[Federal Register Volume 60, Number 83 (Monday, May 1, 1995)]
[Proposed Rules]
[Pages 21400-21419]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-10663]
[[Page 21399]]
_______________________________________________________________________
Part VIII
Department of Education
_______________________________________________________________________
34 CFR Part 200, et al.
Title I--Helping Disadvantaged Children Meet High Standards; Proposed
Rule
Federal Register / Vol. 60, No. 83 / Monday, May 1, 1995 / Proposed
Rules
[[Page 21400]]
DEPARTMENT OF EDUCATION
34 CFR Parts 200, 201, 203, 205, and 212
RIN 1810-AA73
Title I--Helping Disadvantaged Children Meet High Standards
AGENCY: Department of Education.
ACTION: Notice of proposed rulemaking.
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SUMMARY: The U.S. Secretary of Education (Secretary) proposes to issue
a single set of regulations implementing the programs under Title I of
the Elementary and Secondary Education Act of 1965, as amended by the
Improving America's Schools Act of 1994. In order to provide maximum
flexibility to grantees implementing the programs under Title I, these
proposed regulations address only those few provisions for which the
Secretary believes rulemaking is absolutely necessary. These proposed
regulations would replace the regulations currently found at 34 CFR
parts 200, 201, 203, 205 and 212.
DATES: Written comments must be received on or before May 31, 1995.
ADDRESSES: All comments for subparts A, B, and D should be addressed to
Mary Jean LeTendre, Director, Compensatory Education Programs, Office
of Elementary and Secondary Education, U.S. Department of Education,
600 Independence Avenue, SW, Portals Building, room 4400, Washington,
DC 20202-6132. The Internet address for Part A comments is:
[email protected]; Part B: Even____Start@ed.gov; and Part D: Title
[email protected] The fax number for programs under subparts A, B, and D
is (202) 260-7764.
All comments concerning programs under subpart C should be
addressed to Bayla White, Director, Migrant Education Programs, Office
of Elementary and Secondary Education, U.S. Department of Education,
600 Independence Avenue, SW, Portals Building, room 4100, Washington,
DC 20202-6135. The Internet address for programs under subpart C is
Title I--Migrant@ed.gov. The fax number for programs under subpart C is
(202) 205-0089.
All comments concerning provisions under subpart E may be addressed
to the addresses above for subparts A or C, depending on the nature of
the comments.
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: For subparts A and E, Wendy Jo New,
Telephone: (202) 260-0982; for subpart B, Patricia McKee, Telephone:
(202) 260-0991; for subpart D, Paul Brown, Telephone: (202) 260-0976:
Compensatory Education Programs, Office of Elementary and Secondary
Education, U.S. Department of Education, 600 Independence Avenue, SW,
Portals Building, room 4400, Washington, DC 20202-6132.
For subparts C and E, James English, Office of Migrant Education,
Office of Elementary and Secondary Education, U.S. Department of
Education, 600 Independence Avenue, SW, Portals Building, room 4100,
Washington, DC 20202-6135. Telephone: (202) 260-1394.
Individuals who use a telecommunications device for the deaf (TDD)
may call the Federal Information Relay Services (FIRS) at 1-800-877-
8339 between 8 a.m. and 8 p.m., Eastern time, Monday through Friday.
SUPPLEMENTARY INFORMATION: The 1994 reauthorization of the Elementary
and Secondary Education Act of 1965 (ESEA) revised extensively Federal
elementary and secondary education programs to help ensure that all
children acquire the knowledge and skills they will need to succeed in
the 21st century. Under the reauthorized ESEA, Federal education
programs for the first time are designed to work together with, rather
than separately from, one another. In addition, rather than operating
apart from the broader education that children receive, the ESEA
reinforces State and community reform efforts geared to challenging
State standards, particularly those initiated or supported by the Goals
2000: Educate America Act. In fact, all of the major ESEA programs are
redesigned to support comprehensive State and local reforms of teaching
and learning and ensure that all children--whatever their background
and whatever school they attend--can reap the benefit of those reforms.
As the largest by far of all ESEA programs, Title I is the
centerpiece of the ESEA's efforts to help the neediest schools and
students reach the same challenging standards expected of all children.
Effective July 1, 1995, the four Title I programs--the basic program in
local educational agencies (LEAs) (Part A), the Even Start Family
Literacy program (Part B), the Migrant Education Program (Part C), and
the Neglected, Delinquent, and At-Risk Youth program (Part D)--are
designed to work together in support of this common purpose. Moreover,
the programs embrace the same fundamental new strategies to help ensure
that the intended beneficiaries are not left behind in State and local
efforts to promote higher standards. These strategies include: a
schoolwide focus on improving teaching and learning, strong program
coordination by LEAs, flexibility at the local level combined with
clear accountability for results, more focused targeting of resources
on the neediest schools, and stronger partnerships between schools and
communities to support higher achievement for all children.
The Secretary proposes to issue one set of regulations for all
Title I programs that is consistent with the U.S. Department of
Education's (Department) new principles for regulating: to regulate
only where absolutely necessary and, when regulating, to promote
flexible approaches to meeting the requirements of the law. Based on
these principles, and in order to give States and localities maximum
flexibility to implement statutory provisions, the Secretary proposes a
regulatory package for Title I that would eliminate regulations for
both Parts B and D of Title I, other than definitions (34 CFR parts 212
and 203 respectively), as well as for the Migrant Education
Coordination Program (34 CFR part 205), and would promulgate few
regulations for Parts A and C of Title I, in addition to those required
as part of negotiated rulemaking.
Negotiated Rulemaking Process
Section 1601(b) of Title I contains procedural requirements that
the Department must follow in developing and issuing regulations to
govern the Title I programs. Under section 1601(b)(1), the Secretary
was required to obtain advice and recommendations of representatives of
Federal, State, and local administrators, parents, teachers, and
members of local boards of education involved with the implementation
and operation of programs under Title I. In accordance with this
requirement, the Department published in the Federal Register on
October 28, 1994 (59 FR 54372-74) a request for advice and
recommendations on regulatory issues under Title I and received over
200 responses. Following the review of these responses, the Secretary
submitted policy options on two key issues--``standards, assessment,
and accountability'' and ``schoolwide programs''--to a negotiated
rulemaking process in accordance with section 1601(b)(3)-(4). Twenty-
four individuals, representing Federal, State, and local
[[Page 21401]] administrators, parents, teachers, and members of local
boards of education from all geographic regions of the United States,
participated in this process. The sessions were held January 11-13 and
18-19, 1995 in Washington, D.C.
The following is a brief synopsis, by topic area, of the major
issues and outcomes of the five-day negotiations of the negotiated
rulemaking committee (``Committee''). Under the Committee's protocols,
``consensus'' meant unanimous agreement on all issues within a
regulatory section. As a result, the Committee reached consensus only
on Secs. 200.42 and 200.43 of these proposed regulations, which clarify
assessment requirements of States and their subgrantees in the Migrant
Education Program. However, agreement was reached on a majority of the
issues, and language reflecting those agreements is reflected in
Secs. 200.1-200.6 concerning standards, assessment, and accountability
and in Sec. 200.8 concerning schoolwide programs of these proposed
regulations.
Standards, Assessment, and Accountability
Part A of Title I aligns instruction, assessment, and
accountability procedures under Title I with high-quality State content
standards and challenging performance standards. Under section 1111 of
Title I, each State must have developed or adopted challenging content
and student performance standards to be used by the State, its LEAs,
and its schools to carry out Part A. If a State has developed
challenging standards for all students, for example, under the Goals
2000: Educate America Act or adopted challenging standards developed by
another entity, the State must use those standards for Part A purposes.
If a State has not developed or adopted content or performance
standards for all students, the State must develop or adopt State
content and student performance standards in at least mathematics and
reading/language arts for children participating under Part A. These
standards must include the same knowledge, skills, and levels of
performance expected of all children.
To track the progress of schools and districts, Part A no longer
mandates a separate Title I testing system; it relies instead on the
State's own assessment system to determine whether students are
progressing toward meeting the challenging State standards. Among other
things, these assessments must be aligned with the State's content and
performance standards; be used for purposes for which they are valid
and reliable; be administered at some time during grades 3-5, 6-9, and
10-12; and involve multiple measures of student performance. If a State
has developed its own assessment system under the Goals 2000: Educate
America Act, for example, or has adopted for its own use assessments
developed by another entity, the State must use those assessments for
Part A purposes. If a State has not developed or adopted its own State
assessment system, the State must develop or adopt a system of
assessments for Part A purposes. Until a State has met the requirements
concerning assessments in section 1111(b) of Title I, the State may use
a transitional set of yearly statewide assessments that will assess the
performance of complex skills and challenging subject matter.
Part A refocuses the review of progress from what is currently an
evaluation of how individual students are performing to an evaluation
of how well schools and LEAs are helping students meet the challenging
standards. Each Title I school and LEA must show ``adequate yearly
progress'' toward enabling children to meet the State's student
performance standards. Adequate yearly progress must be defined by the
State in a manner that results in continuous and substantial yearly
improvement sufficient to achieve the goal of all participating
children meeting the State's proficient and advanced levels of
performance, is sufficiently rigorous to achieve that goal within an
appropriate timeframe, and links progress primarily to performance on
the State's assessment system.
Besides reducing the amount of testing, the changes in Title I
assessments and accountability will help link Title I programs to
broader State reforms. The changes will also support the efforts of
high-poverty schools to raise expectations and enrich their curriculum
and instruction well beyond the basic skills programs that have been
their traditional focus. In drafting the regulations implementing the
statutory provisions on standards, assessment, and accountability, the
goals of the Secretary were to ensure that States develop the same
system of high-quality standards and assessments for all students,
including Title I participants; ensure that States develop effective
accountability systems that promote comprehensive planning and
improvement; and provide maximum flexibility during the transition
period to support ongoing development of standards and assessments.
The following discussion summarizes provisions in the proposed
regulations that reflect the Committee's debate on issues concerning
standards, assessment, and accountability:
1. Section 200.1(b)(1)(i) requires a State plan to provide
``evidence'' that demonstrates the State has developed or adopted
challenging content and student performance standards for all students.
At the suggestion of the Committee, further specification is included
in Sec. 200.1(b)(1)(i)(B) to require that a State's procedure for
setting student performance levels apply recognized professional and
technical knowledge for establishing those levels.
2. Section 200.1(b)(2)(ii)(A) clarifies the timeline for a State to
develop and field test its assessment system. This section also
incorporates the Committee's suggestion that a State be required to
describe in its State plan its ``quality benchmarks, timetables, and
reporting schedule'' for completing the development and field testing
of its assessment system.
3. Section 200.1(b)(2)(iii) requires a State to indicate in its
State plan the languages other than English that are spoken by the
student population participating in Title I and the languages for which
required yearly student assessments are not available and are needed.
The Committee added language requiring the State to include in its
State plan ``a timetable for progress towards the development of these
assessments.''
The Secretary specifically requests comment on
Sec. 200.1(b)(2)(iii), which requires a State to indicate in its State
plan the languages other than English that are spoken by the student
population participating in Title I and the languages for which
required yearly student assessments are not available and are needed.
4. The Committee agreed to include statutory language on capacity
building in Sec. 200.1(b)(4). As a result, this provision requires each
State plan to describe how the SEA will help each LEA and Title I
school, as applicable, develop the capacity to implement the components
of a schoolwide or targeted assistance program and meet its
responsibilities with respect to school improvement. The SEA must also
describe other factors it deems appropriate to provide students an
opportunity to achieve the knowledge and skills embodied in the State's
content standards.
5. Section 1111(b)(2)(B)(ii) of Title I requires that adequate
yearly progress be linked primarily to performance on State assessments
but permits progress to be established ``in part through the use of
other measures.'' At the Committee's suggestion, Sec. 200.3(b)(3)
clarifies that ``other measures'' may be [[Page 21402]] measures ``such
as dropout, retention, and attendance rates.''
6. Section 200.4(b)(3)(i)(A) requires that State assessments be
used for purposes for which they are valid and reliable. There was
considerable debate by the Committee as to whether the proposed
regulations should clarify that State assessments are not required to
meet one standard definition of valid and reliable. Because some
Committee members believed that language to this effect would weaken
the requirement that assessments be valid and reliable, the proposed
regulations do not go beyond the statutory language in section
1111(b)(3)(C) of Title I.
7. Section 200.4(b)(3)(ii) requires a State, if it uses assessment
measures that are not valid and reliable, to include ``sufficient''
information regarding the State's efforts to validate the measures
``and to report the results of those validation studies.'' The
Committee agreed to this language.
8. Section 200.4(c)(1) makes clear that a State that has developed
or adopted assessments for all students in mathematics and reading/
language arts under Goals 2000 or another process must use those
assessments to carry out Part A. By so stating, this provision
clarifies that assessments in mathematics and reading/language arts are
sufficient for accountability purposes under Title I. There was lengthy
debate as to whether Title I schools should also be held accountable
for other subject areas for which a State develops standards and
assessments. Some members of the Committee argued that holding Title I
schools accountable for all subject areas for which standards and
assessments are developed, even though Title I instruction is not
provided in those subject areas, would discourage States from
developing standards and assessments in subjects other than mathematics
and reading/language arts. Other Committee members argued that, if
standards and assessments have been developed in other subjects, Title
I schools should be held to the same expectations that the State places
on all schools. Agreement was not reached on this issue. Even though
the regulations do not require accountability for Part A purposes to be
based on subjects other than mathematics and reading/language arts,
Sec. 200.4(c)(2) was added to make clear that the State must include
students served under Part A in assessments in any other subjects the
State has developed or adopted for all children.
The Secretary specifically invites comments on whether
accountability under Title I should be based on all subject areas for
which a State has developed or adopted standards and assessments for
all children.
9. Section 200.4(d)(1)(ii) has been augmented through agreement by
the Committee to require States that do not yet have assessments that
meet the Title I requirements to develop a timetable and benchmarks,
including reports of validity studies, for completing the development
and field testing of those assessments.
10. Section 200.4(e)(1) requires that transitional assessments
assess the performance of complex skills and challenging subject matter
in at least mathematics and reading/language arts and be administered
at some time during grades 3 through 5, 6 through 9, and 10 through 12.
The Committee agreed with this provision. Section 200.4(e)(2) clarifies
that transitional assessments do not need to meet the other
requirements that apply to final assessments. After considerable
debate, there was not agreement with this provision. Several members of
the Committee dissented, arguing that there would be little
accountability during the transition period if other requirements of
final assessments, such as disaggregation of data and valid and
reliable measures, were not included. On the other hand, most of the
Committee members argued that transitional assessments should not be
encumbered by numerous requirements in order to allow States the
flexibility to develop and test their new assessment systems.
11. The Committee reached consensus on Secs. 200.42 and 200.43
which clarify requirements of States and their subgrantees in the
Migrant Education Program (MEP) relative to assessment and the use of
assessment results for improving their MEP programs and projects. These
sections clarify that, while the State assessments required under
Sec. 200.4 should be used wherever possible, MEP grantees and
subgrantees have the flexibility to use other assessment procedures
when conditions warrant doing so. These sections spell out those
conditions. In any case, assessment results must still be examined and
used for the purpose of improving services to migratory children.
Schoolwide Programs
Section 1114 of Title I authorizes a school with a high
concentration of children from low-income families to use Part A funds
to upgrade the entire educational program in the school. The
reauthorization dramatically expanded eligibility for schoolwide
programs by reducing the poverty threshold a school must meet from 75
percent poverty to 60 percent poverty for the 1995-1996 school year and
to 50 percent poverty in subsequent years. The reauthorization also
made a number of critical changes in the schoolwide program authority
to help ensure that Part A resources are used to stimulate
comprehensive reforms of the entire instructional program provided to
all children in these schools. For example, section 1114 permits a
schoolwide program to combine Part A funds with other State-
administered, non-competitive formula grant programs (other than the
Individuals with Disabilities Education Act) and certain Federal
discretionary grant programs administered by the Department, as well as
with State and local public education funds. In addition, section 1114
requires each schoolwide program to include a number of specific
components. A schoolwide program school, for example, must conduct a
comprehensive needs assessment of the entire school to determine the
performance of its children in relation to the State's standards;
implement schoolwide reform strategies that are based on effective
means of improving the achievement of children and that address the
needs of all children in the school, particularly the needs of children
who are members of the target population of any other Federal education
program that is included in the schoolwide program; use highly
qualified professional staff; provide professional development for
teachers, aides, and other staff; and implement strategies to increase
parental involvement.
The proposed regulations for schoolwide programs are designed to
support comprehensive schoolwide programs that benefit all children in
schools operating these programs. They include provisions that:
emphasize the importance of maximizing the resources available for
schoolwide programs; ensure that Federal funds and services are
integrated in a comprehensive manner to support the very nature of a
schoolwide program; and strike a balance between a school's
responsibility for designing and implementing schoolwide programs and
an LEA's overall responsibility for providing a high quality education
to all students.
The following discussion summarizes provisions in the proposed
regulations that reflect the Committee's debate on issues concerning
schoolwide programs:
1. Section 200.8(a)(1) states that an ``eligible school, in
consultation with its LEA,'' may use Part A funds or services, in
combination with other Federal, State, and local funds it receives, to
[[Page 21403]] operate a schoolwide program. By emphasizing that an
eligible school makes the decision to operate a schoolwide program,
albeit in consultation with its LEA, this language recognizes that a
schoolwide program can be successful only if the school community is
fully behind that decision. One member of the Committee dissented to
this language out of concern that it would abrogate an LEA's ultimate
authority for operating its schools.
2. Section 200.8(b)(1) makes clear that a school may not decide to
operate a schoolwide program unless the LEA has determined that the
school serves a participating attendance area or is a participating
school. The Committee agreed to this clarification.
3. Section 200.8(b)(2)(ii) provides LEAs with the flexibility to
identify areas and schools as eligible for schoolwide program
participation using a measure of poverty that is different from the
poverty measure or measures the LEA uses to identify and rank school
attendance areas for eligibility and participation. The Committee
agreed to include this flexibility in the proposed regulations.
4. Section 200.8(c) emphasizes a school's authority to combine Part
A funds with other Federal education program funds in a schoolwide
program. If a school combines other Federal program funds, the school
is exempt from complying with most statutory or regulatory provisions
of those programs if the intent and purposes of the other programs are
met. One negotiator argued that the regulations should only exempt
schools from complying with specific, limited provisions; otherwise,
the intent and purposes of the programs would be jeopardized. This
negotiator dissented to the proposed language.
5. Section 200.8(c)(2) emphasizes that the authority to combine
funds from other Federal education programs in a schoolwide program
also applies to services provided to the school with those funds. This
provision recognizes that, under most programs, funds may not be
provided directly to schools. Rather, schools may receive services in
the nature of staff or instructional equipment and materials. With the
one dissent noted above, the Committee agreed to include this
provision.
6. Section 200.8(c)(3)(ii)(B)(1) implements section 1306(b) of
Title I. The proposed language requires a school that combines Part C
of Title I funds in its schoolwide program to, ``[i]n consultation with
parents of migratory children or organizations representing those
parents, first address the identified needs of migratory children that
result from the effects of their migratory lifestyle or are needed to
permit migratory children to participate effectively in school''; and
to ``[d]ocument that services to address those needs have been
provided.'' The Committee agreed to this language.
7. Section 200.8(e)(1)(iv)(A) requires that disaggregated
assessment results for a schoolwide program be reported only when a
State's final assessment system is in place and only when those results
are statistically sound. Several Committee members dissented to this
provision, arguing that disaggregated data were essential to assessing
the specific progress of the target populations included in schoolwide
programs. The other Committee members countered, however, that the
transition period should not be encumbered with prescriptive
requirements to preserve States' flexibility to develop new forms of
assessment. Moreover, these members expressed concern that inaccurate
conclusions about the progress of target populations would be drawn
from disaggregated data if those data were not statistically sound.
8. Section 200.8(f)(1) clarifies that a schoolwide program school
is not required to identify particular children as eligible to
participate, document that Federal funds benefit only the intended
beneficiaries of those funds, or demonstrate that particular services
supplement the services regularly provided in the school. This
provision applies both to Part A funds and any other Federal education
funds included in the schoolwide program. It recognizes that the
central purpose of a schoolwide program is to use all available
resources to upgrade the entire instructional program for the benefit
of all children in the school, rather than focus on specific
categorical programs with a singular purpose. One negotiator dissented
to this provision out of concern that the intent and purposes of other
Federal education programs combined in a schoolwide program would be
jeopardized if the school did not have to meet these requirements.
Other Regulations Resulting From Reauthorization Subpart A--Improving
Basic Programs Operated by Local Educational Agencies
In addition to the schoolwide program provisions and the provisions
related to standards, assessment, and accountability, Subpart A also
contains sections on the participation of private school children,
within-State allocations, and within-district allocations.
Participation of private school children. Section 1120 of Title I
continues the requirement that an LEA provide equitable services to
eligible children enrolled in private schools. Because of other changes
in Title I, however, some regulatory provisions are necessary to ensure
that equitable services are provided. For example, section 1113(c) of
Title I requires an LEA to allocate funds to participating school
attendance areas or schools on the basis of the total number of
children from low-income families in each area or school. Section
200.28 of the proposed regulations makes clear that, in calculating the
total number of children from low-income families, an LEA must include
children from low-income families who attend private schools. The LEA
uses the same poverty data, if available, that it uses to count public
school children; however, if the same data are not available,
comparable data collected through alternative means such as a survey
may be used.
Although funds are allocated on the basis of poor children,
Sec. 200.10(b) of the proposed regulations makes clear that, as in
current practice, private school children eligible to be served are
children who reside in a participating public school attendance area
and who have educational needs under section 1115(b) of Title I.
Section 200.11(a) of the proposed regulations implements the equal
expenditure requirement in section 1120(a)(4) of Title I. Under the
proposed regulations, an LEA must reserve the funds generated by poor
private school children who reside in participating public school
attendance areas. In consultation with appropriate private school
officials, the LEA may choose one of two options. The LEA may provide
services to eligible children in a private school with the funds
generated by poor children who attend that school. Alternatively, the
LEA may combine the funds generated by poor private school children in
all participating areas to create a pool of funds. From this pool, the
LEA would provide services to eligible private school children who are
in the greatest educational need of those services. Under this option,
the services provided to eligible children in a particular private
school would not be dependent upon the amount of funds generated by
poor children in the school.
Section 200.16(a)(1) of the proposed regulations makes clear that
an LEA first uses funds it receives for capital expenses to cover
capital expenses it is currently incurring or would incur because of an
expected increase in the number of private school children to be
served. If an LEA can demonstrate that [[Page 21404]] its current needs
for capital expenses have been meet, the LEA may apply to use capital
expense funds to reimburse itself for capital expenses it incurred in
past years for which its has not been reimbursed.
Within-State Allocations
Allocation of funds to LEAs. Sections 200.20 and 200.21 of the
proposed regulations outline general procedures for a State educational
agency (SEA) to use in allocating basic grants, concentration grants,
and targeted grants. Under Section 200.20 an SEA may: (1) Make
subcounty allocations to LEAs based on county allocations determined by
the Secretary (adjusted for amounts reserved by the SEA for State
administration and school improvement); or (2) in the case of basic and
targeted grants only, allocate funds directly to LEAs without regard to
counties when a State has a large number of LEAs that overlap county
boundaries. Any SEA wishing to allocate funds directly to LEAs under
Sec. 200.20(b) must apply to the Secretary for authorization and obtain
approval of the data on the number of children from low-income families
it will use in allocating funds. Unlike Chapter 1, however, an SEA in
this situation is not limited to using the poverty criteria used in the
Federal formula.
Section 200.21(a) requires an SEA to base LEA allocations on the
number of children ages 5 through 17 from low-income families and
children residing in local institutions for neglected children. Section
200.21(b) gives an SEA the flexibility to use the best available data
on the number of children from low-income families. In selecting the
best available data, an SEA may use: (1) The factors in the Federal
formula, which include census poverty data, data on children in
families above poverty receiving payments under the Aid to Families
with Dependent Children (AFDC) program, and data on foster children;
(2) alternative data that an SEA determines best reflect the
distribution of poor children and are adjusted to be equivalent in
proportion to the total number of formula children counted under
section 1124(c) of Title I (excluding neglected or delinquent
children); and (3) data that more accurately target poverty. The SEA,
however, must use the same measure of poverty throughout the State for
basic grants, concentration grants, and targeted grants.
Finally, Sec. 200.20(c) implements the statutory requirement in
situations where an LEA contains two or more counties in their
entirety. Beginning in school year 1995-96, an SEA must treat each
county as if it were a separate LEA when allocating basic,
concentration, and targeted grant funds.
Basic grants. Section 200.22 of the proposed regulations outlines
the procedures for allocating basic grants to LEAs. Unlike Chapter 1,
the Title I statute requires for school year 1995-96 that an LEA have
at least 10 ``formula'' children counted for allocation purposes in
order to qualify. In order to qualify in school year 1996-97 and
beyond, an LEA must have at least 10 formula children and the number of
those children must be greater than two percent of the LEA's total
population aged 5 through 17 years. Under the Chapter 1 regulations, an
LEA was required only to be located in a county with 10 or more formula
children in order to qualify, and the SEA could choose whether to
allocate funds to LEAs with less than ten formula children.
Concentration grants. Section 200.23 (a) and (b) of the proposed
regulations outlines general procedures for allocating concentration
grant funds to LEAs. These procedures are similar to those provided
under Chapter 1. To receive concentration grant funds, an LEA must,
with certain exceptions, be located in whole or in part in a county
that receives a concentration grant allocation from the Secretary. In
addition, the number of ``formula'' children in an LEA counted for
allocation purposes must exceed 6,500 or 15 percent of the LEA's total
population ages 5 through 17. Unlike Chapter 1, however, eligibility
for concentration grants is based on current year counts of formula
children rather than prior year counts. Section 200.23(c) addresses
special situations in which eligible LEAs are located in ineligible
counties, eligible counties have no eligible LEAs, and States receive a
minimum concentration grant. If eligible LEAs are located in ineligible
counties, for example, Sec. 200.23(c)(1) allows an SEA to reserve two
percent or less of the concentration grant funds the State receives to
make direct payments to such LEAs.
Targeted grants. Section 200.24 provides for how an SEA allocates
targeted grant funds to LEAs. Allocations must be based on the same
``formula'' count of children used to allocate basic and concentration
grants. To qualify, an LEA must have at least 10 children who were
counted for purposes of allocating basic grants, and the number of such
children must equal at least five percent of the LEA's total population
ages 5 through 17 years. To determine an LEA's allocation, the SEA must
compute a weighted child count using the weights outlined in the tables
in Sec. 200.24(b) (1) and (2). In weighting each LEA's formula count,
the SEA must take the larger of the percent-weighted count or the
number-weighted count and apply the weights in steps so that only those
children above each threshold receive the higher weight.
Hold-harmless provisions. Section 200.25 outlines the statutory
``hold-harmless'' provisions more clearly. The hold-harmless protection
limits the maximum reduction in an LEA's allocation when compared to
its prior year's allocation and is applied separately for basic grants,
concentration grants, and targeted grants. For school year 1995-96,
each LEA is entitled to receive at least 85 percent of its prior year
amount for basic grants only. For school year 1996-97, each LEA is
entitled to receive 100 percent of its prior year amount for basic and
concentration grants. For school year 1997-98, each LEA is entitled to
receive a percent of its prior year basic and targeted grants (but not
concentration grant) that varies according to the percent the LEA's
number of ``formula'' children is of its total population ages 5
through 17. Section 200.25 also makes clear that an LEA must be
eligible to receive a basic grant, concentration grant, or targeted
grant in order for the respective hold-harmless provisions of this
section to apply.
Within-District Allocations
Sections 200.27 and 200.28 of the proposed regulations contain
procedures for within-district allocation of Part A funds in order to
clarify the changes made in the new act. Unlike Chapter 1 where LEAs
allocated funds to schools based on the number and needs of
educationally deprived children, Title I directs LEAs to allocate funds
to schools on the basis of the number of children from low-income
families. Section 200.27 clarifies what funds an LEA may reserve before
allocating funds to eligible schools. An LEA must, for example, reserve
funds needed to provide comparable services to children in local
institutions for neglected children. Where appropriate, the LEA may
reserve funds to provide services to homeless children, children in
local institutions for delinquent children, and neglected and
delinquent children in community-day school programs. An LEA must also
reserve funds as are reasonable and necessary to meet the parental
involvement requirements in section 1118 of Title I, administer
programs for public and private school children, including
[[Page 21405]] capital expenses, and conduct other authorized
activities.
Section 200.28 clarifies the requirements in section 1113(c) of
Title I concerning how to allocate funds to school attendance areas and
schools. Section 200.28(a) makes clear that an LEA must allocate funds
to areas and schools, in rank order, on the basis of the total number
of children from low-income families in each area or school. In
calculating the total number of low-income children, the LEA must
include children from low-income families attending private schools,
using the same poverty data, if available, as it is using to count
public school children. If the same poverty data are not available,
however, the LEA may use comparable data collected through alternative
means such as a survey.
Under Sec. 200.28(b), an LEA that serves any school below 35
percent poverty must allocate to each participating area or school an
amount for each low-income child that is at least 125 percent of the
per-pupil amount of funds the LEA received for that year under subpart
2 of Part A. If an LEA serves only areas or schools above 35 percent
poverty, however, it does not need to allocate this minimum per-pupil
amount. Section 200.28(c) makes clear that an LEA is not required to
allocate the same per-pupil amount to each school attendance area and
school, provided the LEA allocates higher per-pupil amounts to areas or
schools with higher concentrations of poverty than to areas or schools
with lower concentrations of poverty.
Subpart B--Title I Even Start Family Literacy Program
The President expects to consolidate the Even Start Family Literacy
program with other Adult Education and Family Literacy programs
beginning in 1996. Statutory provisions are sufficient to govern FY
1995 awards and project operation, without specific program
regulations. Therefore, the Even Start regulations found at 34 CFR Part
212 will be removed. However, in order to focus continuation awards
under the Migrant Education Even Start Program (MEES), authorized under
section 1202(a) of Title I, on migratory children, the Secretary has
determined that it is necessary to include a definition of eligible
MEES participants in Sec. 200.30 of the proposed regulations.
Subpart C--Title I Migrant Education Program
In order to provide the maximum flexibility to the States
implementing the MEP, the proposed MEP regulations contained in
Secs. 200.40-200.45, which would supersede those now contained in 34
CFR Part 201, only address a limited number of specific areas where the
statute's lack of clarity could undermine proper program
administration. These regulatory areas are as follows:
(1) Definitions. Under prior law, the MEP statute required the
Department to maintain the same definitions relating to eligibility to
be counted and served as a migratory child as have existed for nearly
20 years. However, because the new law eliminates this statutory freeze
on amending the MEP eligibility definitions, the Secretary now proposes
to amend the definitions in order to better ensure that those children
who receive MEP services are truly migratory. Specifically, Sec. 200.40
clarifies that, to be a migratory worker, a person must move to obtain
(or try to obtain) temporary or seasonal agricultural or fishing work
as a principal means of livelihood. This change is needed to focus
program services on children of persons with an actual, significant
dependency on migratory agricultural or fishing work--as opposed to
persons who may, from time to time, move across school district lines
to perform agricultural or fishing activities for a short time, but who
have other occupations and so are not truly migratory workers.
(2) Clarifications. In a number of respects, Part C of Title I
contains ambiguous or unclear requirements that these proposed
regulations clarify. In this regard--
(A) Section 200.41 (Use of program funds for unique program
function costs) clarifies that, under the new law, MEP funds can still
be used to carry out functions at the State level that are unique to
the MEP, and provides examples of these functions.
(B) As discussed in the negotiated rulemaking section, Sec. 200.42
(Responsibilities of SEAs and operating agencies for assessing the
effectiveness of the MEP) clarifies that, while MEP grantees shall,
where feasible, use the same assessment measures as are required under
the Title I, Part A program, they have the flexibility to use other
reasonable measures to examine the effectiveness of their MEPs and
projects in those situations where use of the Statewide assessment is
not feasible.
(C) Section 200.43 (Responsibilities of SEAs and operating agencies
for improving services to migratory children) clarifies that, while MEP
grantees and subgrantees are not subject to the specific program
improvement activities required under Title I, Part A, they still have
the basic responsibility to use assessment results to improve the
services they provide to migratory children.
Migrant Education Coordination Program
Section 1308 of Title I authorizes the Secretary, in consultation
with the States, to make grants or enter into contracts with SEA, LEAs
and other entities to improve the interstate and intrastate
coordination of migrant education projects among those agencies. The
Secretary proposes to delete current regulations as unnecessary at this
time. Those regulations primarily contain selection criteria for
awarding new grants that are overly complex for the kinds of grant
competitions that the Department anticipates conducting for fiscal year
1995. The Secretary believes that selection criteria in Part 75 of the
Education Department General Administrative Regulations (EDGAR), or as
would be contained in proposals for specific competitions, should be
used to make discretionary grants for this program.
Subpart D--Prevention and Intervention Programs for Children and Youth
Who Are Neglected, Delinquent, or At-Risk of Dropping Out
Part D, Subpart 1 of Title I provides financial assistance to State
agencies for services to neglected or delinquent children in State-
supported institutions or community-day programs to help those children
meet challenging State content and performance standards. Subpart 2
authorizes SEAs to retain funds generated by children residing in local
institutions for delinquent children under Part A of Title I and make
subgrants to LEAs with high numbers or percentages of those children.
LEAs may use these funds to meet the educational needs of youth in
local institutions for delinquent children and adult correctional
facilities and for dropout prevention programs that serve students at
educational risk. The Secretary proposes to delete the current
regulations in 32 CFR Part 203 governing the State Agency Neglected or
Delinquent Program and issue regulations only to define the count of
eligible children and youth needed to allocate Subpart 1 funds to the
States.
Subpart D specifies and defines the counts of eligible children and
youth needed to allocate Title I, subpart 1 State agency neglected or
delinquent (N or D) funds to the States and defines several terms used
in the Title I, subpart 2 local agency program. The definitions in
Sec. 200.50 are necessary to ensure that the data used by the Secretary
to allocate funds are based on common [[Page 21406]] definitions. For
example, the definition of a regular program of instruction is included
to ensure that the children counted are enrolled in educational
programs involving classroom instruction supported by State funds. The
definitions of institutions for N or D children and youth require that
the average length of stay in the institution be at least 30 days. This
continues current policy and is designed to ensure that the children
counted for allocation purposes are in an institution for a sufficient
length of time so that educational services provided by the institution
can be effective. Section 200.51 further provides for when the number
of N or D children is determined and how that count must be adjusted to
reflect the relative length of the school year.
Subpart E--General
State administration and program improvement. Section 200.60 of the
proposed regulations outlines procedures for how an SEA reserves funds
for State administration and school improvement. When reserving funds
for State administration and school improvement under Part A, an SEA
must ensure that no LEA receives less than its hold-harmless amounts
for basic grants, concentration grants, and targeted grants unless
funds are insufficient to meet the hold-harmless amounts and still
permit the SEA to reserve the full amount for administration and school
improvement. An SEA also must reserve proportionate amounts from each
of the State's basic grant, concentration grant, and targeted grant
allocations. Section 200.61 indicates that those funds reserved for
State administration are to be used for those general administrative
activities that are necessary to carry out any of the Title I programs.
Maintenance of Effort. Section 1120A(a) of Title I allows an LEA to
receive Part A funds for any fiscal year only if the SEA finds that the
LEA has maintained its fiscal effort in accordance with section 14501
of the ESEA--that is, either the combined fiscal effort per student or
the aggregate expenditures of the LEA and the State with respect to the
provision of free public education for the preceding fiscal year was
not less than 90 percent of such combined fiscal effort or aggregate
expenditures for the second preceding fiscal year. Currently, based on
the statutory definition of ``current expenditures'', the Chapter 1
regulations require an SEA to exclude from maintenance of effort
calculations any expenditures made from funds provided under Chapter 1
and Chapter 2 of Title I of the ESEA. The Secretary proposes in
Sec. 200.64(c)(2) to change this provision to exclude any expenditures
made from funds provided by the Federal Government for which an LEA is
required to account to the Federal Government directly or through the
SEA. As a result, an LEA would no longer be responsible for determining
effort with respect to Federal education funds that may decrease from
one year to the next and over which the LEA does not have control.
Supplement, not supplant. Section 1120A(b)(1)(B) of Title I allows,
for the purpose of complying with the supplement, not supplant
requirement, an SEA or LEA to exclude supplemental State and local
funds expended in any eligible school attendance area or school for
programs that meet the requirements of section 1114 or section 1115 of
Title I. Section 200.63(c) clarifies under what conditions a program
supported with State or local supplemental funds will be considered to
meet the requirements of section 1114 or 1115. These conditions also
apply to supplemental State and local funds expended under sections
1113(b)(1)(C) and 1113(c)(2)(B) of Title I.
Executive Order 12866
1. Assessment of Costs and Benefits
These proposed regulations have been reviewed in accordance with
Executive Order 12866. Under the terms of the order, the Secretary has
assessed the potential costs and benefits of this regulatory action.
The potential benefits associated with the proposed regulations are
clear. Because the Secretary has chosen to regulate on very few
statutory provisions, SEAs and LEAs have considerable flexibility in
implementing the provisions of Title I to meet their particular needs
and circumstances. Moreover, the potential costs associated with the
proposed regulations are minimal; they result from specific statutory
requirements or have been determined by the Secretary to be necessary
for administering the Title I programs effectively and efficiently.
Any burdens specifically associated with information collection
requirements, if any, are identified and explained elsewhere in this
preamble under the heading Paperwork Reduction Act of 1980. The
Secretary has also determined that this regulatory action does not
interfere unduly with State and local governments in the exercise of
their governmental functions.
To assist the Department in complying with the specific
requirements of Executive Order 12866, the Secretary invites comments
on whether there may be further opportunities to reduce any potential
costs or increase potential benefits resulting from these proposed
regulations without impeding the effective and efficient administration
of the program.
2. Clarity of the Regulations
Executive Order 12866 requires each Federal agency to write
regulations that are easy to understand.
The Secretary invites comment on how to make these regulations
easier to understand, including answers to questions such as the
following: (1) Are the requirements in the regulations clearly stated?
(2) Do the regulations contain technical terms or other wording that
interfere with the clarity? (3) Does the format of the regulations
(grouping and order of sections, use of headings, paragraphing, etc.)
aid or reduce their clarity? Would the regulations be easier to
understand if they were divided into more (but shorter) sections? (A
``section'' is preceded by the symbol ``Sec. '' and a numbered heading;
for example ``Sec. 200.1 Contents of a State plan.'') (4) Is the
description of the proposed regulations in the ``Supplementary
Information'' section of this preamble helpful in understanding the
proposed regulations? How could this description be more helpful in
making the proposed regulations easier to understand? (5) What else
could the Department do to make the regulations easier to understand?
A copy of any comments that concern whether these proposed
regulations are easy to understand should also be sent to Stanley
Cohen, Regulations Quality Officer, U.S. Department of Education, 600
Independence Avenue, SW. (room 5121, FOB-10), Washington, DC, 20202-
2241.
Regulatory Flexibility Act Certification
The Secretary certifies that these proposed regulations would not
have a significant economic impact on a substantial number of small
entities.
The small entities that would be affected by these proposed
regulations are small LEAs, institutions of higher education, and
public or nonprofit private agencies receiving Federal funds under the
Title I programs. The proposed regulations would not have a significant
economic impact on the small entities affected because the proposed
regulations would not impose excessive regulatory burden or require
unnecessary Federal supervision. The proposed regulations would impose
[[Page 21407]] minimal requirements to ensure the proper expenditure of
program funds.
Paperwork Reduction Act of 1980
Section 1116 (a) and (d) requires LEAs and SEAs, respectively, to
review the progress of Title I participating schools and LEAs to
determine whether they are making adequate progress toward enabling
children to meet the State's student performance standards. Sections
200.5 and 200.6 of the proposed regulations address requirements to
report the disaggregation of data for school and LEA improvement and
for 14,111 respondents, the estimated average annual burden is 564,440
hours.
In order to receive funds for the operation of a schoolwide
program, schools must prepare schoolwide program plans, which is
addressed in Sec. 200.8(e) of the proposed regulations and section
1114(b)(2) of Title I. Preparation of a one-time plan for 24,244
respondents is estimated to total 744,760 burden hours.
To receive its allocation, a State must submit to the Secretary
data on the number of children enrolled in educational programs of
State-operated institutions for N or D children, community day programs
for N or D children, and adult correctional institutions. It must also
submit the October caseload count of children in local institutions for
N or D children. Section 200.51 of the proposed regulations addresses
this collection of data, which is approved under OMB Control Number
1810-0060 and estimates for 52 respondents an average annual burden of
a total of 2,000 hours.
By statute, State educational agencies applying for Title I funds
must submit State plans or applications. The Secretary needs and uses
the information provided in these program plans and applications to
facilitate the Department's oversight of the programs with regard to
the grantees' administration of the programs under the statute and
regulations, and to ensure financial accountability for the Federal
funds. The public reporting burden for the collection of information
for these programs has been submitted to OMB on the separate State plan
and consolidated application packages, including the time for reviewing
instructions, searching existing data sources, gathering and
maintaining the data needed, and completing and reviewing the
collection of information. The public reporting burden for the
collection of information for the Migrant Education Coordination
Program application will be announced when the Department publishes any
notices of proposed priorities for the award of grants under section
1308 of Title I. Section 200.1 of the proposed regulations addresses
what a State plan must contain, with respect to standards and
assessments, for a State to receive its Part A allocation. The State
plan package approved under OMB Control Number 1810-0571 estimates a
one-time burden of 80 hours for each of 52 respondents.
Organizations and individuals desiring to submit comments on these
information collection requirements should direct them to the Office of
Information and Regulatory Affairs, room 10235, New Executive Office
Building, Washington, DC 20503; Attention: Wendy Taylor.
Intergovernmental Review
Grants to SEAs for the MEP and grants to SEAs and LEAs for the
Migrant Education Coordination Program are 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 this order, this document is intended to provide
early notification of the Secretary's specific plans and actions for
these programs.
Invitation To Comment
Interested persons are invited to submit comments and
recommendations regarding these proposed regulations. In particular,
the Secretary invites comments on the following two provisions. The
Secretary invites comments on Sec. 200.1(b)(2)(iii), which requires a
State to indicate in its State plan the languages other than English
that are spoken by the student population participating in Title I and
the languages for which required yearly student assessments are not
available and are needed. The Secretary also invites comments on
whether accountability under Title I should be based on all subject
areas for which a State has developed or adopted standards and
assessments for all children, rather than mathematics and reading/
language arts as stated in Sec. 200.4(c)(1).
All comments submitted in response to these proposed regulations
will be available for public inspection during and after the comment
period, in rooms 4400 (subparts A, B, D, and E) and 4100 (subparts C
and E), Portals Building, 1250 Maryland Avenue, SW., Washington, DC,
between the hours of 8:30 a.m. and 4 p.m., Monday through Friday of
each week except Federal holidays.
List of Subjects in 34 CFR Part 200
Administrative practice and procedure, Adult education, Children,
Coordination, Education, Education of disadvantaged children, Education
of individuals with disabilities, Elementary and secondary education,
Eligibility, Family, Family-centered education, Grant programs--
education, Indians--education, Institutions of higher education,
Interstate coordination, Intrastate coordination, Juvenile delinquency,
Local educational agencies, Migratory children, Migratory workers,
Neglected, Nonprofit private agencies, Private schools, Public
agencies, Reporting and recordkeeping requirements, State-administered
programs, State educational agencies, Subgrants.
Dated: April 4, 1995.
Richard W. Riley,
Secretary of Education.
(Catalog of Federal Domestic Assistance Numbers: 84.010, Improving
Programs Operated by Local Educational Agencies; 84.011, Migrant
Education Basic State Formula Grant Program; 84.013, Prevention and
Intervention Programs for Children and Youth Who Are Neglected,
Delinquent, or At-Risk of Dropping Out; 84.144, Migrant Education
Coordination Program; 84.213, Even Start Family Literacy Program)
The Secretary proposes to amend Title 34 of the Code of Federal
Regulations by removing Parts 201, 203, 205, and 212 and revising Part
200 as follows:
Part 201 [Removed]
1. Part 201 is removed.
Part 203 [Removed]
2. Part 203 is removed.
Part 205 [Removed]
3. Part 205 is removed.
Part 212 [Removed]
4. Part 212 is removed.
5. Part 200 is revised to read as follows:
PART 200--TITLE I--HELPING DISADVANTAGED CHILDREN MEET HIGH
STANDARDS
Subpart A--Improving Basic Programs Operated by Local Educational
Agencies
Standards, Assessment, and Accountability
Sec.
200.1 Contents of a State plan.
200.2 State responsibilities for developing challenging standards.
200.3 Requirements for adequate progress. [[Page 21408]]
200.4 State responsibilities for assessment.
200.5 Requirements for school improvement.
200.6 Requirements for LEA improvement.
200.7 [Reserved]
Schoolwide Programs
200.8 Schoolwide program requirements.
200.9 [Reserved]
Participation of Eligible Children in Private Schools
200.10 Responsibilities for providing services to children in
private schools.
200.11 Factors for determining equitable participation of children
in private schools.
200.12 Requirements to ensure that funds do not benefit a private
school.
200.13 Requirements concerning property, equipment, and supplies
for the benefit of private school children.
200.14 [Reserved]
Capital Expenses
200.15 Payments to SEAs for capital expenses.
200.16 Payments to LEAs for capital expenses.
200.17 Use of LEA payments for capital expenses.
200.18-200.19 [Reserved]
Procedures for the Within-State Allocation of LEA Program Funds
200.20 Allocation of funds to LEAs.
200.21 Determination of the number of children eligible to be
counted.
200.22 Allocation of basic grants.
200.23 Allocation of concentration grants.
200.24 Allocation of targeted grants.
200.25 Applicable hold-harmless provisions.
200.26 [Reserved]
Procedures for the Within-District Allocation of LEA Program Funds
200.27 Reservation of funds by an LEA.
200.28 Allocation of funds to school attendance areas and schools.
200.29 [Reserved]
Subpart B--Even Start Family Literacy Programs
200.30 Migrant Education Even Start program definition.
200.31-200.39 [Reserved]
Subpart C--Migrant Education Program
200.40 Program definitions.
200.41 Use of program funds for unique program function costs.
200.42 Responsibilities of SEAs and operating agencies for
assessing the effectiveness of the MEP.
200.43 Responsibilities of SEAs and operating agencies for
improving services to migratory children.
200.44 Use of MEP funds in schoolwide projects.
200.45 Responsibilities for participation of children in private
schools.
200.46-200.49 [Reserved]
Subpart D--Prevention and Intervention Programs for Children and Youth
Who Are Neglected, Delinquent, or At-Risk of Dropping Out
200.50 Program definitions.
200.51 SEA counts of eligible children.
200.52-200.59 [Reserved]
Subpart E--General Provisions
200.60 Reservation of funds for State administration and school
improvement.
200.61 Use of funds reserved for State administration.
200.62 [Reserved]
200.63 Supplement, not supplant.
200.64 Maintenance of effort.
200.65 Definitions.
200.66-200.69 [Reserved]
Authority: 20 U.S.C. 6301-6514, unless otherwise noted.
Subpart A--Improving Basic Programs Operated by Local Educational
Agencies
Standards, Assessment, and Accountability
Sec. 200.1 Contents of a State plan.
(a) (1) A State that desires to receive a grant under this subpart
shall submit to the Secretary a plan that meets the requirements of
this section.
(2) A State plan must be--
(i) Developed with broad-based consultation throughout the planning
process with local educational agencies (LEAs), teachers, pupil
services personnel, other staff, parents, and administrators, including
principals;
(ii) Developed with substantial involvement of the Committee of
Practitioners established under section 1603(b) of the Elementary and
Secondary Education Act of 1965, as amended (Act), and continue to
involve the Committee in monitoring the plan's implementation; and
(iii) Coordinated with other plans developed under the Act, the
Goals 2000: Educate America Act, and other acts, as appropriate,
consistent with section 14307 of the Act.
(3) In lieu of a State plan under this section, a State may include
programs under this part in a consolidated State plan submitted in
accordance with section 14302 of the Act.
(b) A State plan must address the following:
(1) Challenging standards. The State plan must include--
(i) Evidence that demonstrates that--
(A) The State has developed or adopted challenging content and
student performance standards for all students in accordance with
Sec. 200.2; and
(B) The State's procedure for setting the student performance
levels applies recognized professional and technical knowledge for
establishing the student performance levels; or
(ii) The State's strategy and schedule for developing or adopting
by the beginning of the 1997-1998 school year--
(A) Challenging content and student performance standards for all
students in accordance with Sec. 200.2(b); or
(B) Content and student performance standards for elementary and
secondary school children served under this subpart in accordance with
Sec. 200.2(c), if the State will not have developed or adopted content
and student performance standards for all students by the 1997-1998
school year or does not intend to develop such standards.
(iii) For subjects in which students will be served under this
subpart but for which a State has no standards, the State plan must
describe the State's strategy for ensuring that those students are
taught the same knowledge and skills and held to the same expectations
as are all children.
(2) Assessments. The State plan must--
(i) Demonstrate that the State has developed or adopted a set of
high-quality yearly student assessments, including assessments in at
least mathematics and reading/language arts, in accordance with
Sec. 200.4, that will be used as the primary means of determining the
yearly performance of each school and LEA served under this subpart in
enabling all children participating under this subpart to meet the
State's student performance standards; or
(ii) If a State has not developed or adopted assessments in at
least mathematics and reading/language arts in accordance with
Sec. 200.4--
(A) Describe the State's quality benchmarks, timetables, and
reporting schedule for completing the development and field-testing of
those assessments by the beginning of the 2000-2001 school year; and
(B) Describe the transitional set of yearly statewide assessments
the State will use to assess students' performance in mastering complex
skills and challenging subject matter; and
(iii)(A) Identify the languages other than English that are spoken
by the student population participating under this subpart; and
(B) Indicate the languages for which yearly student assessments
that meet the requirements of this section are not available and are
needed and develop a timetable for progress towards the development of
these assessments.
(3) Adequate yearly progress. The State plan must-- [[Page 21409]]
(i) Demonstrate, based on the assessments described under
Sec. 200.4, what constitutes adequate yearly progress toward enabling
all children to meet the State performance standards of--
(A) Any school served under this subpart; and
(B) Any LEA that receives funds under this subpart; or
(ii) For any year in which a State uses transitional assessments
under Sec. 200.4(e), describe how the State will identify schools under
Sec. 200.5 and LEAs under Sec. 200.6 in accordance with Sec. 200.3.
(4) Capacity building. Each State plan shall describe--
(i) How the State educational agency (SEA) will help each LEA and
school affected by the State plan to develop the capacity to comply
with each of the requirements of sections 1112(c)(1)(D), 1114(b), and
1115(c) of the Act that is applicable to the LEA and school; and
(ii) Other factors the State deems appropriate, which may include
opportunity-to-learn standards or strategies developed under the Goals
2000: Educate America Act, to provide students an opportunity to
achieve the knowledge and skills described in the challenging content
standards developed or adopted by the State.
(Authority: 20 U.S.C. 6311)
Sec. 200.2 State responsibilities for developing challenging
standards.
(a) Standards in general. (1) A State shall develop or adopt
challenging content and student performance standards that will be used
by the State, its LEAs, and its schools to carry out this subpart.
(2) Standards under this subpart must include--
(i) Challenging content standards in academic subjects that--
(A) Specify what children are expected to know and be able to do;
(B) Contain coherent and rigorous content; and
(C) Encourage the teaching of advanced skills; and
(ii) Challenging student performance standards that--
(A) Are aligned with the State's content standards;
(B) Describe two levels of high performance--proficient and
advanced--that determine how well children are mastering the material
in the State's content standards; and
(C) Describe a third level of performance--partially proficient--to
provide complete information to measure the progress of lower-
performing children toward achieving to the proficient and advanced
levels of performance.
(b) Standards for all children. A State that has developed or
adopted content standards and student performance standards for all
students under Title III of the Goals 2000: Educate America Act or
under another process, or will develop or adopt such standards by the
beginning of the 1997-1998 school year, shall use those standards,
modified, if necessary, to conform with the requirements in paragraph
(a) of this section and Sec. 200.3, to carry out this subpart.
(c) Standards for children served under this subpart. (1) If a
State will not have developed or adopted content and student
performance standards for all students by the beginning of the 1997-
1998 school year, or does not intend to develop those standards, the
State shall develop content and student performance standards for
elementary and secondary school children served under this subpart in
subject areas as determined by the State, but including at least
mathematics and reading/language arts. These standards must--
(i) Include the same knowledge, skills, and levels of performance
expected of all children;
(ii) Meet the requirements in paragraph (a) of this section and
Sec. 200.3; and
(iii) Be developed by the beginning of the 1997-1998 school year.
(2) If a State has not developed content and student performance
standards in mathematics and reading/language arts for elementary and
secondary school children served under this subpart by the beginning of
the 1997-1998 school year, the State shall then adopt a set of
standards in those subjects such as the standards contained in other
State plans the Secretary has approved.
(3) If and when a State develops or adopts standards for all
children, the State shall use those standards to carry out this
subpart.
(Authority: 20 U.S.C. 6311(b))
Sec. 200.3 Requirements for adequate progress.
(a) Except as provided in paragraph (c) of this section, each State
shall determine, based on the State assessment system described in
Sec. 200.1, what constitutes adequate yearly progress of--
(1) Any school served under this subpart toward enabling children
to meet the State's student performance standards; and
(2) Any LEA that receives funds under this subpart toward enabling
children in schools served under this subpart to meet the State's
student performance standards.
(b) Adequate yearly progress must be defined in a manner that--
(1) Results in continuous and substantial yearly improvement of
each school and LEA sufficient to achieve the goal of all children
served under this subpart, particularly economically disadvantaged and
limited-English proficient children, meeting the State's proficient and
advanced levels of performance;
(2) Is sufficiently rigorous to achieve that goal within an
appropriate timeframe; and
(3) Links progress primarily to performance on the State's
assessment system under Sec. 200.4, while permitting progress to be
established in part through the use of other measures, such as dropout,
retention, and attendance rates.
(c) For any year in which a State uses transitional assessments
under Sec. 200.4(e), the State shall devise a procedure for identifying
schools under Sec. 200.5 and LEAs under Sec. 200.6 that relies on
accurate information about the continuous and substantial yearly
academic progress of each school and LEA.
(Authority: 20 U.S.C. 6311(b)(2), (7)(B))
Sec. 200.4 State responsibilities for assessment.
(a) Each State shall develop or adopt a set of high-quality yearly
student assessments, including assessments in at least mathematics and
reading/language arts, that will be used as the primary means of
determining the yearly performance of each school and LEA served under
this subpart in enabling all children participating under this subpart
to meet the State's student performance standards.
(b) Assessments under this section must meet the following
requirements:
(1) Be the same assessments used to measure the performance of all
children, if the State measures the performance of all children.
(2)(i) Be aligned with the State's challenging content and student
performance standards; and
(ii) Provide coherent information about student attainment of the
State's content and student performance standards.
(3)(i)(A) Be used for purposes for which the assessments are valid
and reliable; and
(B) Be consistent with relevant, nationally recognized professional
and technical standards for those assessments.
(ii) Assessment measures that do not meet these requirements may be
included as one of the multiple measures if the State includes in its
[[Page 21410]] State plan sufficient information regarding the State's
efforts to validate the measures and to report the results of those
validation studies.
(4) Measure the proficiency of students in the academic subjects in
which a State has adopted challenging content and student performance
standards.
(5) Be administered at some time during--
(i) Grades 3 through 5;
(ii) Grades 6 through 9; and
(iii) Grades 10 through 12.
(6) Involve multiple approaches within an assessment system with
up-to-date measures of student performance, including measures that
assess complex thinking skills and understanding of challenging
content.
(7) Provide for--
(i) Participation in the assessment of all students in the grades
being assessed;
(ii) Reasonable adaptations and accommodations for students with
diverse learning needs necessary to measure the achievement of those
students relative to the State's standards; and
(iii)(A) Inclusion of limited-English proficient students who shall
be assessed, to the extent practicable, in the language and form most
likely to yield accurate and reliable information on what those
students know and can do to determine the students' mastery of skills
in subjects other than English.
(B) To meet this requirement, the State--
(1) Shall make every effort to use or develop linguistically
accessible assessment measures; and
(2) May request assistance from the Secretary if those measures are
needed.
(8) Include, for determining the progress of the LEA only, students
who have attended schools in the LEA for a full academic year, but who
have not attended a single school in the LEA for a full academic year.
(9) Provide individual student interpretive and descriptive reports
that include--
(i) Individual scores; or
(ii) Other information on the attainment of student performance
standards.
(10) Enable results to be disaggregated within each State, LEA, and
school by--
(i) Gender;
(ii) Each major racial and ethnic group;
(iii) English proficiency status;
(iv) Migrant status;
(v) Students with disabilities as compared to students without
disabilities; and
(vi) Economically disadvantaged students as compared to students
who are not economically disadvantaged.
(c)(1) If a State has developed or adopted assessments for all
students in mathematics and reading/language arts under Title III of
the Goals 2000: Educate America Act or under another process, the State
shall use those assessments, modified, if necessary, to conform with
the requirements in paragraph (b) of this section and Sec. 200.3, to
carry out this subpart.
(2) Paragraph (c)(1) of this section does not relieve the State
from including students served under this subpart in assessments in any
other subjects the State has developed or adopted for all children.
(d)(1) Except as provided in paragraph (d)(2) and (3) of this
section, if a State has not developed or adopted assessments in at
least mathematics and reading/language arts that meet the requirements
in paragraph (b) of this section, the State shall--
(i) By the beginning of the 2000-2001 school year, develop those
assessments and field-test them for one year; and
(ii) Develop a timetable and benchmarks, including reports of
validity studies, for completing the development and field testing of
those assessments.
(2) The State may request a one-year extension from the Secretary
to test its new assessments if the State submits a strategy to correct
problems identified in the field testing of its assessments.
(3) If a State has not developed assessments in at least
mathematics and reading/language arts that meet the requirements in
paragraph (b) of this section by the beginning of the 2000-2001 school
year and is denied an extension, the State shall adopt a set of
assessments in those subjects such as assessments contained in the
plans of other States the Secretary has approved.
(e)(1) While a State is developing assessments under paragraph (d)
of this section, the State may propose to use a transitional set of
yearly statewide assessments that will--
(i) Assess the performance of complex skills and challenging
subject matter in at least mathematics and reading/language arts; and
(ii) Be administered at some time during--
(A) Grades 3 through 5;
(B) Grades 6 through 9; and
(C) Grades 10 through 12.
(2) Transitional assessments do not need to meet the other
requirements of this section.
(Authority: 20 U.S.C. 6311(b))
Sec. 200.5 Requirements for school improvement.
(a) Local review. (1)(i) Each LEA receiving funds under this
subpart shall review annually the progress of each school served under
this subpart to determine whether the school is meeting or making
adequate progress toward enabling its students to meet the State's
student performance standards described in the State plan.
(ii) An LEA may review a targeted assistance school on the progress
of only those students that have been or are served under this subpart.
(2) In conducting its review, an LEA shall--
(i)(A) Use the State assessments or transitional assessments
described in the State plan; and
(B) Use any additional measures or indicators described in the
LEA's plan; or
(ii) If the State assessments are not conducted in a Title I
school, use other appropriate measures or indicators to review the
school's progress; and
(iii)(A) Disaggregate the results of the review according to the
categories specified in Sec. 200.4(b)(10);
(B) Seek to produce, in schoolwide program schools, statistically
sound results for each category through the use of oversampling or
other means; and
(C) Report disaggregated data to the public only when those data
are statistically sound.
(3) The LEA shall--
(i) Publicize and disseminate to teachers and other staff, parents,
students, the community, and administrators, including principals, the
results of the annual review of all schools served under this subpart
in individual school performance profiles; and
(ii) Provide the results of the annual review to schools served
under this subpart so that the schools can continually refine their
program of instruction to help all children participating under this
subpart meet the State's student performance standards.
(Authority: 20 U.S.C. 6317(a))
Sec. 200.6 Requirements for LEA improvement.
(a) State review. (1)(i) Each SEA shall review annually the
progress of each LEA served under this subpart to determine whether the
schools receiving assistance under this subpart are making adequate
progress toward enabling their students to meet the State's student
performance standards described in the State plan.
(ii) An SEA may review the progress of the schools served by an LEA
only for [[Page 21411]] those students that have been or are being
served under this subpart.
(2) In conducting its review, an SEA shall--
(i) Disaggregate the results of the review according to the
categories specified in Sec. 200.4(b)(10);
(ii) Consider other indicators, if applicable, in accordance with
section 1112(b)(1) of the Act; and
(iii) Report disaggregated data to the public only when those data
are statistically sound.
(3) The SEA shall publicize and disseminate to LEAs, teachers, and
other staff, parents, students, the community, and administrators,
including principals, the results of the State review.
(Authority: 20 U.S.C. 6317(d))
Sec. 200.7 [Reserved]
Schoolwide Programs
Sec. 200.8 Schoolwide program requirements.
(a) General. (1) An eligible school, in consultation with its LEA,
may use funds or services under this subpart, in combination with other
Federal, State, and local funds it receives, to upgrade the entire
educational program in the school to support systemic reform in
accordance with the provisions of this section.
(2)(i) Except as provided in paragraph (a)(2)(ii) of this section,
a school may not start a new schoolwide program until the SEA provides
written information to each LEA that the SEA has established a
statewide system of support and improvement.
(ii) If a school desires to start a schoolwide program prior to the
establishment of a statewide system of support and improvement, the
school shall demonstrate to the LEA that the school has received high-
quality technical assistance and support from other providers of
assistance.
(b) Eligibility for a schoolwide program. A school may operate a
schoolwide program if--
(1) The LEA determines that the school serves a participating
attendance area or is a participating school under section 1113 of the
Act; and
(2)(i) For the initial year of the schoolwide program, the school
meets either of the following criteria:
(A) For the 1995-1996 school year--
(1) The school serves a school attendance area in which not less
than 60 percent of the children are from low-income families; or
(2) Not less than 60 percent of the children enrolled in the school
are from low-income families.
(B) For the 1996-1997 school year and subsequent years, the
percentages of children from low-income families in paragraph
(b)(2)(i)(A) may not be less than 50 percent.
(ii) The LEA may choose to determine the percentage of children
from low-income families under paragraph (b)(2)(i) based on a measure
of poverty that is different from the poverty measure or measures used
by the LEA to identify and rank school attendance areas for eligibility
and participation under this subpart.
(c) Availability of other Federal funds. (1) In addition to funds
under this subpart, a school may use in its schoolwide program Federal
funds under any program administered by the Secretary, except programs
under the Individuals with Disabilities Education Act (IDEA), that is
included on the most recent notice published by the Secretary in the
Federal Register.
(2) For the purposes of this section, the authority to combine
funds from other Federal programs also applies to services provided to
a school with those funds.
(3)(i) Except as provided in paragraph (c)(3)(ii) of this section,
a school that combines funds from any other Federal program
administered by the Secretary in a schoolwide program--
(A) Is not required to meet the statutory or regulatory
requirements of that program applicable at the school level; but
(B) Shall meet the intent and purposes of that program to ensure
that the needs of the intended beneficiaries of that program are
addressed.
(ii)(A) An LEA or a school that chooses to use funds from other
programs shall not be relieved of statutory and regulatory requirements
applicable to those programs relating to--
(1) Health and safety;
(2) Civil rights;
(3) Gender equity;
(4) Participation and involvement of parents and students;
(5) Private school children, teachers, and other educational
personnel;
(6) Maintenance of effort;
(7) Comparability of services;
(8) Use of Federal funds to supplement, not supplant non-Federal
funds in accordance with paragraph (f) (1)(iii) and (2) of this
section; and
(9) Distribution of funds to SEAs and LEAs.
(B) A school operating a schoolwide program shall comply with the
following requirements if it combines funds from these programs in its
schoolwide program:
(1) Migrant education. A school that combines in its schoolwide
program funds received under Part C of Title I of the Act shall--
(A) In consultation with parents of migratory children or
organizations representing those parents, first address the identified
needs of migratory children that result from the effects of their
migratory lifestyle or are needed to permit migratory children to
participate effectively in school; and
(B) Document that services to address those needs have been
provided.
(2) Indian education. A school may combine funds received under
subpart 1 of Part A of Title IX of the Act in its schoolwide program if
the parent committee established by the LEA under section 9114(c)(4) of
the Act approves the inclusion of those funds.
(iii) This paragraph does not relieve--
(A) An LEA from complying with all requirements that do not affect
the operation of a schoolwide program; or
(B) A non-schoolwide program school from complying with all
applicable requirements.
(d) Components of a schoolwide program. A schoolwide program must
include the following components:
(1) A comprehensive needs assessment involving the parties listed
in paragraph (e)(2)(ii) of this section of the entire school that is
based on--
(i) Information on the performance of children in relation to the
State content standards and the State student performance standards
under section 1111(b)(1) of the Act; or
(ii) Until the State develops or adopts standards under section
1111(b)(1) of the Act, an analysis of available data on the achievement
of students in the school.
(2) Schoolwide reform strategies that--
(i) Provide opportunities, based on best knowledge and practice,
for all children in the school to meet the State's proficient and
advanced levels of student performance;
(ii) Are based on effective means of improving the achievement of
children, such as utilizing research-based teaching strategies;
(iii) Use effective instructional strategies that--
(A) Increase the amount and quality of learning time, such as
providing an extended school year and before- and after-school and
summer programs;
(B) Provide an enriched and accelerated curriculum; and
(C) Meet the educational needs of historically underserved
populations;
(iv)(A) Address the needs of all children in the school,
particularly the needs of children who are members of the target
population of any program that is included in the schoolwide program
under paragraph (c) of this section; and [[Page 21412]]
(B) Address how the school will determine if those needs have been
met; and
(v) Are consistent with, and designed to implement, the State and
local improvement plans, if any, approved under Title III of the Goals
2000: Educate America Act.
(3) Instruction by highly qualified professional staff.
(4)(i) Professional development, in accordance with section 1119 of
the Act, for teachers and aides and, where appropriate, principals,
pupil services personnel, other school staff, and parents to enable all
children in the school to meet the State's student performance
standards.
(ii) The school shall devote sufficient resources to effectively
carry out its responsibilities for professional development, either
alone or in consortia with other schools.
(5) Strategies to increase parental involvement, such as family
literacy services.
(6) Strategies in an elementary school for assisting preschool
children in the transition from early childhood programs, such as Head
Start, Even Start, or a State-run preschool program, to the schoolwide
program.
(7) Strategies to involve teachers in the decisions regarding the
use of additional local, high-quality student assessments, if any,
under section 1112(b)(1) of the Act to provide information on, and to
improve, the performance of individual students and the overall
instructional program.
(8)(i) Activities to ensure that students who experience difficulty
mastering any of the standards required by section 1111(b) of the Act
during the school year will be provided effective, timely additional
assistance, which must include
(A) Strategies to ensure that students' difficulties are identified
on a timely basis and to provide sufficient information on which to
base effective assistance;
(B) To the extent the school determines feasible using funds under
this subpart, periodic training for teachers in how to identify those
difficulties and to provide assistance to individual students; and
(C) For any student who has not met those standards, parent-teacher
conferences to discuss--
(1) What the school will do to help the student meet the standards;
(2) What the parents can do to help the student improve the
student's performance; and
(3) Additional assistance that may be available to the student at
the school or elsewhere in the community.
(ii) This provision does not--
(A) Require the school or LEA to develop an individualized
education program (IEP) for each student identified under paragraph
(d)(8) of this section; or
(B) Relieve the school or LEA from the requirement under the IDEA
to develop IEPs for students with disabilities.
(e) Schoolwide program plan. (1) An eligible school that desires to
operate a schoolwide program shall develop, in consultation with the
LEA and its school support team or other technical assistance provider,
a comprehensive plan for reforming the total instructional program in
the school that--
(i) Incorporates the components under paragraph (d) of this
section;
(ii) Describes how the school will use resources under this subpart
and from other sources to implement those components;
(iii) Includes a list of State and local programs and other Federal
programs under paragraph (c) of this section that will be included in
the schoolwide program; and
(iv)(A) If the State has developed or adopted a State assessment
system under section 1111(b)(3) of the Act--
(1) Describes how the school will provide individual student
assessment results, including an interpretation of those results, to
the parents of each child who participates in that assessment; and
(2) Provides for the disaggregation of data on the assessment
results of students and the reporting of those data in accordance with
Sec. 200.5(a); or
(B) If the State has not developed or adopted a State assessment
system under section 1111(b)(3) of the Act, describes the data on the
achievement of students in the school and effective instructional and
school improvement practices on which the plan is based.
(2) The schoolwide program plan must be--
(i) Developed during a one-year period unless--
(A) The LEA, after considering the recommendation of its technical
assistance providers, determines that less time is needed to develop
and implement the schoolwide program; or
(B) The school is operating a schoolwide program under section 1015
of Chapter 1 of Title I of the Act during the 1994-1995 school year, in
which case the school may continue its schoolwide program but shall
amend its current plan or develop a new plan in accordance with this
section during the first year it receives funds under this part;
(ii) Developed with the involvement of the community to be served
and individuals who will carry out the plan, including--
(A) Teachers;
(B) Principals;
(C) Other school staff;
(D) Pupil services personnel, if appropriate;
(E) Parents of students in the school; and
(F) If the plan relates to a secondary school, students from the
school;
(iii) Available to the LEA, parents, and the public;
(iv) Translated, to the extent feasible, into any language that a
significant percentage of the parents of participating children in the
school speak as their primary language; and
(v) If appropriate, developed in coordination with other programs,
including those under the School-to-Work Opportunities Act of 1994, the
Carl D. Perkins Vocational and Applied Technology Education Act, and
the National and Community Service Act of 1990.
(3) The schoolwide program plan remains in effect for the duration
of the school's participation under this section.
(4) A school operating a schoolwide program shall review and revise
its plan, as necessary, to reflect changes in its schoolwide program or
changes to reflect State standards established after the plan was
developed.
(f) Effect of operating a schoolwide program. (1) No school
operating a schoolwide program shall be required to--
(i) Identify particular children under this subpart and under any
other Federal program included under paragraph (c) of this section as
eligible to participate in the schoolwide program;
(ii) Document that funds available under this subpart and any other
Federal program included under paragraph (c) of this section are used
to benefit only the intended beneficiaries of the respective programs;
or
(iii) Demonstrate that the particular services paid for with funds
under this subpart and under any other Federal program included under
paragraph (c) of this section supplement the services regularly
provided in that school.
(2) A school operating a schoolwide program shall use funds
available under this subpart and under any other Federal program
included under paragraph (c) of this section only to supplement the
total amount of funds that would, in the absence of those funds, be
made available from non-Federal sources for that school, including
funds needed to provide services that are required by law for
[[Page 21413]] children with disabilities and children with limited-
English proficiency.
(Authority: 20 U.S.C. 6314, 6396(b))
Sec. 200.9 [Reserved]
Participation of Eligible Children in Private Schools
Sec. 200.10 Responsibilities for providing services to children in
private schools.
(a) An LEA shall, after timely and meaningful consultation with
appropriate private school officials, provide special educational
services or other benefits under this subpart, on an equitable basis,
to eligible children who are enrolled in private elementary and
secondary schools in accordance with the requirements in Secs. 200.11
through 200.17 and section 1120 of the Act.
(b) Eligible private school children are children who--
(1) Reside in a participating school attendance area of the LEA;
and
(2) Meet the criteria in section 1115(b) of the Act.
(3) Among the eligible private school children, the LEA shall
select children to participate in a manner that is consistent with the
provisions in Sec. 200.11.
(Authority: 20 U.S.C. 6315(b); 6321(a))
Sec. 200.11 Factors for determining equitable participation of
children in private schools.
(a) Equal expenditures. (1) Expenditures of funds made available
under this subpart for services for eligible private school children in
the aggregate must be equal to the amount of funds generated by private
school children from low-income families under Sec. 200.28.
(2) An LEA shall meet this requirement as follows:
(i) Before determining equal expenditures under paragraph (a)(1) of
this section, the LEA shall reserve, from the LEA's whole allocation,
funds needed to carry out Sec. 200.27.
(ii) The LEA shall reserve the amounts of funds generated by
private school children under Sec. 200.28 and, in consultation with
appropriate private school officials, may--
(A) Combine those amounts to create a pool of funds from which the
LEA provides equitable services to eligible private school children, in
the aggregate, in greatest need of those services; or
(B) Provide equitable services to eligible children in each private
school with the funds generated by children from low-income families
under Sec. 200.28 who attend that private school.
(b) Services on an equitable basis. (1) The services that an LEA
provides to eligible private school children must be equitable in
comparison to the services and other benefits provided to public school
children participating under this subpart.
(2) Services are equitable if the LEA--
(i) Addresses and assesses the specific needs and educational
progress of eligible private school children on a comparable basis as
public school children;
(ii) Meets the equal expenditure requirements under paragraph (a)
of this section; and
(iii) Provides private school children with an opportunity to
participate that--
(A) Is equitable to the opportunity provided to public school
children; and
(B) Provides reasonable promise of those children achieving the
high levels called for by the State's student performance standards.
(3) The LEA shall make the final decisions with respect to the
services to be provided to eligible private school children.
(Authority: 20 U.S.C. 6321(a))
Sec. 200.12 Requirements to ensure that funds do not benefit a private
school.
(a) An LEA shall use funds under this subpart to provide services
that supplement, and in no case supplant, the level of services that
would, in the absence of Title I services, be available to
participating children in private schools.
(b) An LEA shall use funds under this subpart to meet the special
educational needs of participating private school children, but not
for--
(1) The needs of the private school; or
(2) The general needs of children in the private school.
(Authority: 20 U.S.C. 6321(a), 6322(b))
Sec. 200.13 Requirements concerning property, equipment, and supplies
for the benefit of private school children.
(a) A public agency must keep title to and exercise continuing
administrative control of all property, equipment, and supplies that
the public agency acquires with funds under this subpart for the
benefit of eligible private school children.
(b) The public agency may place equipment and supplies in a private
school for the period of time needed for the program.
(c) The public agency shall ensure that the equipment and supplies
placed in a private school--
(1) Are used only for Title I purposes; and
(2) Can be removed from the private school without remodeling the
private school facility.
(d) The public agency shall remove equipment and supplies from a
private school if--
(1) The equipment and supplies are no longer needed for Title I
purposes; or
(2) Removal is necessary to avoid unauthorized use of the equipment
or supplies for other than Title I purposes.
(e) No funds under this subpart may be used for repairs, minor
remodeling, or construction of private school facilities.
(f) For the purpose of this section, the term public agency
includes the LEA.
(Authority: 20 U.S.C. 6321(c))
Sec. 200.14 [Reserved]
Capital Expenses
Sec. 200.15 Payments to SEAs for capital expenses.
(a) From the amount appropriated for capital expenses under section
1002(e) of the Act, the Secretary pays a State an amount that bears the
same ratio to the amount appropriated as the number of private school
children in the State who received services under this subpart in the
most recent year for which data satisfactory to the Secretary are
available bears to the total number of private school children served
in that same year in all the States.
(b) The Secretary reallocates funds not used by a State for
purposes of Sec. 200.16 among other States on the basis of their
respective needs.
(Authority: 20 U.S.C. 6321(e)(1))
Sec. 200.16 Payments to LEAs for capital expenses.
(a)(1)(i) An LEA may apply to the SEA for a payment to cover
capital expenses that the LEA, in providing equitable services to
eligible private school children--
(A) Is currently incurring; or
(B) Would incur because of an expected increase in the number of
private school children to be served.
(ii) An LEA may apply for a payment to cover capital expenses it
incurred in prior years for which it has not been reimbursed if the LEA
demonstrates that its current needs for capital expenses have been met.
(2) Capital expenses means only expenditures for noninstructional
goods and services that are incurred as a result of implementation of
alternative delivery systems to comply with the requirements of Aguilar
v. Felton. These expenditures--
(i) Include--
(A) The purchase, lease, and renovation of real and personal
property (including mobile educational units, and leasing of neutral
sites or space);
(B) Insurance and maintenance costs;
(C) Transportation; and
(D) Other comparable goods and services; and [[Page 21414]]
(ii) Do not include the purchase of instructional equipment such as
computers.
(b) An SEA shall distribute funds it receives under Sec. 200.15 to
LEAs that apply on the basis of need.
(Authority: 20 U.S.C. 6321(e))
Sec. 200.17 Use of LEA payments for capital expenses.
(a) Unless an LEA is authorized by the SEA to reimburse itself for
capital expenses incurred in prior years, the LEA shall use payments
received under Sec. 200.16 to cover capital expenses the LEA is
incurring or will incur to maintain or increase the number of private
school children being served.
(b) The LEA may not take the payments received under Sec. 200.16
into account in meeting the requirements in Sec. 200.11(a).
(c) The LEA shall account separately for payments received under
Sec. 200.16.
(Authority: 20 U.S.C. 6321(e)(3))
Sec. 200.18-200.19 [Reserved]
Procedures for the Within-State Allocation of LEA Program Funds
Sec. 200.20 Allocation of funds to LEAs.
(a) Subcounty allocations. (1) Except as provided in paragraph (b)
of this section, Sec. 200.23(c) (1) and (3)(ii), and Sec. 200.25, an
SEA shall allocate the county amounts determined by the Secretary for
basic grants, concentration grants, and targeted grants to each
eligible LEA within the county on the basis of the number of children
counted in Sec. 200.21.
(2) If an LEA overlaps a county boundary, the SEA shall make, on a
proportionate basis, a separate allocation to the LEA from the county
aggregate amount for each county in which the LEA is located, provided
the LEA is eligible for a grant.
(b) Statewide allocations. (1) In any State in which a large number
of LEAs overlap county boundaries, an SEA may apply to the Secretary
for authority to make allocations under basic grants or targeted grants
directly to LEAs without regard to counties.
(2) In its application, the SEA shall--
(i) Identify the data in Sec. 200.21(b) the SEA will use for LEA
allocations; and
(ii) Provide assurances that--
(A) Allocations will be based on the data approved by the Secretary
under this paragraph; and
(B) A procedure has been established through which an LEA
dissatisfied with the determination by the SEA may appeal directly to
the Secretary for a final determination.
(c) LEAs containing two or more counties in their entirety. If an
LEA contains two or more counties in their entirety, the SEA shall
allocate funds under paragraphs (a) and (b) of this section to each
county as if such county were a separate LEA.
(Authority: 20 U.S.C. 6333-6335)
Sec. 200.21 Determination of the number of children eligible to be
counted.
(a) General. An SEA shall count the number of children aged 5-17,
inclusive, from low-income families and the number of children residing
in local institutions for neglected children.
(b) Children from low-income families. (1) An SEA shall count the
number of children from low-income families in the school districts of
the LEAs using the best available data. The SEA shall use the same
measure of low-income throughout the State.
(2) An SEA may use one of the following options to obtain its count
of children from low-income families:
(i) The factors under section 1124(c)(1) of the Act (excluding
children in local institutions for neglected or delinquent children),
which include--
(A) Census data on children in families below the poverty level;
(B) Data on children in families above poverty receiving payments
under the program of Aid to Families with Dependent Children; and
(C) Data on foster children.
(ii) Alternative data that an SEA determines best reflect the
distribution of children from low-income families and that are adjusted
to be equivalent in proportion to the total number of children counted
under section 1124(c) of the Act (excluding children in local
institutions for neglected or delinquent children).
(iii) Data that more accurately reflect the distribution of
poverty.
(c) Children in local institutions for neglected children.
The SEA shall count the number of children ages 5 to 17, inclusive,
in the LEA who resided in a local institution for neglected children--
and were not counted under subpart 1 of Part D of Title I (programs for
neglected or delinquent children operated by State agencies)--for at
least 30 consecutive days, at least one day of which was in the month
of October of the preceding fiscal year.
(Authority: 20 U.S.C. 6333(c))
Sec. 200.22 Allocation of basic grants.
(a) Eligibility. An LEA is eligible for a basic grant if--
(1) In school year 1995-96, there are at least 10 children counted
under Sec. 200.21 in the LEA; and
(2) Beginning in school year 1996-97--
(i) There are at least 10 children counted under Sec. 200.21 in the
LEA; and
(ii) The number of those children is greater than two percent of
the LEA's total population aged 5 to 17 years, inclusive.
(b) Amount of the LEA grant. An SEA shall allocate basic grant
funds to eligible LEAs as provided in Sec. 200.20, except that the SEA
shall apply the hold-harmless provisions described in Sec. 200.25.
(Authority: 20 U.S.C. 6333)
Sec. 200.23 Allocation of concentration grants.
(a) Eligibility. An LEA is eligible for a concentration grant if--
(1) The LEA is eligible for a basic grant under paragraph
Sec. 200.22(a); and
(2) The number of children counted under Sec. 200.21 in the LEA
exceeds--
(i) 6,500; or
(ii) 15 percent of the LEA's total population ages 5 to 17,
inclusive.
(b) Amount of the grant. (1) Except as provided in paragraph (c) of
this section, an SEA shall allocate a county's concentration grant
funds only to LEAs that--
(i) Lie, in whole or in part, within the county; and
(ii) Meet the eligibility criteria in paragraph (a) of this
section.
(2) An SEA shall allocate concentration grant funds to eligible
LEAs as provided in Sec. 200.20(a), except that the SEA shall apply the
hold-harmless provision described in Sec. 200.25(a).
(c) Exceptions. (1) Eligible LEAs in ineligible counties.
(i) An SEA may reserve not more than two percent of the amount of
concentration grant funds it receives to make direct allocations to
eligible LEAs that are located in counties that do not receive a
concentration grant allocation.
(ii) If an SEA plans to reserve concentration grant funds under
paragraph (c)(1)(i) of this section, the SEA, before allocating any
concentration grant funds under paragraph (b) of this section, shall--
(A) Determine which LEAs located in ineligible counties are
eligible to receive concentration grant funds;
(B) Determine the appropriate amount to be reserved;
(C) Proportionately reduce the amount available for concentration
grants for eligible counties or LEAs to provide the reserved amount,
except that for school year 1996-97 an SEA may not reduce an LEA's
allocation below the hold-harmless amount determined under
Sec. 200.25(a); [[Page 21415]]
(D) Rank order the LEAs eligible for concentration grant funds that
are located in ineligible counties according to the number or
percentage of children counted under Sec. 200.21;
(E) Select in rank order, those LEAs that the SEA plans to provide
concentration grant funds; and
(F) Distribute the reserved funds among the selected LEAs based on
the number of children counted under Sec. 200.21.
(2) Eligible counties with no eligible LEAs. In a county in which
no LEA meets the eligibility criteria in paragraph (a) of this section,
an SEA shall--
(i) Identify those LEAs in which either the number or percentage of
children counted under Sec. 200.21 exceeds the average number or
percentage of those children in the county; and
(ii) Allocate concentration grant funds for the county among the
LEAs identified in paragraph (c)(2)(i) of this section based on the
number of children counted under Sec. 200.21 in each LEA compared to
the number of those children in all those LEAs.
(3) States receiving minimum allocations. In a State that receives
a minimum concentration grant under section 1124A(d) of the Act, the
SEA shall--
(i) Allocate concentration grant funds among LEAs in the State
under paragraphs (a), (b), and (c) (1) and (2) of this section; or
(ii) Without regard to the counties in which the LEAs are located--
(A) Identify those LEAs in which either the number or percentage of
children counted under Sec. 200.21 exceeds the average number or
percentage of those children in the State; and
(B) Allocate concentration grant funds among the LEAs identified in
paragraph (c)(3)(ii)(A) of this section based on the number of children
counted under Sec. 200.21 in each LEA.
(Authority: 20 U.S.C. 6334)
Sec. 200.24 Allocation of targeted grants.
(a) Eligibility. An LEA is eligible for a targeted grant if--
(1) There are at least 10 children counted under Sec. 200.21 in the
LEA; and
(2) The number of those children is at least five percent of the
LEA's total population ages 5 to 17 years, inclusive.
(b) Weighted child count. In determining an LEA's grant, the SEA
shall compute a weighted child count in accordance with section 1125(c)
of the Act by taking the larger of--
(1) Percent-weighted child count. The number of children counted
under Sec. 200.21 multiplied by the weights shown in the following
table, with the weights applied in a step-wise manner so that only
those children above each weighting threshold receive the higher
weight:
------------------------------------------------------------------------
LEA percentage of children counted under Sec. 200.21 as a
percent of total children ages 5 through 17 Weights
------------------------------------------------------------------------
0 to 14.265%................................................. 1.00
More than 14.265% up to 21.553%.............................. 1.75
More than 21.553% up to 29.223%.............................. 2.50
More than 29.223% up to 36.538%.............................. 3.25
More than 36.538%............................................ 4.00
------------------------------------------------------------------------
or;
(2) Number-weighted child count. The number of children counted
under Sec. 200.21 multiplied by the weights shown in the following
table, with the weights applied in a step-wise manner so that only
those children above each weighting threshold receive the higher
weight:
------------------------------------------------------------------------
LEA number of children counted under Sec. 200.21 Weights
------------------------------------------------------------------------
1 to 575..................................................... 1.0
576 to 1,870................................................. 1.5
1,871 to 6,910............................................... 2.0
6,911 to 42,000.............................................. 2.5
42,001 or more............................................... 3.0
------------------------------------------------------------------------
(c) Amount of LEA grant. An SEA shall allocate targeted grant funds
to eligible LEAs as provided in Sec. 200.20 based on the weighted child
count determined in paragraph (b) of this section, except that the SEA
shall apply the hold-harmless provisions described in Sec. 200.25.
(Authority: 20 U.S.C. 6335)
Sec. 200.25 Applicable hold-harmless provisions.
(a) General. (1) An SEA may not reduce the allocation of an
eligible LEA below the hold-harmless amounts established under section
1122(c) of the Act.
(2) The hold-harmless protection limits the maximum reduction in an
LEA's allocation when compared to the LEA's allocation for the
preceding year.
(3) The hold-harmless shall be applied separately for basic grants,
concentration grants, and targeted grants, but shall be applied for
each grant formula only in those years authorized under section 1122(c)
of the Act, as shown in the table contained in paragraph (a)(4) of this
section.
(4) Under section 1122(c) of the Act, the hold-harmless percentage
varies based on the year and, for school years 1997-98 and beyond,
based on the LEA's number of children counted under Sec. 200.21 as a
percentage of the total number of children ages 5-17, inclusive, in the
LEA, as shown in the following table:
--------------------------------------------------------------------------------------------------------------------------------------------------------
Hold-
School year LEA's Sec. 200.21 children as a percentage of harmless Applicable grant formulas
children ages 5-17, inclusive percentage
--------------------------------------------------------------------------------------------------------------------------------------------------------
1995-96.......................... Not applicable.................................... 85 Basic Grants.
1996-97.......................... Not applicable.................................... 100 Basic Grants and Concentration Grants.
1997-98 and beyond............... 30 or more........................................ 95 Basic Grants and Targeted Grants.
15% or more and less than 30%..................... 90
Less than 15%..................................... 85
--------------------------------------------------------------------------------------------------------------------------------------------------------
(5) For school year 1995-96, the SEA shall compute each LEA's hold-
harmless amount without regard to the amount the LEA received for
delinquent children counted under section 1005 of Chapter 1 of Title I
of the Elementary and Secondary Education Act of 1965 as in effect on
September 30, 1994.
(b) Adjustment for insufficient funds. (1) School year 1995-96. If
the Secretary's allocation for a county is not sufficient to give an
LEA 85 percent of the amount it received for school year 1994-95,
without regard to the amount the LEA received for delinquent children,
the SEA may use funds received under Part D, subpart 2 (local agency
programs) of the Act to bring such LEA up to its hold-harmless amount.
(2) School years 1997-98 and beyond. If the Secretary's allocation
for a county is not sufficient to meet the LEA hold-harmless
requirements of paragraph (a) of this section, the SEA shall reallocate
funds proportionately from all other [[Page 21416]] LEAs in the State
that are receiving funds in excess of the hold-harmless amounts
specified in paragraph (a) of this section.
(c) Eligibility for hold-harmless protection. An LEA must be
eligible for basic grant, concentration grant, and targeted grant funds
in order for the respective provisions in paragraphs (a) and (b) of
this section to apply.
(Authority: 20 U.S.C. 6332(c))
Sec. 200.26 [Reserved]
Procedures for the Within-District Allocation of LEA Program Funds
Sec. 200.27 Reservation of funds by an LEA.
Before allocating funds in accordance with Sec. 200.28, an LEA
shall reserve funds as are reasonable and necessary to--
(a) Provide services comparable to those provided to children in
participating school attendance areas and schools to serve--
(1) Children in local institutions for neglected children; and
(2) Where appropriate--
(i) Eligible homeless children who do not attend participating
schools, including providing educationally related support services to
children in shelters;
(ii) Children in local institutions for delinquent children; and
(iii) Neglected and delinquent children in community-day school
programs;
(b) Meet the requirements for parental involvement in section
1118(a)(3) of the Act;
(c) Administer programs for public and private school children
under this part, including special capital expenses defined in
Sec. 200.16; and
(d) Conduct other authorized activities such as professional
development, school improvement, and coordinated services.
(Authority: 20 U.S.C. 6313(c)(3), 6317(c), 6319(a)(3), 6320)
Sec. 200.28 Allocation of funds to school attendance areas and
schools.
(a) (1) An LEA shall allocate funds under this subpart to school
attendance areas or schools, identified as eligible and selected to
participate under section 1113 (a) or (b) of the Act, in rank order on
the basis of the total number of children from low-income families in
each area or school.
(2) In calculating the total number of children from low-income
families, the LEA shall include children from low-income families who
attend private schools, using--
(i) The same poverty data, if available, as the LEA uses to count
public school children; or
(ii) If the same data are not available, comparable data collected
through alternative means such as a survey.
(b) (1) Except as provided in paragraphs (b)(2) and (d) of this
section, an LEA shall allocate to each participating school attendance
area or school an amount for each low-income child that is at least 125
percent of the per-pupil amount of funds the LEA received for that year
under subpart 2 of Part A of Title I. The LEA shall use the poverty
measure selected by the LEA under section 1113(a)(5) of the Act to
compute the per-pupil amount.
(2) If an LEA is serving only school attendance areas or schools in
which the percentage of children from low-income families is 35 percent
or more, the LEA is not required to allocate a per-pupil amount of at
least 125 percent.
(c) An LEA is not required to allocate the same per-pupil amount to
each participating school attendance area or school provided the LEA
allocates higher per-pupil amounts to areas or schools with higher
concentrations of poverty than to areas or schools with lower
concentrations of poverty.
(d) An LEA may reduce the amount of funds allocated under this
section to a school attendance area or school if the area or school is
spending supplemental State or local funds for programs that meet the
requirements in Sec. 200.62(c).
(e) If an LEA contains two or more counties in their entirety, the
LEA shall distribute to schools within each county a share of the LEA's
total grant that is no less than the county's share of the child count
used to calculate the LEA's grant.
(Authority: 20 U.S.C. 6313(c), 6333(c)(2))
Sec. 200.29 [Reserved]
Subpart B--Even Start Family Literacy Program
Sec. 200.30 Migrant Education Even Start Program Definition.
Eligible participants under the Migrant Education Even Start
Program (MEES) are those who meet the definitions of a migratory child,
a migratory agricultural worker or a migratory fisher in Sec. 200.40.
(Authority: 20 U.S.C. 6362, 6511)
Secs. 200.31-200.39 [Reserved]
Subpart C--Migrant Education Program
Sec. 200.40 Program definitions.
The following definitions apply to programs and projects operated
under this subpart:
(a) Agricultural activity means--
(1) Any activity directly related to the production or processing
of crops, dairy products, poultry or livestock for initial commercial
sale or personal subsistence;
(2) Any activity directly related to the cultivation or harvesting
of trees; or
(3) Any activity directly related to fish farms.
(b) Fishing activity means any activity directly related to the
catching or processing of fish or shellfish for initial commercial sale
or personal subsistence.
(c) Migratory agricultural worker means a person who, in the
preceding 36 months, has moved from one school district to another, or
from one administrative area to another within a State that is
comprised of a single school district, in order to obtain temporary or
seasonal employment in agricultural activities (including dairy work)
as a principal means of livelihood.
(d) Migratory child means a child who is, or whose parent, spouse,
or guardian is, a migratory agricultural worker, including a migratory
dairy worker, or a migratory fisher, and who, in the preceding 36
months, in order to obtain, or accompany such parent, spouse, guardian
in order to obtain, temporary or seasonal employment in agricultural or
fishing work--
(1) Has moved from one school district to another;
(2) In a State that is comprised of a single school district, has
moved from one administrative area to another within such district; or
(3) Resides in a school district of more than 15,000 square miles,
and has moved a distance of 20 miles or more to a temporary residence
to engage in a fishing activity.
(e) Migratory fisher means a person who, in the preceding 36
months, has moved from one school district to another, or from one
administrative area to another within a State that is comprised of a
single school district, in order to obtain temporary or seasonal
employment in fishing activities as a principal means of livelihood.
This definition also includes a person who resides in a school district
of more than 15,000 square miles, and moves a distance of 20 miles or
more to a [[Page 21417]] temporary residence to engage in a fishing
activity.
(f) Principal means of livelihood means that the agricultural or
fishing activity constitutes an essential part of providing a living
for the worker and his or her family.
(Authority: 20 U.S.C. 6391-6399, 6511)
Sec. 200.41 Use of program funds for unique program function costs.
An SEA may use the funds available from its State Migrant Education
Program to carry out other administrative activities, beyond those
allowable under Sec. 200.61, that are unique to the MEP or that are the
same or similar to those performed by LEAs in the State under subpart
A. These activities include but are not limited to--
(a) Statewide identification and recruitment of eligible migratory
children;
(b) Interstate and intrastate coordination of the State MEP and its
local projects with other relevant programs and local projects in the
State and in other States;
(c) Procedures for providing for educational continuity for
migratory children through the timely transfer of educational and
health records, beyond that required generally by State and local
agencies.
(d) Collecting and using information for accurate distribution of
subgrant funds; and
(e) Development and implementation of a statewide plan for needs
assessment and service delivery.
(Authority: 20 U.S.C. 6392, 6511)
Sec. 200.42 Responsibilities of SEAs and operating agencies for
assessing the effectiveness of the MEP.
(a) Each SEA and operating agency receiving funds under the MEP has
the responsibility to determine the effectiveness of its program and
projects in providing migratory students with the opportunity to meet
the same challenging State content and performance standards, required
under Sec. 200.2, that the State has established for all children.
(b) To determine the effectiveness of its program and projects,
each SEA and operating agency receiving MEP funds shall, wherever
feasible, use the same high-quality yearly student assessments or
transitional assessments that the State establishes for use in meeting
the requirements of Sec. 200.4.
(c) In a project where it is not feasible to use the same student
assessments that are being used to meet the requirements of Sec. 200.4
(e.g., in a summer-only project, or in a project where no migratory
students are enrolled at the time the State-established assessment
takes place), the SEA must ensure that the relevant operating agency
carries out some other reasonable process or processes for examining
the effectiveness of the project.
(Authority: 20 U.S.C. 6394)
Sec. 200.43 Responsibilities of SEAs and operating agencies for
improving services to migratory children.
While the specific school improvement requirements of section 1116
of the statute do not apply to the MEP, SEAs and local operating
agencies receiving MEP funds shall use the results of the assessments
carried out under Sec. 200.42 to improve the services provided to
migratory children.
(Authority: 20 U.S.C. 6394)
Sec. 200.44 Use of MEP funds in schoolwide projects.
Funds available under Part C of Title I of the Act may be used in a
schoolwide program subject to the requirements of
Sec. 200.8(c)(3)(ii)(B)(1).
(Authority: 20 U.S.C. 6396)
Sec. 200.45 Responsibilities for participation of children in private
schools.
An SEA and its operating agencies shall conduct programs and
projects under this subpart in a manner consistent with the basic
requirements of section 1120 of the Act.
(Authority: 20 U.S.C. 6394)
Secs. 200.46-200.49 [Reserved]
Subpart D--Prevention and Intervention Programs for Children and
Youth Who Are Neglected, Delinquent, or At-Risk of Dropping Out
Sec. 200.50 Program definitions.
(a) The following definitions apply to the programs authorized in
Part D, subparts 1 and 2 of Title I of the Act:
Children and youth means the same as ``children'' as that term is
defined in Sec. 200.65(a).
(b) The following definitions apply to the programs authorized in
Part D, subpart 1 of Title I of the Act:
Institution for delinquent children and youth means, as determined
by the SEA, a public or private residential facility that is operated
primarily for the care of children and youth who--
(1) Have been adjudicated to be delinquent or in need of
supervision; and
(2) Have had an average length of stay in the institution of at
least 30 days.
Institution for neglected children and youth means, as determined
by the SEA, a public or private residential facility, other than a
foster home, that is operated primarily for the care of children and
youth who--
(1) Have been committed to the institution or voluntarily placed in
the institution under applicable State law due to abandonment, neglect,
or death of their parents or guardians; and
(2) Have had an average length of stay in the institution of at
least 30 days.
Regular program of instruction means an educational program (not
beyond grade 12) in an institution or a community day program for
neglected or delinquent children that consists of classroom instruction
in basic school subjects such as reading, mathematics, and vocationally
oriented subjects, and that is supported by non-Federal funds. Neither
the manufacture of goods within the institution nor activities related
to institutional maintenance are considered classroom instruction.
(c) The following definitions apply to the local agency program
authorized in Part D, subpart 2 of Title I of the Act:
Immigrant children and youth and Limited English Proficiency have
the same meanings as those terms are defined in section 7501 of the
Act, except that the terms ``individual'' and ``children and youth''
used in those definition mean ``children and youth'' as defined in this
section.
Locally operated correctional facility means a facility in which
persons are confined as a result of a conviction for a criminal
offense, including persons under 21 years of age. The term also
includes a local public or private institution and community day
program or school not operated by the State that serves delinquent
children and youth.
Migrant youth means the same as ``migratory child'' as that term is
defined in Sec. 200.40(d).
(Authority: 20 U.S.C. 6432, 6472)
Sec. 200.51 SEA counts of eligible children.
To receive an allocation under Part D, subpart 1 of Title I of the
Act, an SEA must provide the Secretary with a count of children and
youth under the age of 21 enrolled in a regular program of instruction
operated or supported by State agencies in institutions or community
day programs for neglected or delinquent children and youth and adult
correctional institutions as specified in paragraphs (a) and (b) of
this section:
(a) Enrollment. (1) To be counted, a child or youth must be
enrolled in a regular program of instruction for at least--
(i) 20 hours per week if in an institution or community day program
for neglected or delinquent children; or [[Page 21418]]
(ii) 15 hours per week if in an adult correctional institution.
(2) The State agency shall specify the date on which the enrollment
of neglected or delinquent children is determined under paragraph
(a)(1) of this section, except that the date specified shall be--
(i) Consistent for all institutions or community day programs
operated by the State agency; and
(ii) Represent a school day in the calendar year preceding the year
in which funds become available.
(b) Adjustment of enrollment. The SEA shall adjust the enrollment
for each institution or community day program served by a State agency
by--
(1) Multiplying the number determined in paragraph (a) of this
section by the number of days per year the regular program of
instruction operates; and
(2) Dividing the result of paragraph (b)(1) of this section by 180.
(c) Date of submission. The SEA must annually submit the data in
paragraph (b) of this section no later than January 31.
(Authority: 20 U.S.C. 6432)
Secs. 200.52-200.59 [Reserved]
Subpart E--General Provisions
Sec. 200.60 Reservation of funds for State administration and school
improvement.
(a) State administration. An SEA may reserve for State
administration activities authorized in section 1603 of the Act no more
than--
(1) One percent from each of the amounts allocated to the State or
Outlying Area under section 1002(a), (c), and (d) of the Act; or
(2) (i) $400,000 ($50,000 for the Outlying Areas), whichever is
greater.
(ii) An SEA reserving $400,000 under paragraph (a)(2)(i) of this
section shall reserve proportionate amounts from each of the amounts
allocated to the State or Outlying Area under section 1002 (a), (c),
and (d) of the Act.
(b) School improvement. (1) To carry out school improvement
activities authorized under sections 1116 and 1117 of the Act, an SEA
may reserve no more than .5 percent from each of the amounts allocated
to the State or Outlying Area under section 1002(a), (c), and (d) of
the Act.
(2) (i) An SEA shall have available from funds received under
section 1002(f) of the Act or reserved under paragraph (b)(1) of this
section no less than $200,000 ($25,000 for the Outlying Areas) to carry
out school improvement activities.
(ii)(A) If funds made available for school improvement under
section 1002(f) of the Act do not equal $200,000 ($25,000 for Outlying
Areas), the SEA shall reserve funds in accordance with paragraph (b)(1)
of this section.
(B) If the amount reserved under paragraph (b)(1) when added to
funds received under section 1002(f), does not equal $200,000 ($25,000
for the Outlying Areas), the SEA shall reserve additional funds under
section 1002 (a), (c), and (d) as are necessary to make $200,000
($25,000 for the Outlying Areas) available to the SEA.
(c) Reservation from section 1002(a) funds. In reserving funds for
State administration and school improvement under section 1002(a) of
the Act, an SEA shall--
(1) Reserve proportionate amounts from each of the State's basic
grant, concentration grant, and targeted grant allocations; and
(2) Ensure that from the funds remaining for basic grants,
concentration grants, and targeted grants after reserving funds for
State administration and school improvement, no eligible LEA receives
less than the hold-harmless amounts determined under Sec. 200.25,
except when the amounts remaining are insufficient to pay all LEAs the
hold-harmless amounts provided in Sec. 200.25, the SEA shall ratably
reduce each LEA's hold harmless allocation to the amount available.
(Authority: 20 U.S.C. 6303, 6513(c))
Sec. 200.61 Use of funds reserved for State administration.
An SEA may use any of the funds that it has reserved under
Sec. 200.60(a) to perform general administrative activities necessary
to carry out, at the State level, any of the programs authorized under
Title I of the Act.
(Authority: 20 U.S.C. 6513(c))
Sec. 200.62 [Reserved]
Sec. 200.63 Supplement, not supplant.
(a) Except as provided in paragraph (c) of this section, a grantee
or subgrantee under subparts A, C, or D of this part may use funds
available under these subparts only to supplement the amount of funds
that would be made available, in the absence of funds made available
under subparts A, C, and D from non-Federal sources for the education
of pupils participating in programs assisted under subparts A, C, and D
and in no case may funds available under these subparts be used to
supplant those non-Federal funds.
(b) To meet the requirement in paragraph (a) of this section, a
grantee or subgrantee under subparts A, C, or D is not required to
provide services under subparts A, C, or D through the use of a
particular instructional method or in a particular instructional
setting.
(c) (1) For purposes of determining compliance with paragraph (a)
of this section, a grantee or subgrantee under subparts A or C may
exclude supplemental State and local funds spent in any eligible school
attendance area or eligible school for programs that meet the
requirements of section 1114 or section 1115 of the Act.
(2) A supplemental State or local program will be considered to
meet the requirements of section 1114 if the program--
(i) Is implemented in a school that meets the schoolwide poverty
threshold for eligibility in Sec. 200.8(b);
(ii) Is designed to upgrade the entire educational program in the
school to support students in their achievement toward meeting the
State's challenging student performance standards;
(iii) Is designed to meet the educational needs of all children in
the school, particularly the needs of children who are failing, or most
at risk of failing, to meet the State's challenging student performance
standards; and
(iv) Uses the State's system of assessment to review the
effectiveness of the program.
(3) A supplemental State or local program will be considered to
meet the requirements of section 1115 if the program--
(i) Serves only children who are failing, or most at risk of
failing, to meet the State's challenging student performance standards;
(ii) Provides supplementary services designed to meet the special
educational needs of the children who are participating to support
their achievement toward meeting the State's student performance
standards that all children are expected to meet; and
(iii) Uses the State's system of assessment to review the
effectiveness of the program.
(4) These conditions also apply to supplemental State and local
funds expended under sections 1113(b)(1)(C) and 1113(c)(2)(B) of the
Act.
(Authority: 20 U.S.C. 6322(b))
Sec. 200.64 Maintenance of effort.
(a) General. An LEA receiving funds under subparts A or C may
receive its full allocation of funds under subparts A and C if it finds
that either the combined fiscal effort per student or the aggregate
expenditures of State and local funds with respect to the provision of
free public education in the LEA for the preceding fiscal year was not
less than 90 percent of combined fiscal effort per student or the
aggregate [[Page 21419]] expenditures for the second preceding fiscal
year.
(b) Meaning of ``preceding fiscal year''. For purposes of
determining maintenance of effort, the ``preceding fiscal year'' is the
Federal fiscal year or the 12-month fiscal period most commonly used in
a State for official reporting purposes prior to the beginning of the
Federal fiscal year in which funds are available.
Example: For funds first made available on July 1, 1995, if a
State is using the Federal fiscal year, the ``preceding fiscal
year'' is Federal fiscal year 1994 (which began on October 1, 1993)
and the ``second preceding fiscal year'' is Federal fiscal year 1993
(which began on October 1, 1992). If a State is using a fiscal year
that begins on July 1, 1995, the ``preceding fiscal year'' is the
12-month period ending on June 30, 1994, and the ``second preceding
fiscal year, is the period ending on June 30, 1993.
(c) Expenditures. (1) To be considered. In determining an LEA's
compliance with the maintenance of effort requirement, the SEA shall
consider the LEA's expenditures from State and local funds for free
public education. These include expenditures for administration,
instruction, attendance and health services, pupil transportation
services, operation and maintenance of plant, fixed charges, and net
expenditures to cover deficits for food services and student body
activities.
(2) Not to be considered. The SEA shall not consider the following
expenditures in determining an LEA's compliance with the maintenance of
effort requirement:
(i) Any expenditures for community services, capital outlay, and
debt service; and
(ii) Any expenditures made from funds provided by the Federal
Government for which the LEA is required to account to the Federal
Government directly or through the SEA.
(Authority: 20 U.S.C. 6322(a))
Sec. 200.65 Definitions.
The following definitions apply to programs and projects operated
under this part:
(a) Children means--
(1) Persons up through age 21 who are entitled to a free public
education through grade 12; and
(2) Preschool children.
(b) Fiscal year means the Federal fiscal year--a period beginning
on October 1 and ending on the following September 30--or another 12-
month period normally used by the SEA for record-keeping.
(c) Preschool children means children who are--
(1) Below the age and grade level at which the agency provides free
public education; and
(2) Of an age at which they can benefit from an organized
instructional program provided in a school or educational setting.
(Authority: 20 U.S.C. 6315, 6511)
Secs. 200.66-200.69 [Reserved]
[FR Doc. 95-10663 Filed 4-28-95; 8:45 am]
BILLING CODE 4000-01-P
