34 C.F.R. Subpart F—What Compliance Indicator Requirements Must a Grantee Meet To Receive Continuation Funding?
Title 34 - Education
Source: 65 FR 18219, Apr. 6, 2000, unless otherwise noted.
To receive a continuation award for the third or subsequent year of the PWI grant, a grantee must— (a) Adhere to the provisions of its approved application; and (b) Meet the minimum performance levels on— (1) The two “primary” program compliance indicators identified in §379.51(b) and described in §379.53(a); and (2) Any two of the three “secondary” compliance indicators identified in §379.51(c) and described in §379.53(b). (Authority: Section 611(f)(4) of the Act; 29 U.S.C. 795(f)(4)) (a) General. The program compliance indicators implement program evaluation standards, which are contained in an appendix to this part, by establishing minimum performance levels in essential project areas to measure the effectiveness of individual grantees. (b) Primary compliance indicators. “Placement rate” and “Change in earnings” are “primary” compliance indicators. (c) Secondary compliance indicators. “Percent placed who have significant disabilities,” “Percent placed who were previously unemployed,” and “Average cost per placement” are “secondary” compliance indicators. (Authority: Sections 611(d)(1) and 611(f)(1) of the Act; 29 U.S.C. 795(d)(1) and 795(f)(1)) (a) Each compliance indicator establishes a minimum performance level. (b) If a grantee does not achieve the minimum performance level for a compliance indicator, the grantee does not pass the compliance indicator. (Authority: Section 611(f)(1) of the Act; 26 U.S.C. 795(f)(1)) (a) Primary compliance indicators—(1) Placement rate. The project places individuals it serves into competitive employment as follows: (i) No less than 50 percent during fiscal year (FY) 2001. (ii) No less than 51 percent during FY 2002. (iii) No less than 52 percent during FY 2003. (iv) No less than 54 percent during FY 2004. (v) No less than 55 percent during FY 2005 and any year thereafter. (2) Change in earnings. (i) Except as provided in paragraph (a)(2)(ii) of this section, the average earnings of all individuals who are placed into competitive employment by the project increase by an average of at least $125.00 a week over the average earnings of all individuals at the time of project entry. (ii) For projects in which at least 75 percent of individuals placed into competitive employment are working fewer than 30 hours per week, the average earnings of all individuals placed by the project increase by an average of at least $100.00 a week over the average earnings of all individuals at the time of project entry. (b) Secondary compliance indicators—(1) Percent placed who have significant disabilities. At least 50 percent of individuals who are placed into competitive employment are individuals with significant disabilities. (2) Percent placed who were previously unemployed. At least 50 percent of individuals who are placed into competitive employment are individuals who were continuously unemployed for at least 6 months at the time of project entry. (3) Average cost per placement. The actual average cost per placement does not exceed 115 percent of the projected average cost per placement in the grantee's application. (Authority: Section 611(f)(1) of the Act; 29 U.S.C. 795(f)(1)) (a) To receive continuation funding for the third or any subsequent year of a PWI grant, each grantee must submit to the Secretary data for the most recent complete budget period no later than 60 days after the end of that budget period, unless the Secretary authorizes a later submission date. The Secretary uses this data to determine if the grantee has met the program compliance indicators in this subpart F. (b) A grantee may receive its second year of funding (or the first continuation award) under this program before data from the first complete budget period is available. However, to allow the Secretary to determine whether the grantee is eligible for the third year of funding (or the second continuation award), the grantee must submit data from the first budget period in accordance with paragraph (a) of this section. (c) If the data for the most recent complete budget period provided under paragraph (a) or (b) of this section show that a grantee has failed to achieve the minimum performance levels, as required by §379.50(b), the grantee may, at its option, submit data from the first 6 months of the current budget period. The grantee must submit this data no later than 60 days after the end of that 6-month period, unless the Secretary authorizes a later submission date. The data must demonstrate that the grantee's project performance has improved sufficiently to meet the minimum performance levels required in §379.50(b). (Authority: Section 611(f)(2) and 611(f)(4) of the Act; 29 U.S.C. 795(f)(2) and 795(f)(4)) Standard 1: The primary objective of the project must be to assist individuals with disabilities to obtain competitive employment. The activities carried out by the project must support the accomplishment of this objective. Standard 2: The project must serve individuals with disabilities that impair their capacity to obtain competitive employment. In selecting persons to receive services, priority must be given to individuals with significant disabilities. Standard 3: The project must ensure the provision of services that will assist in the placement of individuals with disabilities. Standard 4: Funds must be used to achieve the project's primary objective at minimum cost to the Federal Government. Standard 5: The project's advisory council must provide policy guidance and assistance in the conduct of the project. Standard 6: Working relationships, including partnerships, must be established with agencies and organizations to expand the project's capacity to meet its objectives. Standard 7: The project must obtain positive results in assisting individuals with disabilities to obtain competitive employment. If a DSU determines that an individual is an eligible individual under section 102(a) of the Act, including that the individual meets the definition of an “individual with a significant disability,” and refers the individual to a PWI project, the PWI grantee may initiate services to that individual without the need for an additional determination of eligibility. In these instances, the PWI grantee should obtain appropriate documentation of this determination from the DSU. 1. The method for calculating the required matching amount may be stated by the following formula: X = (Y ÷ .8) − Y X = Required Match (provided in cash or through third party in-kind contributions) Y = Amount of Federal Funds This equation holds true regardless of the total cost of the project. The amount of Federal funds spent in a fiscal year (FY) can never be more than 80 percent (hence, the “.8” in the formula) of the total funds (Federal and non-Federal) spent by the project. Thus, the formula is not dependent on knowing the total cost of the project. One needs to know only that the Federal share can be no more than 80 percent of whatever the total costs may turn out to be. In all cases, the matching contribution is calculated by dividing the amount of the Federal grant award by 80 percent (.8) and subtracting from that result the amount of the Federal grant award. For example: If the amount of the Federal PWI grant award is $400,000, the amount of the required match is $100,000, calculated as follows: The matching contribution is never simply 20 percent of the amount of the Federal grant award (i.e., in the above example, NOT .2×$400,000). 2. Another consideration is what happens if a grantee carries over unspent Federal funds it received in a fiscal year. If the grantee spends or obligates less than the amount of its Federal grant award in a particular fiscal year and carries over the unspent or unobligated amount of its Federal grant award, its required matching contribution stays the same because the amount of its required matching expenditures or obligations is based on the amount of Federal dollars received in a particular fiscal year. That is, if the grantee carries over any unspent or unobligated Federal funds, the grantee must have spent or obligated the amount of non-Federal funds required for its matching contribution in the same fiscal year in which the Federal funds were received. For example: If a PWI grantee receives a grant award of $80,000 in FY 2000, its matching requirement for these funds is $20,000. If the grantee spends and obligates only $64,000 in FY 2000, it may “carry over” $16,000 to FY 2001. However, the grantee must spend or obligate $20,000 in non-Federal funds in FY 2000 to meet its matching requirements for the $80,000 it received in FY 2000, even though it does not spend or obligate the entire $80,000 in FY 2000. If the grantee fails to spend or obligate in FY 2000 the entire $20,000 in non-Federal funds, the grantee will fail to meet the matching requirement for the $80,000 it received in FY 2000 and may not carry over the unspent or unobligated $16,000 to FY 2001. 3. The matching contribution also must comply with the requirements of 34 CFR 74.23 (for grantees that are institutions of higher education, hospitals, or other nonprofit organizations) or 34 CFR 80.24 (for grantees that are State, local, or Indian tribal governments). The term “third party in-kind contributions” is defined in either 34 CFR 74.2 or 34 CFR 80.3, as applicable to the type of grantee.
Title 34: Education
PART 379—PROJECTS WITH INDUSTRY
Subpart F—What Compliance Indicator Requirements Must a Grantee Meet To Receive Continuation Funding?
§ 379.50 What are the requirements for continuation funding?
§ 379.51 What are the program compliance indicators?
§ 379.52 How is grantee performance measured using the compliance indicators?
§ 379.53 What are the minimum performance levels for each compliance indicator?
§ 379.54 What are the reporting requirements for the compliance indicators?
Appendix A to Part 379—Evaluation Standards
Appendix B to Part 379—Presumption of Eligibility
Appendix C to Part 379—Calculating Required Matching Amount
Max. Fed. % of (Am't. of Fed. Funds Required match = (Am't. of Fed. Funds in FY ÷ Total) - in FY) X = ($400,000.................. ÷ .8) - 400,000X = $500,000-400,000...........X = $100,000...................
