicant's expiring Training program grant and the information the applicant submitted in its annual performance report (APR); and (3) May adjust a calculated PE score or decide not to award PE points if other information such as audit reports, site visit reports, and project evaluation reports indicate the APR data used to calculate PE are incorrect. (b)(1) The Secretary may add from 1 to 15 points to the point score obtained on the basis of the selection criteria in § 642.21, based on the applicant's success in meeting the administrative requirements and programmatic objectives of paragraph (e) of this section. (2) The maximum possible score for each criterion is indicated in the parentheses preceding the criterion. (c) The Secretary awards no PE points for a given year to an applicant that does not serve at least 90 percent of the approved number of participants. For purposes of this section, the approved number of participants is the total number of participants the project would serve as agreed upon by the grantee and the Secretary. (d) For the criterion specified in paragraph (e)(1) of this section (Number of participants), the Secretary awards no PE points if the applicant did not serve at least the approved number of participants. (e) The Secretary evaluates the applicant's PE on the basis of the following criteria: (1) (4 points) Number of participants. Whether the applicant provided training to no less than the approved number of participants. (2) Training objectives. Whether the applicant met or exceeded its objectives for: (i) (4 points) Assisting the participants in developing increased qualifications and skills to meet the needs of disadvantaged students. (ii) (4 points) Providing the participants with an increased knowledge and understanding of the Federal TRIO programs. (3) (3 points) Administrative requirements. Whether the applicant met all the administrative requirements under the terms of the expiring grant, including recordkeeping, reporting, and financial accountability.

34 C.F.R. § 642.23 How does the Secretary ensure geographic distribution of awards?

The Secretary, to the greatest extent possible, awards grants for Training Program projects that will be carried out in all of the regions of the Nation in order to assure accessibility to prospective training participants.

34 C.F.R. § 642.24 What are the Secretary's priorities for funding?

(a) The Secretary, after consultation with regional and State professional associations of persons having special knowledge with respect to the training of Special Programs personnel, may select one or more of the following subjects as training priorities: (1) Basic skills instruction in reading, mathematics, written and oral communication, and study skills. (2) Counseling. (3) Assessment of student needs. (4) Academic tests and testing. (5) College and university admissions policies and procedures. (6) Cultural enrichment programs. (7) Career planning. (8) Tutorial programs. (9) Retention and graduation strategies. (10) Strategies for preparing students for doctoral studies. (11) Project evaluation. (12) Budget management. (13) Personnel management. (14) Reporting student and project performance. (15) Coordinating project activities with other available resources and activities. (16) General project management for new directors. (17) Statutory and regulatory requirements for the operation of projects funded under the Federal TRIO programs. (18) Assisting students in receiving adequate financial aid from programs assisted under title IV of the Act and from other programs. (19) The design and operation of model programs for projects funded under the Federal TRIO programs. (20) The use of appropriate educational technology in the operation of projects funded under the Federal TRIO programs. (21) Strategies for recruiting and serving hard to reach populations, including students who are limited English proficient, students from groups that are traditionally underrepresented in postsecondary education, students who are individuals with disabilities, students who are homeless children and youths, students who are foster care youth, or other disconnected students. (b) The Secretary annually funds training on the subjects listed in paragraphs (a)(17), (a)(18), (a)(19), (a)(20), and (a)(21) of this section. (c) The Secretary designates one or more of the training priorities from paragraph (a) of this section in the Federal Register notice inviting applications for the competition.

34 C.F.R. § 642.25 What is the review process for unsuccessful applicants?

(a) Technical or administrative error for applications not reviewed. (1) An applicant whose grant application was not evaluated during the competition may request that the Secretary review the application if— (i) The applicant has met all of the application submission requirements included in the Federal Register notice inviting applications and the other published application materials for the competition; and (ii) The applicant provides evidence demonstrating that the Department or an agent of the Department made a technical or administrative error in the processing of the submitted application. (2) A technical or administrative error in the processing of an application includes— (i) A problem with the system for the electronic submission of applications that was not addressed in accordance with the procedures included in the Federal Register notice inviting applications for the competition; (ii) An error in determining an applicant's eligibility for funding consideration, which may include, but is not limited to— (A) An incorrect conclusion that the application was submitted by an ineligible applicant; (B) An incorrect conclusion that the application exceeded the published page limit; (C) An incorrect conclusion that the applicant requested funding greater than the published maximum award; or (D) An incorrect conclusion that the application was missing critical sections of the application; and (iii) Any other mishandling of the application that resulted in an otherwise eligible application not being reviewed during the competition. (3)(i) If the Secretary determines that the Department or the Department's agent made a technical or administrative error, the Secretary has the application evaluated and scored. (ii) If the total score assigned the application would have resulted in funding of the application during the competition and the program has funds available, the Secretary funds the application prior to the re-ranking of applications based on the second peer review of applications described in paragraph (c) of this section. (b) Administrative or scoring error for applications that were reviewed. (1) An applicant that was not selected for funding during a competition may request that the Secretary conduct a second review of the application if— (i) The applicant provides evidence demonstrating that the Department, an agent of the Department, or a peer reviewer made an administrative or scoring error in the review of its application; and (ii) The final score assigned to the application is within the funding band described in paragraph (d) of this section. (2) An administrative error relates to either the PE points or the scores assigned to the application by the peer reviewers. (i) For PE points, an administrative error includes mathematical errors made by the Department or the Department's agent in the calculation of the PE points or a failure to correctly add the earned PE points to the peer reviewer score. (ii) For the peer review score, an administrative error is applying the wrong peer reviewer scores to an application. (3)(i) A scoring error relates only to the peer review process and includes errors caused by a reviewer who, in assigning points— (A) Uses criteria not required by the applicable law or program regulations, the Federal Register notice inviting applications, the other published application materials for the competition, or guidance provided to the peer reviewers by the Secretary; or (B) Does not consider relevant information included in the appropriate section of the application. (ii) The term “scoring error” does not include— (A) A peer reviewer's appropriate use of his or her professional judgment in evaluating and scoring an application; (B) Any situation in which the applicant did not include information needed to evaluate its response to a specific selection criterion in the appropriate section of the application as stipulated in the Federal Register notice inviting applications or the other published application materials for the competition; or (C) Any error by the applicant. (c) Procedures for the second review. (1) To ensure the timely awarding of grants under the competition, the Secretary sets aside a percentage of the funds allotted for the competition to be awarded after the second review is completed. (2) After the competition, the Secretary makes new awards in rank order as described in § 642.20 based on the available funds for the competition minus the funds set aside for the second review. (3) After the Secretary issues a notification of grant award to successful applicants, the Secretary notifies each unsuccessful applicant in writing as to the status of its application and the funding band for the second review and provides copies of the peer reviewers' evaluations of the applicant's application and the applicant's PE score, if applicable. (4) An applicant that was not selected for funding following the competition as described in paragraph (c)(2) of this section and whose application received a score within the funding band as described in paragraph (d) of this section, may request a second review if the applicant demonstrates that the Department, the Department's agent, or a peer reviewer made an administrative or scoring error as provided in paragraph (b) of this section. (5) An applicant whose application was not funded after the first review as described in paragraph (c)(2) of this section and whose application received a score within the funding band as described in paragraph (d) of this section has at least 15 calendar days after receiving notification that its application was not funded in which to submit a written request for a second review in accordance with the instructions and due date provided in the Secretary's written notification. (6) An applicant's written request for a second review must be received by the Department or submitted electronically to a designated e-mail or Web address by the due date and time established by the Secretary. (7) If the Secretary determines that the Department or the Department's agent made an administrative error that relates to the PE points awarded, as described in paragraph (b)(2)(i) of this section, the Secretary adjusts the applicant's PE score to reflect the correct number of PE points. If the adjusted score assigned to the application would have resulted in funding of the application during the competition and the program has funds available, the Secretary funds the application prior to the re-ranking of applications based on the second peer review of applications described in paragraph (c)(9) of this section. (8) If the Secretary determines that the Department, the Department's agent or the peer reviewer made an administrative error that relates to the peer reviewers' score(s), as described in paragraph (b)(2)(ii) of this section, the Secretary adjusts the applicant's peer reviewers' score(s) to correct the error. If the adjusted score assigned to the application would have resulted in funding of the application during the competition and the program has funds available, the Secretary funds the application prior to the re-ranking of applications based on the second peer review of applications described in paragraph (c)(9) of this section. (9) If the Secretary determines that a peer reviewer made a scoring error, as described in paragraph (b)(3) of this section, the Secretary convenes a second panel of peer reviewers in accordance with the requirements in section 402A(c)(8)(C)(iv)(III) of the HEA. (10) The average of the peer reviewers' scores from the second peer review are used in the second ranking of applications. The average score obtained from the second peer review panel is the final peer reviewer score for the application and will be used even if the second review results in a lower score for the application than that obtained in the initial review. (11) For applications in the funding band, the Secretary funds these applications in rank order based on adjusted scores and the available funds that have been set aside for the second review of applications. (d) Process for establishing a funding band. (1) For each competition, the Secretary establishes a funding band for the second review of applications. (2) The Secretary establishes the funding band for each competition based on the amount of funds the Secretary has set aside for the second review of applications. (3) The funding band is composed of those applications— (i) With a rank-order score before the second review that is below the lowest score of applications funded after the first review; and (ii) That would be funded if the Secretary had 150 percent of the funds that were set aside for the second review of applications for the competition. (e) Final decision. (1) The Secretary's determination of whether the applicant has met the requirements for a second review and the Secretary's decision on re-scoring of an application are final and not subject to further appeal or challenge. (2) An application that scored below the established funding band for the competition is not eligible for a second review.

34 C.F.R. § 642.26 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 a new grant; and (2) 34 CFR 75.253, for the second year of a project period. (b) The Secretary uses the available funds to set the amount of the grant at the lesser of— (1) 170,000; or (2) The amount requested by the applicant.

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