[Title 34 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2016 Edition]
[From the U.S. Government Publishing Office]
[[Page i]]
Title 34
Education
________________________
Parts 400 to 679
Revised as of July 1, 2016
Containing a codification of documents of general
applicability and future effect
As of July 1, 2016
Published by the Office of the Federal Register
National Archives and Records Administration as a
Special Edition of the Federal Register
[[Page ii]]
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[[Page iii]]
Table of Contents
Page
Explanation................................................. v
Title 34:
SUBTITLE B--Regulations of the Offices of the Department
of Education (Continued)
Chapter IV--Office of Career, Technical, and Adult
Education, Department of Education 5
Chapter V--Office of Bilingual Education and
Minority Languages Affairs, Department of Education 159
Chapter VI--Office of Postsecondary Education,
Department of Education 163
Findings Aids:
Table of CFR Titles and Chapters........................ 773
Alphabetical List of Agencies Appearing in the CFR...... 793
List of CFR Sections Affected........................... 803
[[Page iv]]
----------------------------
Cite this Code: CFR
To cite the regulations in
this volume use title,
part and section number.
Thus, 34 CFR 400.1 refers
to title 34, part 400,
section 1.
----------------------------
[[Page v]]
EXPLANATION
The Code of Federal Regulations is a codification of the general and
permanent rules published in the Federal Register by the Executive
departments and agencies of the Federal Government. The Code is divided
into 50 titles which represent broad areas subject to Federal
regulation. Each title is divided into chapters which usually bear the
name of the issuing agency. Each chapter is further subdivided into
parts covering specific regulatory areas.
Each volume of the Code is revised at least once each calendar year
and issued on a quarterly basis approximately as follows:
Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1
The appropriate revision date is printed on the cover of each
volume.
LEGAL STATUS
The contents of the Federal Register are required to be judicially
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie
evidence of the text of the original documents (44 U.S.C. 1510).
HOW TO USE THE CODE OF FEDERAL REGULATIONS
The Code of Federal Regulations is kept up to date by the individual
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To determine whether a Code volume has been amended since its
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EFFECTIVE AND EXPIRATION DATES
Each volume of the Code contains amendments published in the Federal
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OMB CONTROL NUMBERS
The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires
Federal agencies to display an OMB control number with their information
collection request.
[[Page vi]]
Many agencies have begun publishing numerous OMB control numbers as
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PAST PROVISIONS OF THE CODE
Provisions of the Code that are no longer in force and effect as of
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``[RESERVED]'' TERMINOLOGY
The term ``[Reserved]'' is used as a place holder within the Code of
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INCORPORATION BY REFERENCE
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This material, like any other properly issued regulation, has the force
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What is a proper incorporation by reference? The Director of the
Federal Register will approve an incorporation by reference only when
the requirements of 1 CFR part 51 are met. Some of the elements on which
approval is based are:
(a) The incorporation will substantially reduce the volume of
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(b) The matter incorporated is in fact available to the extent
necessary to afford fairness and uniformity in the administrative
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(c) The incorporating document is drafted and submitted for
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CFR INDEXES AND TABULAR GUIDES
A subject index to the Code of Federal Regulations is contained in a
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and Finding Aids. This volume contains the Parallel Table of Authorities
and Rules. A list of CFR titles, chapters, subchapters, and parts and an
alphabetical list of agencies publishing in the CFR are also included in
this volume.
[[Page vii]]
An index to the text of ``Title 3--The President'' is carried within
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The Federal Register Index is issued monthly in cumulative form.
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INQUIRIES
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Oliver A. Potts,
Director,
Office of the Federal Register.
July 1, 2016.
[[Page ix]]
THIS TITLE
Title 34--Education is composed of four volumes. The parts in these
volumes are arranged in the following order: Parts 1-299, parts 300-399,
parts 400-679, and part 680 to end. The contents of these volumes
represent all regulations codified under this title of the CFR as of
July 1, 2016.
For this volume, Michele Bugenhagen was Chief Editor. The Code of
Federal Regulations publication program is under the direction of John
Martinez, assisted by Stephen J. Frattini.
[[Page 1]]
TITLE 34--EDUCATION
(This book contains parts 400 to 679)
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SUBTITLE B--Regulations of the Offices of the Department of Education
(Continued)
Part
chapter IV--Office of Career, Technical, and Adult
Education, Department of Education........................ 400
chapter V--Office of Bilingual Education and Minority
Languages Affairs, Department of Education................ 535
chapter VI--Office of Postsecondary Education, Department of
Education................................................. 600
[[Page 3]]
Subtitle B--Regulations of the Offices of the Department of Education
(Continued)
[[Page 5]]
CHAPTER IV--OFFICE OF CAREER, TECHNICAL, AND ADULT EDUCATION, DEPARTMENT
OF EDUCATION
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Part Page
400 Career, technical, and applied technology
education programs--general provisions.. 7
401 Indian vocational education program......... 17
402 Native Hawaiian vocational education program 22
403 State vocational and applied technology
education program....................... 25
406 State-administered tech-prep education
program................................. 71
410 Tribally controlled postsecondary vocational
institutions program.................... 75
411 Vocational education research program....... 79
412 National network for curriculum coordination
in vocational and technical education... 83
413 National center or centers for research in
vocational education.................... 86
415 Demonstration centers for the training of
dislocated workers program.............. 92
421 Business and education standards program.... 95
425 Demonstration projects for the integration
of vocational and academic learning
program................................. 98
426 [Reserved]
427 Bilingual vocational training program....... 101
428 Bilingual vocational instructor training
program................................. 106
429 Bilingual vocational materials, methods, and
techniques program...................... 109
460 [Reserved]
461 Adult education State-administered basic
grant program........................... 112
462 Measuring educational gain in the National
Reporting System for Adult Education.... 126
464 [Reserved]
472 National workplace literacy program......... 141
477 State program analysis assistance and policy
studies program......................... 147
[[Page 6]]
489 Functional literacy for State and local
prisoners program....................... 150
490 Life skills for State and local prisoners
program................................. 154
491 [Reserved]
492-499 [Reserved]
[[Page 7]]
PART 400_CAREER, TECHNICAL, AND APPLIED TECHNOLOGY EDUCATION PROGRAMS
GENERAL PROVISIONS--Table of Contents
Sec.
400.1 What is the purpose of the Vocational and Applied Technology
Education Programs?
400.2 What programs are governed by these regulations?
400.3 What other regulations apply to the Vocational and Applied
Technology Education Programs?
400.4 What definitions apply to the Vocational and Applied Technology
Education Programs?
400.5 Under what conditions may funds under the Act be used for the
joint funding of programs?
400.6 What are the requirements for establishing a State Committee of
Practitioners?
400.7 What are the provisions governing the issuance of State core
standards and measures of performance and State rules or
regulations?
400.8 What are the provisions governing student assistance?
400.9 What additional requirements govern the Vocational and Applied
Technology Education Programs?
400.10 What are the reporting requirements?
Authority: 20 U.S.C. 2301 et seq., unless otherwise noted.
Source: 57 FR 36724, Aug. 14, 1992, unless otherwise noted.
Sec. 400.1 What is the purpose of the Vocational and Applied
Technology Education Programs?
(a) The purpose of the Vocational and Applied Technology Education
Programs is to make the United States more competitive in the world
economy by developing more fully the academic and occupational skills of
all segments of the population.
(b) The purpose will be achieved principally through concentrating
resources on improving educational programs leading to academic and
occupational skill competencies needed to work in a technologically
advanced society.
(Authority: 20 U.S.C. 2301)
Sec. 400.2 What programs are governed by these regulations?
The regulations in this part apply to the Vocational and Applied
Technology Education Programs as follows:
(a) State-administered programs. (1) State Vocational and Applied
Technology Education Program (34 CFR part 403).
(2) State-Administered Tech-Prep Education Program (34 CFR part
406).
(3) Supplementary State Grants Program (34 CFR part 407).
(b) National discretionary programs. (1) Indian Vocational Education
Program (34 CFR part 401).
(2) Native Hawaiian Vocational Education Program (34 CFR part 402).
(3) National Tech-Prep Education Program (34 CFR part 405).
(4) Community Education Employment Centers Program (34 CFR part
408).
(5) Vocational Education Lighthouse Schools Program (34 CFR part
409).
(6) Tribally Controlled Postsecondary Vocational Institutions
Program (34 CFR part 410).
(7) Vocational Education Research Program (34 CFR part 411).
(8) National Network for Curriculum Coordination in Vocational and
Technical Education (34 CFR part 412).
(9) National Center or Centers for Research in Vocational Education
(34 CFR part 413).
(10) Materials Development in Telecommunications Program (34 CFR
part 414).
(11) Demonstration Centers for the Training of Dislocated Workers
Program (34 CFR part 415).
(12) Vocational Education Training and Study Grants Program (34 CFR
part 416).
(13) Vocational Education Leadership Development Awards Program (34
CFR part 417).
(14) Vocational Educator Training Fellowships Program (34 CFR part
418).
(15) Internships for Gifted and Talented Vocational Education
Students Program (34 CFR part 419).
(16) Business and Education Standards Program (34 CFR part 421).
(17) Educational Programs for Federal Correctional Institutions (34
CFR part 422).
[[Page 8]]
(18) Vocational Education Dropout Prevention Program (34 CFR part
423).
(19) Model Centers of Regional Training for Skilled Trades Program
(34 CFR part 424).
(20) Demonstration Projects for the Integration of Vocational and
Academic Learning Program (34 CFR part 425).
(21) Cooperative Demonstration Programs (34 CFR part 426).
(22) Bilingual Vocational Training Program (34 CFR part 427).
(23) Bilingual Vocational Instructor Training Program (34 CFR part
428).
(24) Bilingual Materials, Methods, and Techniques Program (34 CFR
part 429).
(Authority: 20 U.S.C. 2301 et seq.)
Sec. 400.3 What other regulations apply to the Vocational and
Applied Technology Education Programs?
The following regulations apply to the Vocational and Applied
Technology Education Programs:
(a) The Education Department General Administrative Regulations
(EDGAR) as follows:
(1)[Reserved]
(2) 34 CFR part 75 (Direct Grant Programs) (applicable to parts 401,
402, 405, 408, 409, 410, 411, 412, 413, 414, 415, 416, 417, 418, 419,
421, 422, 423, 424, 425, 426, 427, 428, and 429 except that 34 CFR
75.720(b) does not apply to performance reports under parts 401, 402,
405, 408, 409, 412, 413, 415, 416, 417, 419, 422, 423, 424, 425, 426,
427, and 428, and to financial reports under parts 412 and 413).
(3) 34 CFR part 76 (State-Administered Programs) (applicable to
parts 403, 406, and 407).
(4) 34 CFR part 77 (Definitions that Apply to Department
Regulations).
(5) 34 CFR part 79 (Intergovernmental Review of Department of
Education Programs and Activities) (not applicable to parts 401, 410,
411, 413, 418, and 419).
(6) [Reserved]
(7) 34 CFR part 81 (General Education Provisions Act--Enforcement).
(8) 34 CFR part 82 (New Restrictions on Lobbying) (not applicable to
parts 401 and 410).
(9) [Reserved]
(10) 34 CFR part 86 (Drug-Free Schools and Campuses).
(b) The Federal Acquisition Regulation (FAR) in 48 CFR chapter 1 and
the Education Department Acquisition Regulation (EDAR) in 48 CFR chapter
34 (applicable to contracts under parts 401, 402, 411, 412, 426, 427,
428, and 429).
(c) The regulations in this part 400.
(d) The regulations in 34 CFR parts 401, 402, 403, 405, 406, 407,
408, 409, 410, 411, 412, 413, 414, 415, 416, 417, 418, 419, 421, 422,
423, 424, 425, 426, 427, 428, and 429.
(e)(1) 2 CFR part 180 (OMB Guidelines to Agencies on Debarment and
Suspension (Nonprocurement)), as adopted at 2 CFR part 3485; and
(2) 2 CFR part 200 (Uniform Administrative Requirements, Cost
Principles, and Audit Requirements for Federal Awards), as adopted at 2
CFR part 3474.
(Authority: 20 U.S.C. 2301 et seq.)
[57 FR 36724, Aug. 14, 1992, as amended at 79 FR 76100, Dec. 19, 2014]
Sec. 400.4 What definitions apply to the Vocational and Applied
Technology Education Programs?
(a) General definitions. The following terms used in regulations for
the Vocational and Applied Technology Education Programs are defined in
2 CFR part 200, subpart A, or 34 CFR 77.1:
Acquisition
Applicant
Application
Award
Budget
Contract
Department
EDGAR
Elementary school
Facilities
Federally recognized Indian tribal government
Fiscal year
Grant
Grantee
Grant period
Nonprofit
Private
Project
Public
Recipient
Secondary school
Secretary
State educational agency
Subgrant
Subgrantee
Supplies
(b) Other definitions. The following definitions also apply to the
regulations for Vocational and Applied Technology Education Programs.
Act means the Carl D. Perkins Vocational and Applied Technology
Education Act (20 U.S.C. 2301 et seq.), as amended by Public Law 101-
392, 104 Stat. 753 (1990), and Public Law 102-103, 105 Stat. 497 (1991),
unless otherwise indicated.
[[Page 9]]
Administration means activities of a State necessary for the proper
and efficient performance of its duties under the Act, including
supervision, but not including curriculum development activities,
personnel development, or research activities.
All aspects of an industry includes, with respect to a particular
industry that a student is preparing to enter, planning, management,
finances, technical and production skills, underlying principles of
technology, labor and community issues, health and safety, and
environmental issues related to that industry.
Americans with Disabilities Act of 1990 or ADA mean the Act in 42
U.S.C. 12101 et seq.
Apprenticeship training program means a program registered with the
Department of Labor or the State apprenticeship agency in accordance
with the Act of August 16, 1937, known as the National Apprenticeship
Act (29 U.S.C. 50), that is conducted or sponsored by an employer, a
group of employers, or a joint apprenticeship committee representing
both employers and a union, and that contains all terms and conditions
for the qualification, recruitment, selection, employment, and training
of apprentices.
Area vocational education school means--
(1) A specialized high school used exclusively or principally for
the provision of vocational education to individuals who are available
for study in preparation for entering the labor market;
(2) The department of a high school exclusively or principally used
for providing vocational education in not less than five different
occupational fields to individuals who are available for study in
preparation for entering the labor market;
(3) A technical institute or vocational school used exclusively or
principally for the provision of vocational education to individuals who
have completed or left high school and who are available for study in
preparation for entering the labor market; or
(4) The department or division of a junior college, community
college, or university that operates under the policies of the State
board and provides vocational education in not less than five different
occupational fields leading to immediate employment but not necessarily
leading to a baccalaureate degree, if, in the case of a school,
department, or division described in paragraph (3) of this definition or
in this paragraph, it admits as regular students both individuals who
have completed high school and individuals who have left high school.
Career guidance and counseling means programs that--
(1) Pertain to the body of subject matter and related techniques and
methods organized for the development in individuals of career
awareness, career planning, career decision-making, placement skills,
and knowledge and understanding of local, State, and national
occupational, educational, and labor market needs, trends, and
opportunities; and
(2) Assist those individuals in making and implementing informed
educational and occupational choices.
Chapter 1 means chapter 1 of title I of the Elementary and Secondary
Education Act of 1965, as amended (20 U.S.C. 2701 et seq.).
Coherent sequence of courses means a series of courses in which
vocational and academic education are integrated, and which directly
relates to, and leads to, both academic and occupational competencies.
The term includes competency-based education, academic education, and
adult training or retraining, including sequential units encompassed
within a single adult retraining course, that otherwise meet the
requirements of this definition.
Community-based organization means a private nonprofit organization
of demonstrated effectiveness that is representative of communities or
significant segments of communities and that provides job training
services (for example, Opportunities Industrialization Centers, the
National Urban League, SER-Jobs for Progress, United Way of America,
Mainstream, the National Puerto Rican Forum, National Council of La
Raza, WAVE, Inc., Jobs for Youth, organizations operating career intern
programs, neighborhood groups and organizations, community action
[[Page 10]]
agencies, community development corporations, vocational rehabilitation
organizations, rehabilitation facilities (as defined in section 7(10) of
the Rehabilitation Act of 1973 (29 U.S.C. 706(10)), agencies serving
youth, agencies serving individuals with disabilities, including
disabled veterans, agencies serving displaced homemakers, union-related
organizations, and employer-related nonprofit organizations), and an
organization of demonstrated effectiveness serving non-reservation
Indians (including the National Urban Indian Council), as well as tribal
governments and Native Alaskan groups.
(Authority: 20 U.S.C. 2471(6); 41 U.S.C. 1503(5))
Construction includes construction of new buildings and acquisition,
expansion, remodeling, and alteration of existing buildings, and
includes site grading and improvement and architect fees.
Cooperative education means a method of instruction of vocational
education for individuals who, through written cooperative arrangements
between the school and employers, receive instruction, including
required academic courses and related vocational instruction by
alternation of study in school with a job in any occupational field. The
two experiences must be planned and supervised by the school and
employers so that each contributes to the student's education and
employability. Work periods and school attendance may be on alternate
half days, full days, weeks, or other periods of time in fulfilling the
cooperative program.
Criminal offender means any individual who is charged with, or
convicted of, any criminal offense, including a youth offender or a
juvenile offender.
Correctional institution means any--
(1) Prison;
(2) Jail;
(3) Reformatory;
(4) Work farm;
(5) Detention center; or
(6) Halfway house, community-based rehabilitation center, or any
other similar institution designed for the confinement or rehabilitation
of criminal offenders.
Curriculum materials means instructional and related or supportive
material, including materials using advanced learning technology, in any
occupational field that is designed to strengthen the academic
foundation and prepare individuals for employment at the entry level or
to upgrade occupational competencies of those previously or presently
employed in any occupational field, and appropriate counseling and
guidance material.
Disadvantaged refers to individuals (other than individuals with
disabilities) who have economic or academic disadvantages and who
require special services and assistance in order to enable these
individuals to succeed in vocational education programs. This term
includes individuals who are members of economically disadvantaged
families, migrants, individuals of limited English proficiency, and
individuals who are dropouts from, or who are identified as potential
dropouts from, secondary school. For the purpose of this definition, an
individual who scores at or below the 25th percentile on a standardized
achievement or aptitude test, whose secondary school grades are below
2.0 on a 4.0 scale (on which the grade ``A'' equals 4.0), or who fails
to attain minimum academic competencies may be considered ``academically
disadvantaged.'' The definition does not include individuals with
learning disabilities.
Displaced homemaker means an individual who--
(1) Is an adult;
(2) Has worked as an adult primarily without remuneration to care
for the home and family, and for that reason has diminished marketable
skills; and
(3)(i) Has been dependent on public assistance or on the income of a
relative but is no longer supported by that income;
(ii) Is a parent whose youngest dependent child will become
ineligible to receive assistance under part A of title IV of the Social
Security Act (42 U.S.C. 601), Aid to Families with Dependent Children,
within two years of the parent's application for assistance under the
Carl D. Perkins Vocational and Applied Technology Education Act;
(iii) Is unemployed or underemployed and is experiencing difficulty
in obtaining any employment or suitable employment, as appropriate; or
[[Page 11]]
(iv) Is described in paragraphs (1) and (2) of this definition and
is a criminal offender.
Economically disadvantaged family or individual means a family or
individual that is--
(1) Eligible for any of the following:
(i) The program for Aid to Families with Dependent Children under
part A of title IV of the Social Security Act (42 U.S.C. 601).
(ii) Benefits under the Food Stamp Act of 1977 (7 U.S.C. 2011).
(iii) To be counted for purposes of section 1005 of chapter 1 of
title I of the Elementary and Secondary Education Act of 1965, as
amended (chapter 1) (20 U.S.C. 2701).
(iv) The free or reduced-price meals program under the National
School Lunch Act (42 U.S.C. 1751).
Note to paragraph (1)(iv):
The National School Lunch Act prohibits the identification of
students by name. However, State and local projects may use the total
number of students participating in a free or reduced-priced meals
program to determine eligibility for projects, services, and activities
under the Vocational and Applied Technology Education Programs.
(v) Participation in programs assisted under title II of the JTPA.
(2) In receipt of a Pell grant or assistance under a comparable
State program of need-based financial assistance.
(3) Determined by the Secretary to be low-income according to the
latest available data from the Department of Commerce or the Department
of Health and Human Services Poverty Guidelines.
(4) Identified as low income according to other indices of economic
status, including estimates of those indices, if a grantee demonstrates
to the satisfaction of the Secretary that those indices are more
representative of the number of economically disadvantaged students
attending vocational education programs. The Secretary determines, on a
case-by-case basis, whether other indices of economic status are more
representative of the number of economically disadvantaged students
attending vocational education programs, taking into consideration, for
example, the statistical reliability of any data submitted by a grantee
as well as the general acceptance of the indices by other agencies in
the State or local area.
(Authority: 20 U.S.C. 2341(d)(3))
Eligible recipient means, except as otherwise provided, a local
educational agency, an area vocational education school, an intermediate
educational agency, a postsecondary educational institution, a State
corrections educational agency, or an eligible institution as defined in
34 CFR 403.117(a).
General occupational skills means strong experience in, and
understanding of, all aspects of an industry.
High technology means state-of-the-art computer, microelectronic,
hydraulic, pneumatic, laser, nuclear, chemical, telecommunication, and
other technologies being used to enhance productivity in manufacturing,
communication, transportation, agriculture, mining, energy, commercial,
and similar economic activity, and to improve the provision of health
care.
IDEA means the Individuals with Disabilities Education Act (20
U.S.C. 1400 et seq.), formerly entitled ``Education of the Handicapped
Act.''
Individual with disabilities means any individual with any
disability (as defined in section 3(2) of the Americans With
Disabilities Act of 1990), which includes any individual who--
(1) Has a physical or mental impairment that substantially limits
one or more of the major life activities of that individual;
(2) Has a record of an impairment described in paragraph (1) of this
definition; or
(3) Is regarded as having an impairment described in paragraph (1)
of this definition.
Note: This definition necessarily includes any individual who has
been evaluated under part B of the IDEA and determined to be an
individual with a disability who is in need of special education and
related services; and any individual who is considered disabled under
section 504 of the Rehabilitation Act of 1973.
(Authority: 42 U.S.C. 12102(2))
Individualized education program means a written statement for a
disabled individual developed in accordance with sections 612(4) and
614(a)(5) of
[[Page 12]]
the IDEA (20 U.S.C. 1412(4) and 1414(a)(5)).
Institution of higher education. (1) The term means an educational
institution in any State that--
(i) Admits as regular students only persons having a certificate of
graduation from a school providing secondary education, or the
recognized equivalent of such a certificate;
(ii) Is legally authorized within such State to provide a program of
education beyond secondary education;
(iii) Provides an educational program for which it awards a
bachelor's degree or provides not less than a two-year program that is
acceptable for full credit toward such a degree;
(iv) Is a public or other nonprofit institution; and
(v) Is accredited by a nationally recognized accrediting agency or
association, or if not so accredited--
(A) Is an institution with respect to which the Secretary has
determined that there is satisfactory assurance, considering the
resources available to the institution, the period of time, if any,
during which it has operated, the effort it is making to meet
accreditation standards, and the purpose for which this determination is
being made, that the institution will meet the accreditation standards
of such an agency or association within a reasonable time; or
(B) Is an institution whose credits are accepted, on transfer, by
not less than three institutions which are so accredited, for credit on
the same basis as if transferred from an institution so accredited.
(2) The term also includes--
(i) Any school which provides not less than a one-year program of
training to prepare students for gainful employment in a recognized
occupation and that meets the provisions of paragraphs (1) (i), (ii),
(iv), and (v) of this definition; and
(ii) A public or nonprofit private educational institution in any
State which, in lieu of the requirement in paragraph (1) of this
definition, admits as regular students persons who are beyond the age of
compulsory school attendance in the State in which the institution is
located and who meet the requirements of section 484(d) of the Higher
Education Act of 1965 (20 U.S.C. 1091(d)).
(Authority: 20 U.S.C. 1141(a))
Intermediate educational agency means a combination of school
districts or counties (those divisions of a State utilized by the
Secretary of Commerce in compiling and reporting data regarding
counties) as are recognized in a State as an administrative agency for
that State's vocational or technical education schools or for vocational
programs within its public elementary or secondary schools. This term
includes any other public institution or agency having administrative
control and direction over a public elementary or secondary school.
(Authority: 20 U.S.C. 2891(5))
JTPA means the Job Training Partnership Act (29 U.S.C. 1501 et
seq.).
Limited English proficiency, if used with reference to individuals,
means individuals--
(1)(i) Who were not born in the United States or whose native
language is a language other than English;
(ii) Who come from environments where a language other than English
is dominant; or
(iii) Who are American Indian and Alaska Natives and who come from
environments where a language other than English has had a significant
impact on their level of English language proficiency; and
(2) Who by reason thereof, have sufficient difficulty speaking,
reading, writing, or understanding the English language to deny those
individuals the opportunity to learn successfully in classrooms where
the language of instruction is English or to participate fully in our
society.
(Authority: 20 U.S.C. 3223(a)(1))
Local educational agency means a board of education or other legally
constituted local school authority having administrative control and
direction of public elementary or secondary schools in a city, county,
township, school district, or political subdivision in a State, or any
other public educational
[[Page 13]]
institution or agency having administrative control and direction of a
vocational education program. For the purposes of sections 114, 115,
116, 117, and 240 of the Act (implemented at 34 CFR 403.31 (e) and (f),
403.32(c)(3), 403.190, 403.191, 403.192, 403.201, 403.202, and 403.204),
this term includes a State corrections educational agency.
Measure means a description of an outcome.
(Authority: H.R. Rep. No. 41, 101st Cong., 1st Sess. 13 (1989))
Postsecondary educational institution means an institution legally
authorized to provide postsecondary education within a State, a Bureau
of Indian Affairs-controlled postsecondary institution, or any
postsecondary educational institution operated by, or on behalf of, any
Indian tribe that is eligible to contract with the Secretary of the
Interior for the administration of programs under the Indian Self-
Determination and Education Assistance Act (25 U.S.C. 450) or under the
Act of April 16, 1934 (25 U.S.C. 452).
Preparatory services means services, programs, or activities
designed to assist individuals who are not enrolled in vocational
education programs in the selection of, or preparation for participation
in, an appropriate vocational education training program. Preparatory
services may include, but are not limited to--
(1) Services, programs, or activities related to outreach to, or
recruitment of, potential vocational education students;
(2) Career counseling and personal counseling;
(3) Vocational assessment and testing; and
(4) Other appropriate services, programs, or activities.
Private vocational training institution means a business or trade
school, or technical institution or other technical or vocational
school, in any State, that--
(1) Admits as regular students only persons who have completed or
left elementary or secondary school and who have the ability to benefit
from the training offered by the institution;
(2) Is legally authorized to provide, and provides within that
State, a program of postsecondary vocational or technical education
designed to fit individuals for useful employment in recognized
occupations;
(3) Has been in existence for two years or has been specially
accredited by the Secretary as an institution meeting the other
requirements of this definition; and
(4) Is accredited--
(i) By a nationally recognized accrediting agency or association
listed by the Secretary;
(ii) If the Secretary determines that there is no nationally
recognized accrediting agency or association qualified to accredit
schools of a particular category, by a State agency listed by the
Secretary; or
(iii) If the Secretary determines that there is no nationally
recognized or State agency or association qualified to accredit schools
of a particular category, by an advisory committee appointed by the
Secretary and composed of persons specially qualified to evaluate
training provided by schools of that category. The committee shall
prescribe the standards of content, scope, and quality that must be met
by those schools and shall also determine whether particular schools
meet those standards.
Program effectiveness panel means the panel of experts in the
evaluation of education programs and in other areas of education, at
least two-thirds of whom are not Federal employees, who are appointed by
the Secretary, and who review and assign scores to programs according to
the criteria in 34 CFR 786.12 or 787.12.
Program year or academic year mean the twelve-month period during
which a State operates its vocational education program (which is most
generally a period beginning on July 1 and ending on the following June
30).
(Authority: 20 U.S.C. 1225(a))
Rehabilitation Act of 1973 means the Act in 29 U.S.C. 701 et seq.
School facilities means classrooms and related facilities, including
initial equipment, and interests in lands on which the facilities are
constructed. The term does not include any facility intended primarily
for events for which
[[Page 14]]
admission is to be charged to the general public.
Sequential course of study means an integrated series of courses
that are directly related to the educational and occupational skills
preparation of individuals for jobs, or preparation for postsecondary
education.
Single parent means an individual who--
(1) Is unmarried or legally separated from a spouse; and
(2)(i) Has a minor child or children for which the parent has either
custody or joint custody; or
(ii) Is pregnant.
Small business means a for-profit enterprise employing 500 or fewer
employees.
Special populations refers to individuals with disabilities,
educationally and economically disadvantaged individuals (including
foster children), individuals of limited English proficiency,
individuals who participate in programs designed to eliminate sex bias,
and individuals in correctional institutions.
Specific job training means training and education for skills
required by an employer to provide the individual student with the
ability to obtain employment and to adapt to the changing demands of the
workplace.
Spread means the degree to which--
(1) Project activities and results are demonstrated to others;
(2) Technical assistance is provided to others to help them
replicate project activities and results;
(3) Project activities and results are replicated at other sites; or
(4) Information and material about or resulting from the project are
disseminated.
Standard means the level or rate of an outcome.
(Authority: H.R. Rep. No. 41, 101st Cong., 1st Sess. 13 (1989))
State means any of the 50 States, the Commonwealth of Puerto Rico,
the District of Columbia, Guam, American Samoa, the Virgin Islands, the
Commonwealth of the Northern Mariana Islands, and Palau (until the
Compact of Free Association with Palau takes effect pursuant to section
101(a) of Public Law 99-658 (48 U.S.C. 1681)).
State board means a State board designated or created by State law
as the sole State agency responsible for the administration of
vocational education or for supervision of the administration of
vocational education in the State.
State corrections educational agency means the State agency or
agencies responsible for carrying out corrections education programs in
the State.
State council means the State council on vocational education
established in accordance with 34 CFR 403.17 through 403.19.
Supplementary services means curriculum modification, equipment
modification, classroom modification, supportive personnel, and
instructional aids and devices.
Technology education means an applied discipline designed to promote
technological literacy that provides knowledge and understanding of the
impacts of technology including its organizations, techniques, tools,
and skills to solve practical problems and extend human capabilities in
areas such as construction, manufacturing, communication,
transportation, power, and energy.
Transportability means the ease by which project activities and
results may be replicated at other sites, such as through the
development and use of guides or manuals that provide step-by-step
directions for others to follow in order to initiate similar efforts and
reproduce comparable results.
Tribally controlled community college means an institution that
receives assistance under the Tribally Controlled Community College
Assistance Act of 1978 (25 U.S.C. 1801 et seq.) or the Navajo Community
College Act (25 U.S.C. 640a).
Vocational education means organized educational programs offering a
sequence of courses or instruction in a sequence or aggregation of
occupational competencies that are directly related to the preparation
of individuals for paid or unpaid employment in current or emerging
occupations requiring other than a baccalaureate or advanced degree.
These programs must include competency-based applied learning that
contributes to an individual's academic knowledge, higher-order
[[Page 15]]
reasoning and problem-solving skills, work attitudes, general
employability skills, and the occupational-specific skills necessary for
economic independence as a productive and contributing member of
society. This term also includes applied technology education.
Vocational student organizations means those organizations for
individuals enrolled in vocational education programs that engage in
activities as an integral part of the instructional program. These
organizations may have State and national units that aggregate the work
and purposes of instruction in vocational education at the local level.
Wagner-Peyser Act means the Act in 29 U.S.C. 49 et seq.
(Authority: 20 U.S.C. 2471)
[57 FR 36724, Aug. 14, 1992, as amended at 79 FR 76100, Dec. 19, 2014]
Sec. 400.5 Under what conditions may funds under the Act be used
for the joint funding of programs?
(a) Funds made available under the Act may be used to provide
additional funds under any of the programs in--
(1) Title II, section 123 and title III of the JTPA; or
(2) The Wagner-Peyser Act.
(b) Funds used to carry out paragraph (a) of this section may be
used only if the--
(1) Program otherwise meets the requirements of the Act and the
requirements of the programs in paragraph (a) (1) and (2) of this
section;
(2) Program serves the same individuals that are served under the
Act;
(3) Program provides services in a coordinated manner with services
provided under the Act; and
(4) Funds would be used to supplement, and not supplant, funds
provided from non-Federal sources.
(c) Funds that meet the conditions in paragraphs (a) and (b) of this
section may be used as matching funds.
(Authority: 20 U.S.C. 2468)
Sec. 400.6 What are the requirements for establishing a State
Committee of Practitioners?
(a) Consultation. A State shall appoint a State Committee of
Practitioners (Committee) after consulting with--
(1) Local school officials representing eligible recipients;
(2) Representatives of--
(i) Organized labor;
(ii) Business;
(iii) Superintendents;
(iv) Community-based organizations;
(v) Private industry councils established under section 102(a) of
the JTPA (29 U.S.C. 1512);
(vi) State councils;
(vii) Parents;
(viii) Special populations; and
(ix) Correctional institutions;
(3) The administrator appointed under 34 CFR 403.13(a);
(4) The State administrator of programs assisted under part B of the
IDEA;
(5) The State administrator of programs assisted under chapter 1;
(6) The State administrator of programs for students of limited
English proficiency; and
(7) Guidance counselors.
(b) Committee selection. The State shall select the Committee from
nominees solicited from--
(1) State organizations representing school administrators;
(2) Teachers;
(3) Parents;
(4) Members of local boards of education; and
(5) Appropriate representatives of institutions of higher education.
(c)(1) Committee membership. The Committee must consist of--
(i) Representatives of local educational agencies, who must
constitute a majority of the members of the committee;
(ii) School administrators;
(iii) Teachers;
(iv) Parents;
(v) Members of local boards of education;
(vi) Representatives of institutions of higher education; and
(vii) Students.
(2) School administrators, teachers, and members of local boards of
education may be counted as representatives of LEAs for purposes of
paragraph (c)(1)(i) of this section.
(Authority: 20 U.S.C. 2325 (a) and (d)(1); 2468a)
[[Page 16]]
Sec. 400.7 What are the provisions governing the issuance of State
core standards and measures of performance and State rules or
regulations?
(a)(1) State standards and measures. A State shall convene, on a
regular basis, the Committee established under Sec. 400.6 to review,
comment on, and propose revisions to a draft proposal that the State
board develops for a statewide system of core standards and measures of
performance for secondary, postsecondary, and adult vocational education
programs.
(2) The Committee shall make recommendations to the State board with
respect to modifying statewide standards and measures based on
information provided by the State under 34 CFR 403.201(d).
(b)(1) State rules and regulations. Except as provided in paragraph
(b)(2) of this section, before a State publishes any proposed or final
State rule or regulation for programs, services, or activities covered
by the Act, the State shall convene the Committee for the purpose of
reviewing the rule or regulation.
(2) In an emergency, in which a rule or regulation must be issued
within a very limited time period to assist eligible recipients with the
operation of projects, services, or activities, the State--
(i) May issue a proposed rule or regulation without meeting the
requirements in paragraph (b)(1) of this section; but
(ii) Shall immediately convene the Committee to review the rule or
regulation before it is issued in final form.
Cross Reference: See Sec. 400.9(c).
(3) If a State policy is binding on eligible recipients and has the
same effect as a formal rule or regulation, although it is not issued as
one, that policy is covered by this section.
(Authority: 20 U.S.C. 2325(a); 2468a)
Sec. 400.8 What are the provisions governing student assistance?
(a) The portion of any student financial assistance received under
the Act that is made available for attendance costs described in
paragraph (b) of this section may not be considered as income or
resources in determining eligibility for assistance under any other
program funded in whole or in part with Federal funds.
(b) For purposes of this section, attendance costs are--
(1) Tuition and fees normally assessed a student carrying the same
academic workload as determined by the institution, including costs for
rental or purchases of any equipment, materials, or supplies required of
all students in the same course of study; and
(2) An allowance for books, supplies, transportation, dependent
care, and miscellaneous personal expenses for a student attending an
institution on at least a half-time basis, as determined by the
institution.
(Authority: 20 U.S.C. 2466d)
Sec. 400.9 What additional requirements govern the Vocational and
Applied Technology Education Programs?
In addition to the Act, applicable Federal laws, and regulations,
the following requirements apply to Vocational and Applied Technology
Education Programs:
(a) A State that receives funds under the Act shall cooperate with
the Secretary in supplying the information the Secretary requires, in
the form the Secretary requires, and shall comply in its reports with
the information system developed by the Secretary under section 421 of
the Act.
(b) Nothing in the Act is to be construed to be inconsistent with
applicable Federal laws guaranteeing civil rights, or is intended to, or
has the effect of, limiting or diminishing any obligations imposed under
the IDEA or section 504 of the Rehabilitation Act of 1973 (29 U.S.C.
794).
(c) Any State rule, regulation, or policy imposed on the
administration or operation of programs funded under the Act, including
any rule, regulation, or policy based on a State's interpretation of any
Federal law, regulation, or guideline, must be identified as a State
imposed requirement.
(d) Funds provided under the Act may not be used for the purpose of
directly providing incentives or inducements to relocate a business or
enterprise from one State to another State if the relocation would
result in a reduction in the number of jobs available
[[Page 17]]
in the State where the business enterprise is located before the
incentives or inducements are offered.
(e) A State may not take into consideration payments under the Act
in determining for any educational agency or institution in that State
the eligibility for State aid or the amount of State aid with respect to
public education within the State.
(Approved by the Office of Management and Budget under Control No. 1830-
0030)
(Authority: 20 U.S.C. 2421, 2424, 2466c, 2468b, 2468c, and 2468e(a)(2))
Sec. 400.10 What are the reporting requirements?
(a) Recipients of grants and cooperative agreements shall report
information about students, projects, evaluations, dissemination,
expenditures, accomplishments, and any other information, as may be
required by the Secretary.
(b) Recipients of grants and cooperative agreements under--
(1) Parts 401, 402, 405, 408, 409, 413, 415, 416, 417, 419, 422,
423, 424, 425, 426, 427, and 428 shall submit performance reports at
least semi-annually;
(2) Part 412 shall submit monthly progress and financial status
reports and an annual impact report; and
(3) Part 413 shall submit monthly exception reports and quarterly
financial status reports.
(c) Recipients of grants under parts 403, 406, and 407 shall submit
annual performance and financial reports.
(Approved by the Office of Management and Budget under Control No. 1830-
0030)
(Authority: 20 U.S.C. 2301 et seq.)
PART 401_INDIAN VOCATIONAL EDUCATION PROGRAM--Table of Contents
Subpart A_General
Sec.
401.1 What is the Indian Vocational Education Program?
401.2 Who is eligible for an award?
401.3 What activities may the Secretary fund?
401.4 What regulations apply?
401.5 What definitions apply?
Subpart B_How Does One Apply for an Award?
401.10 How are applications submitted?
Subpart C_How Does the Secretary Make an Award?
401.20 How does the Secretary evaluate an application?
401.21 What selection criteria does the Secretary use?
401.22 What additional factors may the Secretary consider?
401.23 Is the Secretary's decision not to make an award under the Indian
Vocational Education Program subject to a hearing?
Subpart D_What Conditions Must Be Met After an Award?
401.30 How do the Indian Self-Determination Act and the Act of April 16,
1934 affect awards under the Indian Vocational Education
Program?
401.31 What are the evaluation requirements?
Authority: 20 U.S.C. 2313(b), unless otherwise noted.
Source: 57 FR 36730, Aug. 14, 1992, unless otherwise noted.
Subpart A_General
Sec. 401.1 What is the Indian Vocational Education Program?
The Indian Vocational Education Program provides financial
assistance to projects that provide vocational education for the benefit
of Indians.
(Authority: 20 U.S.C. 2313(b))
Sec. 401.2 Who is eligible for an award?
(a) The following entities are eligible for an award under this
program:
(1) A tribal organization of any Indian tribe that is eligible to
contract with the Secretary of the Interior under the Indian Self-
Determination and Education Assistance Act or under the Act of April 16,
1934.
(2) A Bureau-funded school offering a secondary program.
(b) Any tribal organization or Bureau-funded school described in
paragraph (a) of this section may apply individually or jointly as part
of a consortium with one or more eligible tribal organizations or
schools.
[[Page 18]]
(c)(1) A consortium shall enter into an agreement signed by all
members of the consortium, and designating one member of the consortium
as the applicant and grantee.
(2) The agreement must detail the activities each member of the
consortium plans to perform, and must bind each member to every
statement and assurance made in the application.
(3) The applicant shall submit the agreement with its application.
Cross Reference: See 34 CFR 75.127-75.129--Group applications.
(Authority: 20 U.S.C. 2313(b))
Sec. 401.3 What activities may the Secretary fund?
(a) The Secretary provides financial assistance through grants,
contracts, or cooperative agreements to plan, conduct, and administer
projects or portions of projects that are authorized by and consistent
with the purposes of the Act. In the case of a grant to a Bureau-funded
school, the Secretary provides a minimum grant of $35,000.
(b) Projects funded under this program are in addition to other
programs, services, and activities made available under other provisions
of the Act to--
(1) Eligible Indians in need of vocational education; and
(2) Eligible Indian tribes as community-based organizations that
receive State vocational education assistance.
(c) An award under this program may be used to provide a stipend to
a student who--
(1) Is enrolled in a vocational education project funded under this
program; and
(2) Has an acute economic need that cannot be met through work-study
programs.
(d) The amount of a stipend may be the greater of either the minimum
hourly wage prescribed by State or local law, or the minimum hourly wage
set under the Fair Labor Standards Act. A stipend may not be paid for
time a student is not in attendance in a project.
(Authority: 20 U.S.C. 2313(b) (1) and (3))
Sec. 401.4 What regulations apply?
The following regulations apply to the Indian Vocational Education
Program:
(a) The regulations in 34 CFR part 400 (except that 34 CFR parts 79
and 82 do not apply to this program).
(b) The regulations in this part 401.
(Authority: 20 U.S.C. 2313(b))
Sec. 401.5 What definitions apply?
(a) The definitions in 34 CFR 400.4 apply to this part.
(b) The following definitions also apply to this part:
Act of April 16, 1934 means the Federal law commonly known as the
``Johnson-O'Malley Act'' that authorizes the Secretary of the Interior
to make contracts for the education of Indians and other purposes (25
U.S.C. 455-457).
Acute economic need means an income that is at or below the national
poverty level according to the latest available data from the Department
of Commerce or the Department of Health and Human Services Poverty
Guidelines.
Bureau means the Bureau of Indian Affairs, Department of the
Interior.
Bureau-funded school means--
(1) A Bureau-operated elementary or secondary day or boarding school
or a Bureau-operated dormitory for students attending a school other
than a Bureau school;
(2) An elementary or secondary school or a dormitory that receives
financial assistance for its operation under a contract or agreement
with the Bureau under sections 102, 104(1), or 208 of the Indian Self-
Determination and Education Assistance Act (25 U.S.C. 450f, 450h(1), and
458d); or
(3) A school for which assistance is provided under the Tribally
Controlled Schools Act of 1988.
(Authority: 20 U.S.C. 2313(b); 25 U.S.C. 2019 (3), (4), and (5))
Indian means a person who is a member of an Indian tribe.
(Authority: 25 U.S.C. 450b(d))
Indian tribe means any Indian tribe, band, Nation, or other
organized group or community, including any Alaska Native village or
regional or village corporation as defined in or established
[[Page 19]]
pursuant to the Alaska Native Claims Settlement Act (85 Stat. 688) that
is federally recognized as eligible for the special programs and
services provided by the United States to Indians because of their
status as Indians.
(Authority: 25 U.S.C. 450b(e))
Stipend means a subsistence allowance for a student that is
necessary for the student to participate in a project funded under this
program.
Tribal organization means the recognized governing body of any
Indian tribe or any legally established organization of Indians that is
controlled, sanctioned, or chartered by that governing body or that is
democratically elected by the adult members of the Indian community to
be served by the organization and that includes the maximum
participation of Indians in all phases of its activities. However, in
any case where a contract is let or grant made to an organization to
perform services benefiting more than one Indian tribe, the approval of
each of those Indian tribes must be a prerequisite to the letting or
making of that contract or grant.
(Authority: 20 U.S.C. 2313(a)(1)(A), (b); 25 U.S.C. 450b(l))
Subpart B_How Does One Apply for an Award?
Sec. 401.10 How are applications submitted?
(a) An application from a tribal organization, other than a Bureau-
funded school, must be submitted to the Secretary by the Indian tribe.
(b) An application for a project to serve more than one Indian tribe
must be approved by each tribe to be served.
(c) An application from a Bureau-funded school may be submitted
directly to the Secretary.
(Authority: 20 U.S.C. 2313(b)(1); 25 U.S.C. 450b)
Subpart C_How Does the Secretary Make an Award?
Sec. 401.20 How does the Secretary evaluate an application?
(a) The Secretary evaluates an application on the basis of the
criteria in Sec. 401.21.
(b) The Secretary may award up to 100 points, including a reserved
15 points to be distributed in accordance with paragraph (d) of this
section, based on the criteria in Sec. 401.21.
(c) Subject to paragraph (d) of this section, the maximum possible
score for each criterion is indicated in parentheses after the heading
for each criterion.
(d) For each competition, as announced through a notice published in
the Federal Register, the Secretary may assign the reserved points among
the criteria in Sec. 401.21.
(e) In addition to the 100 points to be awarded based on the
criteria in Sec. 401.21, the Secretary awards--
(1) Up to 5 points to applications that propose exemplary approaches
that involve, coordinate with, or encourage tribal economic development
plans; and
(2) Five points to applications from tribally controlled community
colleges that--
(i) Are accredited or are candidates for accreditation by a
nationally recognized accreditation organization as an institution of
postsecondary vocational education; or
(ii) Operate vocational education programs that are accredited or
are candidates for accreditation by a nationally recognized
accreditation organization and issue certificates for completion of
vocational education programs.
(Authority: 20 U.S.C. 2313(b))
Sec. 401.21 What selection criteria does the Secretary use?
The Secretary uses the following criteria to evaluate an
application:
(a) Program factors. (20 points) The Secretary reviews each
application to determine the extent to which it--
(1) Proposes measurable goals for student enrollment, completion,
and placement (including placement in jobs
[[Page 20]]
or military specialties and in continuing education or training
opportunities) that are realistic in terms of stated needs, resources,
and job opportunities in each occupation for which training is to be
provided;
(2) Proposes goals that take into consideration any related goals or
standards developed for Job Opportunities and Basic Skills (JOBS)
programs (42 U.S.C. 681 et seq.) and Job Training Partnership Act (JTPA)
(29 U.S.C. 1501 et seq.) training programs operating in the area, and,
where appropriate, any goals set by the State board for vocational
education for the occupation and geographic area;
(3) Describes, for each occupation for which training is to be
provided, how successful program completion will be determined in terms
of academic and vocational competencies demonstrated by enrollees prior
to completion and any academic or work credentials acquired by enrollees
upon completion;
(4) Demonstrates the active commitment in the project's planning and
operation by advisory committees, tribal planning offices, the JOBS
program office, the JTPA program director, and potential employers such
as tribal enterprises, private enterprises (on or off reservation), and
other organizations;
(5) Is targeted to individuals with inadequate skills to assist
those individuals in obtaining new employment; and
(6) Includes a thorough description of the approach to be used
including some or all of the following components:
(i) Methods of participant selection.
(ii) Assessment and feedback of participant progress.
(iii) Coordination of vocational instruction, academic instruction,
and support services such as counseling, transportation, and child care.
(iv) Curriculum and, if appropriate, approaches for providing on-
the-job training experience.
(b) Need. (15 points) The Secretary reviews each application to
determine the extent to which the project addresses specific needs,
including--
(1) The job market and related needs (such as educational level) of
the target population;
(2) Characteristics of that population, including an estimate of
those to be served by the project;
(3) How the project will meet the needs of the target population;
and
(4) A description of any ongoing and planned activities relative to
those needs, including, if appropriate, how the State plan developed
under 34 CFR 403.30 through 403.34 is designed to meet those needs.
(c) Plan of operation. (15 points) The Secretary reviews each
application to determine the quality of the plan of operation for the
project, including--
(1) The establishment of objectives that are clearly related to
project goals and activities and are measurable with respect to
anticipated enrollments, completions, and placements;
(2) A management plan that describes the chain of command, how staff
will be managed, how coordination among staff will be accomplished, and
timelines for each activity; and
(3) The way the applicant intends to use its resources and personnel
to achieve each objective.
(d) Key personnel. (10 points) (1) The Secretary reviews each
application to determine the quality of key personnel the applicant
plans to use on the project, including--
(i) The qualifications of the project director;
(ii) The qualifications of each of the other key personnel to be
used on the project;
(iii) The time, including justification for the time that each one
of the key personnel, including the project director, will commit to the
project; and
(iv) Subject to the Indian preference provisions of the Indian Self-
Determination Act (25 U.S.C. 450 et seq.) that apply to grants and
contracts to tribal organizations, how the applicant, as part of its
nondiscriminatory employment practices, will ensure that its personnel
are selected for employment without regard to race, color, national
origin, gender, age, or disabling condition.
(2) To determine personnel qualifications, the Secretary considers--
(i) The experience and training of key personnel in project
management and in fields particularly related to the objectives of the
project; and
(ii) Any other qualifications of key personnel that pertain to the
quality of the project.
[[Page 21]]
(e) Budget and cost effectiveness. (5 points) The Secretary reviews
each application to determine the extent to which--
(1) The budget is adequate to support the project activities;
(2) Costs are reasonable in relation to the objectives of the
project and the number of participants to be served; and
(3) The budget narrative justifies the expenditures.
(f) Evaluation plan. (10 points) The Secretary reviews each
application to determine the quality of the evaluation plan for the
project, including the extent to which--
(1) The plan identifies, at a minimum, types of data to be collected
and reported with respect to the academic and vocational competencies
demonstrated by participants and the number and kind of academic and
work credentials acquired by participants who complete the training;
(2) The plan identifies, at a minimum, types of data to be collected
and reported with respect to the achievement of project goals for the
enrollment, completion, and placement of participants. The data must be
broken down by sex and by occupation for which the training was
provided;
(3) The methods of evaluation are appropriate for the project and,
to the extent possible, are objective and produce data that are
quantifiable; and
(4) The methods of evaluation provide periodic data that can be used
by the project for ongoing program improvement.
(g) Employment opportunities. (10 points) The Secretary reviews each
application to determine the quality of the plan for job placement of
participants who complete training under this program, including--
(1) The expected employment opportunities (including any military
specialties) and any additional educational or training opportunities
that are related to the participants' training;
(2) Information and documentation concerning potential employers'
commitment to hire participants who complete the training; and
(3) An estimate of the percentage of trainees expected to be
employed (including self-employed individuals) in the field for which
they were trained following completion of the training.
(Approved by the Office of Management and Budget under Control No. 1830-
0013)
(Authority: 20 U.S.C. 2313(b))
Sec. 401.22 What additional factors may the Secretary consider?
The Secretary may decide not to award a grant or cooperative
agreement if--
(a) The proposed project duplicates an effort already being made; or
(b) Funding the project would create an inequitable distribution of
funds under this part among Indian tribes.
(Authority: 20 U.S.C. 2313(b))
Sec. 401.23 Is the Secretary's decision not to make an award under
the Indian Vocational Education Program subject to a hearing?
(a) After receiving written notice from an authorized official of
the Department that the Secretary will not award a grant or cooperative
agreement to an eligible applicant under Sec. 401.2(a)(1), an Indian
tribal organization has 30 calendar days to make a written request to
the Secretary for a hearing to review the Secretary's decision.
(b) Within 10 business days of the Department's receipt of a hearing
request, the Secretary designates a Department employee who is not
assigned to the Office of Vocational and Adult Education to serve as a
hearing officer. The hearing officer conducts a hearing and issues a
written decision within 75 calendar days of the Department's receipt of
the hearing request. The hearing officer establishes rules for the
conduct of the hearing. The hearing officer conducts the hearing solely
on the basis of written submissions unless the officer determines, in
accordance with standards in 34 CFR 81.6(b), that oral argument or
testimony is necessary.
(c) The Secretary does not make any award under this part to an
Indian tribal organization until the hearing officer issues a written
decision on any appeal brought under this section.
(Approved by the Office of Management and Budget under Control No. 1830-
0013)
(Authority: 20 U.S.C. 2313(b); 25 U.S.C. 450f)
[[Page 22]]
Subpart D_What Conditions Must Be Met After an Award?
Sec. 401.30 How do the Indian Self-Determination Act and the Act of
April 16, 1934 affect awards under the Indian Vocational Education
Program?
(a) Grants, cooperative agreements, or contracts with tribal
organizations are subject to the terms and conditions of section 102 of
the Indian Self-Determination Act (25 U.S.C. 450f). These awards must be
conducted by the recipient or contractor in accordance with the
provisions of sections 4, 5, and 6 of the Act of April 16, 1934, that
are relevant to the projects administered under this part. Section 4
contains requirements pertaining to submission of an education plan by a
contractor. Section 5 pertains to participation of parents of Indian
children. Section 6 pertains to reimbursement for educating non-resident
students.
(b) Grants to Bureau-funded schools are not subject to the
requirements of the Indian Self-Determination Act or the Act of April
16, 1934.
(Authority: 20 U.S.C. 2313 (b)(1)(A)(ii)(I) and (II))
Sec. 401.31 What are the evaluation requirements?
(a) Each grantee shall annually provide and budget for either an
internal or external evaluation, or both, of its activities.
(b) The evaluation must be both formative and summative in nature.
(c) The annual evaluation must include--
(1) Descriptions and analyses of the accuracy of records and the
validity of measures used by the project to establish and report on the
academic and vocational competencies demonstrated and the academic and
work credentials acquired;
(2) Descriptions and analyses of the accuracy of records and the
validity of measures used by the project to establish and report on
participant enrollment, completion, and placement by sex and socio-
economic status for each occupation for which training has been
provided;
(3) The grantee's progress in achieving the objectives in its
approved application, including any approved revisions of the
application;
(4) If applicable, actions taken by the grantee to address
significant barriers impeding progress; and
(5) The effectiveness of the project in promoting key elements for
participants' job readiness, including--
(i) Coordination of services;
(ii) Improved attendance rates; and
(iii) Improved basic and vocational skills competencies.
(Approved by the Office of Management and Budget under Control Number
1830-0013)
(Authority: 20 U.S.C. 2313(b))
PART 402_NATIVE HAWAIIAN VOCATIONAL EDUCATION PROGRAM--
Table of Contents
Subpart A_General
Sec.
402.1 What is the Native Hawaiian Vocational Education Program?
402.2 Who is eligible for an award?
402.3 What activities may the Secretary fund?
402.4 What regulations apply?
402.5 What definitions apply?
Subpart B [Reserved]
Subpart C_How does the Secretary Make an Award?
402.20 How does the Secretary evaluate an application?
402.21 What selection criteria does the Secretary use?
Subpart D_What Conditions Must Be Met After an Award?
402.30 What are the evaluation requirements?
Authority: 20 U.S.C. 2313(c), unless otherwise noted.
Source: 57 FR 36733, Aug. 14, 1992, unless otherwise noted.
Subpart A_General
Sec. 402.1 What is the Native Hawaiian Vocational Education Program?
The Native Hawaiian Vocational Education Program provides financial
[[Page 23]]
assistance to projects that provide vocational training and related
activities for the benefit of native Hawaiians.
(Authority: 20 U.S.C. 2313(c))
Sec. 402.2 Who is eligible for an award?
Any organization that primarily serves and represents native
Hawaiians and that is recognized by the Governor of the State of Hawaii
is eligible to apply for an award under this program.
(Authority: 20 U.S.C. 2313(c))
Sec. 402.3 What activities may the Secretary fund?
The Secretary provides assistance through grants, contracts, or
cooperative agreements to plan, conduct, and administer programs, or
portions of programs, that provide vocational training and related
activities for the benefit of native Hawaiians.
(Authority: 20 U.S.C. 2313(c))
Sec. 402.4 What regulations apply?
The following regulations apply to the Native Hawaiian Vocational
Education Program:
(a) The regulations in 34 CFR part 400.
(b) The regulations in this part 402.
(Authority: 20 U.S.C. 2313(c))
Sec. 402.5 What definitions apply?
The following definitions apply to the Native Hawaiian Vocational
Education Program:
(a) The definitions in 34 CFR 400.4 apply to this part.
(b) The following definition also applies to this part:
Native Hawaiian means any individual who has any ancestors who were
natives, prior to 1778, of the area that now comprises the State of
Hawaii.
(Authority: 20 U.S.C. 2313(a)(1)(B))
Subpart B [Reserved]
Subpart C_How Does the Secretary Make an Award?
Sec. 402.20 How does the Secretary evaluate an application?
(a) The Secretary evaluates an application for a grant or
cooperative agreement on the basis of the criteria in Sec. 402.21.
(b) The Secretary may award up to 100 points, including a reserved
15 points to be distributed in accordance with paragraph (d) of this
section, based on the criteria in Sec. 402.21.
(c) Subject to paragraph (d) of this section, the maximum possible
points for each criterion is indicated in parentheses after the heading
for each criterion.
(d) For each competition, as announced in a notice published in the
Federal Register, the Secretary may assign the reserved 15 points among
the criteria in Sec. 402.21.
(Authority: 20 U.S.C. 2313(c))
Sec. 402.21 What selection criteria does the Secretary use?
The Secretary uses the following selection criteria to evaluate an
application:
(a) Program design. (35 points) The Secretary reviews each
application to determine the extent to which--
(1) The application presents a complete program design, including
identifying the services to be provided, who will provide them, how they
will be provided, and the expected outcomes for each activity;
(2) The proposed program is designed to meet the identified
vocational education needs of native Hawaiians;
(3) The application proposes an effective plan for coordination with
the office of the Hawaii State director for vocational education; and
(4) If vocational training is proposed within the project--
(i) Proposes measurable goals for student enrollment, completion,
and placement.
(ii) Proposes goals that take into consideration any related
standards and measures developed for Job Opportunities and Basic Skills
(JOBS) programs (42 U.S.C. 681 et seq.) and any Job Training Partnership
Act (JTPA) (29 U.S.C. 1501 et seq.) programs in that geographic area;
(iii) Proposes goals that take into consideration any standards set
by the State board for vocational education for the occupation and
geographic area; and
[[Page 24]]
(iv) Describes how successful program completion will be determined
for each occupation for which training is to be provided, in terms of
the academic and vocational competencies demonstrated by enrollees prior
to successful completion and any academic or work credentials acquired
upon completion.
(b) Management plan. (25 points) The Secretary reviews each
application to determine the quality of the management plan for the
project, including--
(1) The chain of command, how staff will be managed, how
coordination among staff will be accomplished, and timelines for each
activity;
(2) A clear description of the interrelationship among goals,
objectives, and activities;
(3) The way the applicant plans to use the resources and personnel
from the grant to achieve each objective; and
(4) How any contracts awarded by the grantee will be awarded,
monitored, and evaluated.
(c) Key personnel. (10 points)
(1) The Secretary reviews each application to determine the quality
of key personnel the applicant plans to use on the project, including--
(i) The qualifications of the project director;
(ii) The qualifications of each of the other key personnel to be
used on the project;
(iii) The time, including justification for the time, that each one
of the key personnel, including the project director, will commit to the
proposed project; and
(iv) How the applicant, as part of its nondiscriminatory employment
practices, will ensure that personnel for this project are selected for
employment without regard to race, color, national origin, gender, age,
or disabling condition.
(2) To determine personnel qualifications, the Secretary considers--
(i) The experience and training of key personnel in project
management and in fields particularly related to the objectives of the
project; and
(ii) Any other qualifications of key personnel that pertain to the
quality of the project.
(d) Evaluation plan. (10 points)
(1) The Secretary reviews each application to determine the quality
of the project's plan for an independent evaluation of the project,
including, if applicable, the extent to which the plan includes
activities during the formative stages of the project to help guide and
improve the project, as well as a final evaluation that includes summary
data and recommendations.
(2) The Secretary reviews each application to determine whether, for
any training programs proposed--
(i) The plan identifies, at a minimum, types of data to be collected
and reported with respect to the academic and vocational competencies
demonstrated by participants and the number and kinds of academic and
work credentials acquired by completers; and
(ii) The plan identifies, at a minimum, types of data to be
collected and reported with respect to enrollment, completion, and
placement of participants by sex and socio-economic status for each
occupation for which training is provided.
(e) Budget and cost-effectiveness. (5 points) The Secretary reviews
each application to determine the extent to which--
(1) The budget is detailed and tied to the proposed activities;
(2) The budget narrative is explanatory and justifies expenses;
(3) The budget is adequate to support the project; and
(4) Costs are reasonable in relation to the objectives of the
project.
(Approved by the Office of Management and Budget under Control No. 1830-
0013)
(Authority: 20 U.S.C. 2313(c))
Subpart D_What Conditions Must Be Met After an Award?
Sec. 402.30 What are the evaluation requirements?
(a) Each grantee shall annually provide and budget for an external
evaluation of its activities.
(b) The evaluation must be both formative and summative in nature.
(c) The annual evaluation must include--
[[Page 25]]
(1) The grantee's progress in achieving the objectives in its
approved application, including any approved revisions of the
application; and
(2) If applicable, actions taken by the grantee to address
significant barriers impeding progress when training is provided by the
project, including--
(i) Descriptions and analyses of the accuracy of records and the
validity of measures used by the project to establish and report on the
academic and vocational competencies demonstrated and the academic and
work credentials acquired; and
(ii) Descriptions and analyses of the accuracy of records and the
validity of measures used by the project to establish and report on
participant enrollment, completion, and placement by sex and socio-
economic status for each occupation for which training has been
provided.
(Approved by the Office of Management and Budget under Control No. 1830-
0013)
(Authority: 20 U.S.C. 2313(c))
PART 403_STATE VOCATIONAL AND APPLIED TECHNOLOGY EDUCATION
PROGRAM--Table of Contents
Subpart A_General
Sec.
403.1 What is the State Vocational and Applied Technology Education
Program?
403.2 Who is eligible for an award?
403.3 What regulations apply?
403.4 What definitions apply?
Subpart B_What Are the State's Organizational and Planning
Responsibilities?
403.10 What is the State board?
403.11 What are the principal responsibilities of the State board?
403.12 What are the additional responsibilities of the State board?
403.13 What are the personnel requirements regarding the elimination of
sex discrimination and sex stereotyping?
403.14 What are the personnel requirements regarding coordination with
services for individuals with disabilities?
403.15 What are the personnel requirements regarding coordination with
services under chapter 1 of title I of the Elementary and
Secondary Education Act?
403.16 What are the personnel requirements regarding coordination with
programs for individuals of limited English proficiency?
403.17 What are the State's responsibilities regarding a State council
on vocational education?
403.18 What are the membership requirements of a State council on
vocational education?
403.19 What are the responsibilities of a State council on vocational
education?
Subpart C_How Does a State Apply for a Grant?
403.30 What documents must a State submit to receive a grant?
403.31 How is the State plan developed?
403.32 What must the State plan contain?
403.33 What procedures does a State use to submit its State plan?
403.34 When are amendments to the State plan required?
Subpart D_How Does the Secretary Make a Grant to a State?
403.50 How does the Secretary make allotments?
403.51 How does the Secretary make reallotments?
403.52 When does the Secretary approve State plans and amendments?
Subpart E_What Kinds of Activities Does the Secretary Assist Under the
Basic Programs?
General
403.60 What are the basic programs?
403.61 What projects, services, and activities are permissible under the
basic programs?
403.62 What administrative provisions apply?
403.63 How does a State carry out the State Vocational and Applied
Technology Education Program?
State Programs and State Leadership Activities
403.70 How must funds be used under the State Programs and State
Leadership Activities?
403.71 In what additional ways may funds be used under the State
Programs and State Leadership Activities?
Single Parents, Displaced Homemakers, and Single Pregnant Women Program
403.80 Who is eligible for a subgrant or contract?
403.81 How must funds be used under the Single Parents, Displaced
Homemakers, and Single Pregnant Women Program?
403.82 In what settings may the Single Parents, Displaced Homemakers,
and Single Pregnant Women Program be offered?
[[Page 26]]
Sex Equity Program
403.90 Who is eligible for a subgrant or contract?
403.91 How must funds be used under the Sex Equity Program?
403.92 Under what circumstances may the age limit under the Sex Equity
Program be waived?
Programs for Criminal Offenders
403.100 What are the requirements for designating a State corrections
educational agency to administer the Programs for Criminal
Offenders?
403.101 How must funds be used under the Programs for Criminal
Offenders?
403.102 What other requirements apply to the Program for Criminal
Offenders?
Secondary, Postsecondary, and Adult Vocational Education Programs
403.110 Who is eligible for a subgrant or contract?
403.111 How must funds be used under the Secondary School Vocational
Education Program and the Postsecondary and Adult Vocational
Education Programs?
403.112 How does a State allocate funds under the Secondary School
Vocational Education Program to local educational agencies?
403.113 How does a State allocate funds under the Secondary School
Vocational Education Program to area vocational education
schools and intermediate educational agencies?
403.114 How does a State determine the number of economically
disadvantaged students attending vocational education programs
under the Secondary School Vocational Education Program?
403.115 What appeal procedures must be established under the Secondary
School Vocational Education Program?
403.116 How does a State allocate funds under the Postsecondary and
Adult Vocational Education Programs?
403.117 What definitions apply to the Postsecondary and Adult Vocational
Education Programs?
403.118 Under what circumstances may the Secretary waive the
distribution requirements for the Postsecondary and Adult
Vocational Education Programs?
403.119 Under what circumstances may the State waive the distribution
requirements for Secondary School Vocational Education Program
or the Postsecondary and Adult Vocational Education Programs?
403.120 How does a State reallocate funds under the Secondary School
Vocational Education Program and the Postsecondary and Adult
Vocational Education Programs?
Subpart F_What Kinds of Activities Does the Secretary Assist Under the
Special Programs?
General
403.130 What are the Special Programs?
403.131 Who is eligible for an award under the Special Programs?
Vocational Education Support Programs by Community-Based Organizations
403.140 What activities does the Secretary support under the State
Assistance for Vocational Education Support Programs by
Community-Based Organizations?
403.141 What are the application requirements for the State Assistance
for Vocational Education Support Programs by Community-Based
Organizations?
Consumer and Homemaking Education Programs
403.150 What activities does the Secretary support under the Consumer
and Homemaking Education Programs?
403.151 How must funds be used under the Consumer and Homemaking
Education Programs?
Comprehensive Career Guidance and Counseling Programs
403.160 What activities does the Secretary support under the
Comprehensive Career Guidance and Counseling Programs?
403.161 How must funds be used under the Comprehensive Career Guidance
and Counseling Programs?
Business-Labor-Education Partnership for Training Program
403.170 What activities does the Secretary support under the Business-
Labor-Education Partnership for Training Program?
403.171 Who is eligible to apply to a State board for an award?
403.172 What special considerations must the State board give in
approving projects, services, and activities?
403.173 What expenses are allowable?
403.174 What additional fiscal requirements apply to the Business-Labor-
Education Partnership for Training Program?
Subpart G_What Financial Conditions Must Be Met by a State?
403.180 How must a State reserve funds for the basic programs?
403.181 What are the cost-sharing requirements applicable to the basic
programs?
[[Page 27]]
403.182 What is the maintenance of fiscal effort requirement?
403.183 Under what circumstances may the Secretary waive the maintenance
of effort requirement?
403.184 How does a State request a waiver of the maintenance of effort
requirement?
403.185 How does the Secretary compute maintenance of effort in the
event of a waiver?
403.186 What are the administrative cost requirements applicable to a
State?
403.187 How may a State provide technical assistance?
403.188 What is a State's responsibility for the cost of services and
activities for members of special populations?
Subpart H_What Conditions Must Be Met by Local Recipients?
403.190 What are the requirements for receiving a subgrant or contract?
403.191 What are the requirements for program evaluation?
403.192 What are the requirements for program improvement?
403.193 What are the information requirements regarding special
populations?
403.194 What are the comparability requirements?
403.195 What are the administrative cost requirements applicable to
local recipients?
403.196 What are the requirements regarding supplanting?
403.197 What are the requirements for the use of equipment?
Subpart I_What Are the Administrative Responsibilities of a State Under
the State Vocational and Applied Technology Education Program?
403.200 What are the State's responsibilities for ensuring compliance
with the comparability requirements?
403.201 What are the State's responsibilities for developing and
implementing a statewide system of core standards and measures
of performance?
403.202 What must each State's system of core standards and measures of
performance include?
403.203 What are the State's responsibilities for a State assessment?
403.204 What are the State's responsibilities for program evaluation and
improvement?
403.205 What are the State's responsibilities for members of special
populations?
403.206 What are the State's responsibilities regarding a State
occupational information coordinating committee?
403.207 What are the State's responsibilities to the National Center or
Centers for Research in Vocational Education?
403.208 What are the requirements regarding supplanting?
Appendix A to Part 403--Examples for 34 CFR 403.111(a) and 403.111(c)(3)
Appendix B to Part 403--Examples for 34 CFR 403.194--Comparability
Requirements
Authority: 20 U.S.C. 2301 et seq., unless otherwise noted.
Source: 57 FR 36735, Aug. 14, 1992, unless otherwise noted.
Subpart A_General
Sec. 403.1 What is the State Vocational and Applied Technology
Education Program?
(a) Under the State Vocational and Applied Technology Education
Program, the Secretary makes grants to States, to assist them, local
educational agencies, postsecondary educational institutions, and other
agencies and institutions to administer and conduct vocational education
programs that are authorized by the Act.
(b) The State Vocational and Applied Technology Education Program
consists of the programs under the basic programs for vocational
education authorized by title II of the Act and listed in Sec. 403.60,
and the special programs authorized by title III of the Act that are
covered by the State plan and listed in Sec. 403.130.
(Authority: 20 U.S.C. 2301 et seq.)
Sec. 403.2 Who is eligible for an award?
Except as otherwise provided in Sec. 403.131, a State is eligible
for an award under the State Vocational and Applied Technology Education
Program.
(Authority: 20 U.S.C. 2311 and 2311a)
Sec. 403.3 What regulations apply?
The following regulations apply to the State Vocational and Applied
Technology Education Program:
(a) The regulations in 34 CFR part 400.
(b) The regulations in this part 403.
(Authority: 20 U.S.C. 2301 et seq.)
[[Page 28]]
Sec. 403.4 What definitions apply?
The definitions in 34 CFR 400.4 apply to the State Vocational and
Applied Technology Education Program.
(Authority: 20 U.S.C. 2471)
Subpart B_What Are the State's Organizational and Planning
Responsibilities?
Sec. 403.10 What is the State board?
A State that desires to participate in the programs authorized by
the Act shall, consistent with State law, designate or establish a State
board of vocational education (State board). The State board must be the
sole State agency responsible for the administration or the supervision
of the State's vocational and applied technology education program.
(Authority: 20 U.S.C. 2321(a))
Sec. 403.11 What are the principal responsibilities of the State
board?
The principal responsibilities of the State board must include--
(a) The coordination of the development, submission, and
implementation of the State plan;
(b) The evaluation of the programs, services, and activities
assisted under the Act, as required by Sec. Sec. 403.32 (a)(7) and
(b)(9) and 403.201 through 403.204;
(c) The development, in consultation with the State council on
vocational education, of the State plan and its submission to the
Secretary, as required by Sec. Sec. 403.30 through 403.34;
(d) Consultation with the State council on vocational education and
other appropriate agencies, groups, and individuals, including business,
industry, and labor, involved in the planning, administration,
evaluation, and coordination of programs funded under the Act;
(e) Convening and meeting as a State board, consistent with
applicable State law and procedure, when the State board determines it
is necessary to meet to carry out its functions under the Act, but not
less than four times annually; and
(f) The adoption of those procedures the State board considers
necessary to implement State level coordination with the State job
training coordinating council in order to encourage cooperation between
programs under the Act and programs under the Job Training Partnership
Act (JTPA) (29 U.S.C. 1501 et seq.).
(Authority: 20 U.S.C. 2321(a))
Sec. 403.12 What are the additional responsibilities of the State
board?
(a) The State board shall make available to each private industry
council established within the State under section 102 of the JTPA a
current listing of all programs assisted under the Act.
(b)(1) The State board, in consultation with the State council on
vocational education established under Sec. 403.17, shall establish a
limited number of (but at least two) technical committees to advise the
State council and the State board on the development of model curricula
to address State labor market needs. The technical committees shall
develop an inventory of skills that may be used by the State board to
define state-of-the-art model curricula. This inventory must identify
the type and level of knowledge and skills needed for entry, retention,
and advancement in occupational areas taught in the State.
(2) The State board shall establish procedures that are consistent
with the purposes of the Act for membership, operation, and duration of
the technical committees. Their membership must be composed of
representatives of--
(i) Employers from any relevant industry or occupation for which the
committee is established;
(ii) Trade or professional organizations representing any relevant
occupations; and
(iii) Organized labor, if appropriate.
(c) Except for the functions described in Sec. 403.11, the State
board may delegate any of its other administrative, operational, or
supervisory responsibilities, in whole or in part, to one or more
appropriate State agencies.
(d) The State board shall carry out the responsibilities described
in Sec. Sec. 403.13 through 403.18 and 403.200 through 403.208.
(Approved by the Office of Management and Budget under Control No. 1830-
0030)
(Authority: 20 U.S.C. 2321(a)(1), (f), (g))
[[Page 29]]
Sec. 403.13 What are the personnel requirements regarding the
elimination of sex discrimination and sex stereotyping?
(a) A State that desires to participate in the State Vocational and
Applied Technology Education Program shall assign one individual, within
the appropriate agency established or designated by the State board
under Sec. 403.12(c), to administer vocational education programs
within the State, to work full-time to assist the State board to fulfill
the purposes of the Act by--
(1) Administering the program of vocational education for single
parents, displaced homemakers, and single pregnant women described in
Sec. 403.81, and the sex equity program described in Sec. 403.91;
(2) Gathering, analyzing, and disseminating data on the--
(i) Adequacy and effectiveness of vocational education programs in
the State in meeting the education and employment needs of women,
including the preparation of women for employment in technical
occupations, new and emerging occupational fields, and occupations
regarded as nontraditional for women; and
(ii) Status of men and women students and employees in the programs
described in paragraph (a)(2)(i) of this section;
(3) Reviewing and commenting upon, and making recommendations
concerning, the plans of local educational agencies, area vocational
education schools, intermediate educational agencies, and postsecondary
educational institutions to ensure that the needs of women and men for
training in nontraditional jobs are met;
(4)(i) Reviewing vocational educational programs, including career
guidance and counseling, for sex stereotyping and sex bias, with
particular attention to practices that tend to inhibit the entry of
women in high technology occupations; and
(ii) Submitting recommendations, to the State board for inclusion in
the State plan, for programs and policies to overcome sex bias and sex
stereotyping in the programs described in paragraph (a)(4)(i) of this
section;
(5) Submitting to the State board an assessment of the State's
progress in meeting the purposes of the Act with regard to overcoming
sex discrimination and sex stereotyping;
(6) Reviewing proposed actions on grants, contracts, and the
policies of the State board to ensure that the needs of women are
addressed in the administration of the Act;
(7) Developing recommendations for programs of information and
outreach to women concerning vocational education and employment
opportunities for women, including opportunities for careers as
technicians and skilled workers in technical fields and new and emerging
occupational fields;
(8) Providing technical assistance and advice to local educational
agencies, postsecondary institutions, and other interested parties in
the State on expanding vocational opportunities for women;
(9) Assisting administrators, instructors, and counselors in
implementing programs and activities to increase access for women,
including displaced homemakers and single heads of households, to
vocational education and to increase male and female students'
enrollment in nontraditional programs;
(10) Developing an annual plan for the use of all funds available
for programs described in Sec. Sec. 403.81 and 403.91;
(11) Managing the distribution of funds pursuant to Sec. Sec.
403.81 and 403.91;
(12) Monitoring the use of funds distributed to recipients under
Sec. Sec. 403.81 and 403.91;
(13) Evaluating the effectiveness of programs and activities
supported by funds under Sec. Sec. 403.81 and 403.91;
(14) On a competitive basis, allocating and distributing to eligible
recipients or community-based organizations subgrants or contracts to
carry out the Programs for Single Parents, Displaced Homemakers, and
Single Pregnant Women and the Sex Equity Program;
(15) Ensuring that each subgrant or contract awarded under the
Programs for Single Parents, Displaced Homemakers, and Single Pregnant
Women and the Sex Equity Program is of sufficient size, scope, and
quality to be effective;
[[Page 30]]
(16) Developing procedures for the collection from eligible
recipients or community-based organizations that receive funds under
Sec. Sec. 403.81 and 403.91 of data appropriate to the individuals
served in programs under Sec. Sec. 403.81 and 403.91 in order to permit
an evaluation of effectiveness of those programs as required by
paragraph (a)(13) of this section; and
(17) Cooperating in the elimination of sex bias and sex stereotyping
in Consumer and Homemaking Education Programs.
(b) A State shall, in accordance with Sec. 403.180(b)(4)(i),
reserve at least $60,000 to carry out the provisions of paragraph (a) of
this section, including the provision of necessary and reasonable staff
support.
(c) For the purposes of this section, the term ``State'' includes
only the fifty States and the District of Columbia.
(Approved by the Office of Management and Budget under Control No. 1830-
0030)
(Authority: 20 U.S.C. 2312(a)(4)(A), 2321(b), 2335b, 2362(a)(3))
Sec. 403.14 What are the personnel requirements regarding coordination
with services for individuals with disabilities?
(a) A State desiring to participate in programs authorized by the
Act shall designate or assign the head of the State office responsible
for administering part B of the Individuals with Disabilities Education
Act (IDEA) (20 U.S.C. 1400 et seq.) to review the implementation of the
provisions of the Act as they relate to students with disabilities by
reviewing all or a representative sample of applications of eligible
recipients to ensure that--
(1) Individuals with disabilities are receiving vocational
educational services;
(2) Applications of the eligible recipients provide assurances of
compliance with the requirements of section 504 of the Rehabilitation
Act of 1973 (29 U.S.C. 794) and the IDEA and regulations implementing
those statutes, regarding equal access to programs; and
(3) Eligible recipients have--
(i) Identified the number of students with disabilities enrolled in
the eligible recipients' vocational programs;
(ii) Assessed the vocational needs of those students; and
(iii) Developed an adequate plan to provide supplementary services
sufficient to meet the needs of those students.
(b) For the purposes of this section, the term ``State'' includes
only the fifty States, the District of Columbia, and the Commonwealth of
Puerto Rico.
(Authority: 20 U.S.C. 2321(c))
Sec. 403.15 What are the personnel requirements regarding
coordinationwith services under chapter 1 of title I of the
Elementary and Secondary Education Act?
(a) A State desiring to participate in programs authorized by the
Act shall designate or assign the head of the State office or other
appropriate individual responsible for coordinating services under
chapter 1 of title I of the Elementary and Secondary Education Act of
1965, as amended (chapter 1) (20 U.S.C. 2701 et seq.) to review all or a
representative sample of applications from eligible recipients to ensure
that--
(1) The number of economically disadvantaged students has been
identified; and
(2) The needs of economically disadvantaged students are being met
as outlined in the applications of eligible recipients.
(b) For the purposes of this section, the term ``State'' includes
only the fifty States, the District of Columbia, and the Commonwealth of
Puerto Rico.
(Authority: 20 U.S.C. 2321 (c) and (d))
Sec. 403.16 What are the personnel requirements regarding coordination
with programs for individuals of limited English proficiency?
(a) A State desiring to participate in programs authorized by the
Act shall designate or assign the head of the State office or other
appropriate individual responsible for administering programs for
students of limited English proficiency to review all or a
representative sample of applications from eligible recipients to ensure
that--
(1) The number of students of limited English proficiency has been
identified; and
[[Page 31]]
(2) The needs of students of limited English proficiency for
participation in vocational education programs are being met as outlined
in the applications of eligible recipients.
(b) For the purposes of this section, the term ``State'' includes
only the fifty States, the District of Columbia, and the Commonwealth of
Puerto Rico.
(Authority: 20 U.S.C. 2321 (c) and (e))
Sec. 403.17 What are the State's responsibilities regarding a State
council on vocational education?
(a) A State desiring to participate in the State Vocational and
Applied Technology Education Program shall establish a State council on
vocational education. The State council must be appointed--
(1) By the Governor; or
(2) By the State board of education, in a State in which the members
of the State board of education are elected, including election by the
State legislature.
(b) Each State shall certify to the Secretary the establishment and
membership of the State council by June 1 prior to the beginning of each
State plan period described in Sec. 403.30.
(c) Each State shall recertify to the Secretary any new member of
the State council not more than 60 days after a position on the State
council is vacated.
(Authority: 20 U.S.C. 2322 (a), (b))
Sec. 403.18 What are the membership requirements of a State council
on vocational education?
(a) Each State council must be composed of 13 individuals, and must
be broadly representative of citizens and groups within the State having
an interest in vocational education.
(b) Each State council must consist of--
(1) Seven individuals who are representative of the private sector
in the State and who must constitute a majority of the membership--
(i) Five of whom must be representatives of business, industry,
trade organizations, and agriculture including--
(A) One member who is representative of small business concerns; and
(B) One member who is a private sector member of the State job
training coordinating council established pursuant to section 122 of the
JTPA; and
(ii) Two of whom must be representatives of labor organizations; and
(2) Six individuals, one of whom must be representative of special
education, who are representative of--
(i) Secondary and postsecondary vocational institutions (equitably
distributed among those institutions);
(ii) Career guidance and counseling organizations within the State;
and
(iii) Individuals who have special knowledge and qualifications with
respect to the special educational and career development needs of
special populations, including women, disadvantaged individuals,
individuals with disabilities, individuals with limited English
proficiency, and minorities.
(c) The State council may include members of vocational student
organizations and school boards but may not include employees of the
State board of vocational education.
(d) In selecting individuals to serve on the State council on
vocational education, the State shall give due consideration to the
appointment of individuals who serve on a private industry council under
the JTPA, or on State councils established under other related Federal
programs.
(Authority: 20 U.S.C. 2322(a))
Sec. 403.19 What are the responsibilities of a State council on
vocational education?
(a)(1) The State council on vocational education shall meet as soon
as practical after the Secretary accepts its certification and shall
select from among its membership a chairperson who must be a
representative of the private sector.
(2) The State council on vocational education shall adopt rules that
govern the time, place, and manner of meeting, as well as council
operating procedures and staffing. The rules must provide for at least
one public meeting each year at which the public is given an opportunity
to express views concerning the vocational education program of the
State.
[[Page 32]]
(b) Each State council on vocational education, during each State
plan period described in Sec. 403.30 unless otherwise indicated in the
regulations in this section, shall--
(1) Meet with the State board or its representatives to advise on
the development of the subsequent State plan, or any amendments to the
current State plan, while the State plan or amendment is being
developed;
(2) Make recommendations to the State board and make reports to the
Governor, the business community, and general public of the State,
concerning--
(i) The State plan;
(ii) Policies the State should pursue to strengthen vocational
education, with particular attention to programs for individuals with
disabilities; and
(iii) Initiatives and methods the private sector could undertake to
assist in the modernization of vocational education programs;
(3) Analyze and report on the distribution of all vocational
education funds in the State and on the availability of vocational
education activities and services within the State;
(4) Consult with the State board on the establishment of evaluation
criteria for vocational education programs within the State;
(5) Submit recommendations to the State board on the conduct of
vocational education programs conducted in the State that emphasize the
use of business concerns and labor organizations;
(6) Assess and report on the distribution of financial assistance
under the Act, particularly the distribution of financial assistance
between secondary vocational education programs and postsecondary
vocational education programs;
(7) Recommend procedures to the State board to ensure and enhance
the participation of the public in the provision of vocational education
at the local level within the State, particularly the participation of
local employers and local labor organizations;
(8) Report to the State board on the extent to which individuals who
are members of special populations are provided with equal access to
quality vocational education programs;
(9) Analyze and review corrections education programs; and
(10)(i) At least once every two years--
(A) Evaluate the extent to which vocational education, employment,
and training programs in the State represent a consistent, integrated,
and coordinated approach to meeting the economic needs of the State;
(B) Evaluate the vocational education program delivery system
assisted under the Act, and the job training program delivery system
assisted under the JTPA, in terms of the delivery systems' adequacy and
effectiveness in achieving the purposes of both Acts; and
(C) Make recommendations to the State board on the adequacy and
effectiveness of the coordination that takes place between vocational
education and the JTPA;
(ii) Comment on the adequacy or inadequacy of State action in
implementing the State plan;
(iii) Make recommendations to the State board on ways to create
greater incentives for joint planning and collaboration between the
vocational education system and the job training system at the State and
local levels; and
(iv) Advise, in writing, the Governor, the State board, the State
job training coordinating council, the Secretary, and the Secretary of
Labor of these findings and recommendations.
(c)(1) Each State council on vocational education may--
(i) Obtain the services of the professional, technical, and clerical
personnel necessary to enable it to carry out its functions under the
Act;
(ii) Contract for the services necessary to enable it to carry out
its evaluation functions; and
(iii) Submit a statement to the Secretary reviewing and commenting
upon the State plan.
(2)(i) The expenditure of funds awarded to a State council on
vocational education by the Secretary must be solely determined by that
State council and may not be diverted or reprogrammed for any other
purpose by any State board, agency, or individual.
(ii) Each State council on vocational education shall designate an
appropriate State agency, or other public agency, eligible to receive
funds under
[[Page 33]]
the Act, to act as its fiscal agent for purposes of disbursement,
accounting, and auditing.
(3) Each State council on vocational education shall carry out its
functions, whether directly or by way of contract for services,
independent of programmatic and administrative control by other State
boards, agencies, and individuals.
(Approved by the Office of Management and Budget under Control No. 1830-
0030)
(Authority: 20 U.S.C. 2322(c)-(e) and (f)(2); 2323(c))
Subpart C_How Does A State Apply for a Grant?
Sec. 403.30 What documents must a State submit to receive a grant?
(a) A State that desires to participate in the State Vocational and
Applied Technology Education Program shall submit to the Secretary a
State plan for a three-year period, in the case of the initial plan, and
a two-year period thereafter, together with annual revisions the State
board determines to be necessary.
(b) Each State shall carry out its programs under the State
Vocational and Applied Technology Education Program on the basis of
program years that coincide with program years under section 104(a) of
the JTPA.
(c) The provisions of 34 CFR 76.103 do not apply to the State
Vocational and Applied Technology Education Program.
(Approved by the Office of Management and Budget under Control No. 1830-
0029)
(Authority: 20 U.S.C. 2323)
Sec. 403.31 How is the State plan developed?
(a) In formulating the State plan, and any amendments to the State
plan, the State board shall meet with, and utilize, the State council on
vocational education established under Sec. 403.17.
(b) After providing appropriate and sufficient notice to the public,
the State board shall conduct at least two public hearings in the State
for the purpose of affording all segments of the public and interested
organizations and groups an opportunity to present their views and make
recommendations regarding the State plan.
(c) A State shall provide public notice of hearings on the State
plan at least 30 days prior to the hearings.
(d) In developing a State plan, the State shall conduct an
assessment according to Sec. 403.203.
(e) The State board shall develop the portion of each State plan
relating to the amount and uses of any funds proposed to be reserved for
adult education, postsecondary education, tech-prep education, and
secondary education after consultation with the State agency responsible
for supervision of community colleges, technical institutes, or other
two-year postsecondary institutions primarily engaged in providing
postsecondary vocational education and the State agency responsible for
secondary education. If a State agency finds that a portion of the final
State plan is objectionable, that agency shall file its objections with
the State board.
(f) The State board shall, in developing the State plan, take into
consideration the relative training and retraining needs of secondary,
adult, and postsecondary students.
(Approved by the Office of Management and Budget under Control No. 1830-
0029)
(Authority: 20 U.S.C. 2323(a)(2) and 2324(a))
Sec. 403.32 What must the State plan contain?
(a) Assurances. To participate in the programs authorized under the
State Vocational and Applied Technology Program, the State shall, in its
State plan, provide assurances that--
(1) The State board will comply with the applicable requirements of
titles I, II, III, and V of the Act and regulations implementing those
requirements (including the maintenance of fiscal effort requirement in
Sec. 403.182);
(2) Eligible recipients will comply with the requirements of titles
I, II, III, and V of the Act and the regulations implementing those
requirements;
(3) The State board will develop measurable goals and accountability
measures for meeting the needs of individuals who are members of special
populations;
[[Page 34]]
(4) The State board will conduct adequate monitoring of projects,
services, and activities conducted by eligible recipients to ensure that
the eligible recipients are meeting the goals described in paragraph
(a)(3) of this section;
(5) To the extent consistent with the number and location of
individuals who are members of special populations enrolled in private
secondary schools, the State will provide for the participation of those
individuals in the vocational education projects, services, and
activities assisted under Sec. Sec. 403.112 and 403.113;
Cross Reference: See 34 CFR 76.650-76.662, Participation of Students
Enrolled in Private Schools.
(6) The State will comply with the provisions of Sec. 403.180, and
will distribute all of the funds reserved for the Secondary School
Vocational Education Program and the Postsecondary and Adult Vocational
Education Programs to eligible recipients pursuant to Sec. Sec.
403.112, 403.113, and 403.116;
(7) The State will develop and implement a system of standards for
performance and measures of performance for vocational education
programs at the State level that meets the requirements of Sec. Sec.
403.201 and 403.202;
(8) In the use of funds available for programs for single parents,
displaced homemakers, or single pregnant women under Sec. 403.81, the
State will--
(i) Emphasize assisting individuals with the greatest financial
need; and
(ii) Give special consideration to displaced homemakers who, because
of divorce, separation, or the death or disability of a spouse, must
prepare for paid employment;
(9) The State will furnish relevant training and vocational
education activities to men and women who desire to enter occupations
that are not traditionally associated with their sex;
(10) The State will fund programs of personnel development and
curriculum development to further the goals identified in the State
plan;
(11) The State has thoroughly assessed the vocational education
needs of identifiable segments of the population in the State that have
the highest rates of unemployment, and those needs are reflected in and
addressed by the State plan;
(12) The State board will cooperate with the State council in
carrying out the Board's duties under the State plan;
(13) None of the funds expended under the Act will be used to
acquire equipment (including computer software) in any instance in which
that acquisition results in a direct financial benefit to any
organization representing the interests of the purchasing entity or its
employees or any affiliate of such an organization;
(14) State and local funds will be used in the schools of each local
educational agency that are receiving funds under the Act to provide
services that, taken as a whole, are at least comparable to services
being provided in schools in those agencies that are not receiving funds
under the Act;
Cross Reference: See Sec. Sec. 403.194 and 403.200.
(15)(i) The State board will provide leadership (qualified by
experience and knowledge in guidance and counseling), supervision, and
resources for comprehensive career guidance, vocational counseling, and
placement programs; and
(ii) As a component of the assurances described in paragraph
(a)(15)(i) of this section, the State board will annually assess and
include in the State plan a report on the degree to which expenditures
aggregated within the State for career guidance and vocational
counseling from allotments under title II of the Act are not less than
expenditures for guidance and counseling within the State under the Carl
D. Perkins Vocational Education Act in Fiscal or Program Year 1988;
(Authority: H.R. Rep. No. 660, 101st Cong., 1st Sess. 111 (1990))
(16) The State will provide for such fiscal control and fund
accounting procedures as may be necessary to ensure the proper
disbursement of, and accounting for, Federal funds paid to the State,
including those funds paid by the State to eligible recipients under the
Act;
[[Page 35]]
(17) Funds made available under title II of the Act will be used to
supplement, and to the extent practicable increase, the amount of State
and local funds that would in the absence of those Federal funds be made
available for the uses specified in the State plan and the local
application, and in no case supplant those State or local funds;
Cross Reference: See Sec. Sec. 403.196 and 403.208.
(18) Individuals who are members of special populations will be
provided with equal access to recruitment, enrollment, and placement
activities;
(19) Individuals who are members of special populations will be
provided with equal access to the full range of vocational education
programs available to individuals who are not members of special
populations, including occupationally specific courses of study,
cooperative education, apprenticeship programs, and, to the extent
practicable, comprehensive career guidance and counseling services, and
will not be discriminated against on the basis of their status as
members of special populations;
(20) Vocational education programs and activities for individuals
with disabilities will be provided in the least restrictive environment
in accordance with section 612(5)(B) of the IDEA and will, if
appropriate, be included as a component of the individualized education
program developed under section 614(a)(5) of that Act;
(21) Students with disabilities who have individualized education
programs developed under section 614(a)(5) of the IDEA, with respect to
vocational education programs, will be afforded the rights and
protections guaranteed those students under sections 612, 614, and 615
of that Act;
(22) Students with disabilities who do not have individualized
education programs developed under section 614(a)(5) of the IDEA or who
are not eligible to have such a program, with respect to vocational
education programs, will be afforded the rights and protections
guaranteed those students under section 504 of the Rehabilitation Act of
1973 (29 U.S.C. 794) and, for the purpose of the State Vocational and
Applied Technology Education Programs, those rights and protections will
include making vocational education programs readily accessible to
eligible individuals with disabilities through the provision of services
described Sec. 403.190(b)(3);
(23) Vocational education planning for individuals with disabilities
will be coordinated among appropriate representatives of vocational
education, special education, and State vocational rehabilitation
agencies;
(24) The provision of vocational education to each student with
disabilities will be monitored to determine if that education is
consistent with the individualized education program developed for the
student under section 614(a)(5) of the IDEA, in any case in which an
individualized education program exists;
(25) The provision of vocational education will be monitored to
ensure that disadvantaged students and students of limited English
proficiency have access to that education in the most integrated setting
possible;
(26)(i) The requirements of the Act relating to individuals who are
members of special populations--
(A) Will be carried out under the general supervision of individuals
in the appropriate State educational agency or State board who are
responsible for students who are members of special populations; and
(B) Will meet education standards of the State educational agency or
State board;
(ii) With respect to students with disabilities, the supervision
carried out under paragraph (a)(26)(i) of this section will be carried
out consistent with, and in conjunction with, supervision by the State
educational agency or State board carried out under section 612(6) of
the IDEA;
(27) Funds received under the Business-Labor-Education Partnership
for Training Program will be awarded on a competitive basis solely for
vocational education programs, including programs that--
(i) Provide apprenticeships and internships in industry;
(ii) Provide new equipment;
(iii) Provide teacher internships or teacher training;
[[Page 36]]
(iv) Bring representatives of business and organized labor into the
classroom;
(v) Increase the access to, and quality of, programs for individuals
who are members of special populations;
(vi) Strengthen coordination between vocational education programs
and the labor and skill needs of business and industry;
(vii) Address the economic development needs of the area served by
the partnership;
(viii) Provide training and career counseling that will enable
workers to retain their jobs;
(ix) Provide training and career counseling that will enable workers
to upgrade their jobs; and
(x) Address the needs of new and emerging industries, particularly
industries in high-technology fields;
(28) In administering the Business-Labor-Education Partnership for
Training Program, the State board will--
(i) Give preference to partnerships that coordinate with local
chambers of commerce (or the equivalent), local labor organizations, or
local economic development plans;
(ii) Give priority to programs offered by partnerships that provide
job training in areas or skills where there are significant labor
shortages; and
(iii) Ensure an equitable distribution of assistance under this part
between urban and rural areas;
(29) Except as provided in paragraph (a)(30) of this section, not
less than 50 percent of the aggregate cost of programs and projects
assisted under the Business-Labor-Education Partnership for Training
Program will be provided from non-Federal sources, and not less than 50
percent of the non-Federal share will be provided by businesses or labor
organizations participating in the partnerships; and
(30) In the event that a partnership includes a small business or
labor organization, 40 percent of the aggregate cost of the programs and
projects assisted under the Business-Labor-Education Partnership for
Training Program will be provided from non-Federal sources and not less
than 50 percent of the non-Federal share will be provided by
participating business or labor organizations.
(b) Descriptions. To participate in programs authorized under the
State Vocational and Applied Technology Education Program, the State
must include the following descriptions in the State plan:
(1) The procedures and criteria for, and the results of, each of the
assessments required by Sec. 403.203, including the needs identified by
the assessments.
(2) The plans for the use of the funds and how those planned uses
reflect the needs described in paragraph (b)(1) of this section.
(3) The manner in which the State will comply with the requirements
in the Act regarding access and services for individuals who are members
of special populations and a description of the responsiveness of
programs to the special needs of those students.
(4) The estimated distribution, for each instructional level--
secondary, postsecondary, and adult--of funds to corrections educational
agencies as prescribed by Sec. 403.100, of funds to local educational
agencies, area vocational education schools, or intermediate educational
agencies as prescribed by Sec. Sec. 403.112 and 403.113, and of funds
to eligible institutions or consortia of eligible institutions as
prescribed by Sec. 403.116.
(5) The criteria the State board will use--
(i) In approving applications of eligible recipients; and
(ii) For spending the amounts reserved for the State under Sec.
403.180(b).
(6) How funds expended for occupationally specific training will be
used for occupations in which job openings are projected or available,
based on a labor market analysis that is not limited to the area in
which the school is located.
(Authority: H.R. Rep. No. 660, 101st Cong., 1st Sess. 109 (1990))
(7) In each State plan submitted after Fiscal Year 1991, the
progress the State has made in achieving the goals described in previous
State plans.
(8) The methods of administration necessary for the prompt and
efficient administration of programs under the Act.
[[Page 37]]
(9) How the State will implement program evaluations with eligible
recipients as prescribed in Sec. Sec. 403.191, 403.192, 403.201(a) (3)
and (4), and 403.204.
(10) The methods proposed for the joint planning and coordination of
programs carried out under the Act with programs conducted under the
JTPA, the Adult Education Act (20 U.S.C. 1201 et seq.), chapter 1, the
IDEA, and the Rehabilitation Act of 1973, and with apprenticeship
programs.
(11) Procedures by which an area vocational educational school,
intermediate educational agency, or local educational agency may appeal
decisions adverse to its interests with respect to programs assisted
under the Act.
Cross Reference: See 34 CFR 76.401.
(12) How the State will comply with the provisions of Sec. Sec.
403.32(a)(18)-(26), 403.115, and 403.205.
(13) The State's rationale for distribution of funds under the
Secondary School Vocational Education Program and the Postsecondary and
Adult Vocational Education Programs.
(14) The State corrections educational agency or agencies designated
to administer vocational education programs assisted under the Act, and
the plan for the use of funds provided under Sec. 403.180(b)(5).
(15) Any delegation of functions under Sec. 403.12(c).
(16) The manner in which the State board will comply with the
applicable requirements of titles I, II, III, and V of the Act
(including the maintenance of fiscal effort requirements in Sec.
403.182).
(17) A summary of recommendations made at public hearings on the
State plan and the State board's response.
(18) How the State will determine which LEAs are located in a rural
sparsely-populated area for purposes of Sec. 403.112(d)(3).
(19) Which indices of economic status the State will use to
determine the number of economically disadvantaged students attending
vocational educational programs for the purposes of Sec. 403.114.
(20) What method the State will use to distribute minimal amounts
for the purpose of Sec. 403.119(a).
(21) As appropriate, what method the State will use to distribute
funds under Sec. 403.118.
(c) Consultations. A State desiring to participate in the State
Vocational and Applied Technology Education Program shall include in its
State plan--
(1) A statement, if any, from the State advisory council on
vocational education reviewing and commenting on the State plan;
(2) As necessary, the State's reasons for not accepting the
recommendations of the State Committee of Practitioners for modifying
standards and measures to be used in the statewide system of core
standards and measures of performance; and
(3) As necessary, the State's response to any objections raised by
State agencies consulted during the development of the State plan as
required by Sec. 403.31(e).
(Authority: 20 U.S.C. 2321(a)(2); 2322(e); 2323(a)(2)(B), (b); 2324(a);
2325(a), (d)(3); 2328(a); 2336(a)(1); 2341(b)(2), (d)(3); 2341b(a);
2392(b); 2463; and 2468e(a)(1))
(Approved by the Office of Management and Budget under Control No. 1830-
0029)
[57 FR 36735, Aug. 14, 1992, as amended at 59 FR 38512, July 28, 1994]
Sec. 403.33 What procedures does a State use to submit its State plan?
(a)(1) The State board shall submit its State plan for review and
comment to the State job training coordinating council under section 122
of the JTPA not less than sixty days before the State plan is submitted
to the Secretary.
(2) If the matters raised by the comments of the State job training
coordinating council are not addressed in the State plan, the State
board shall submit those comments to the Secretary with the State plan.
(b) The State board shall submit its State plan for review and
comment to the State council on vocational education not less than sixty
days before the State plan is submitted to the Secretary.
Cross Reference: See Sec. 403.19(c)(1)(iii).
(c) Each State plan must be submitted to the Secretary by May 1
preceding the beginning of the first fiscal
[[Page 38]]
year for which the plan is to be in effect.
(d) The State plan is considered to be the general application
required by section 435 of the General Education Provisions Act (20
U.S.C. 1232d).
(Authority: 20 U.S.C. 2322(d)(1) and (2)(A), (e); 2323(a)(2)(A); and
2324(b))
(Approved by the Office of Management and Budget under Control No. 1830-
0029)
Sec. 403.34 When are amendments to the State plan required?
The State board, in consultation with the State council, shall
submit amendments to the State plan to the Secretary when required by 34
CFR 76.140 or when changes in program conditions, labor market
conditions, funding, or other factors require substantial amendment of
an approved State plan. All amendments must be submitted for review by
the State job training coordinating council and the State council on
vocational education before submittal to the Secretary.
(Approved by the Office of Management and Budget under Control No. 1830-
0029)
(Authority: 20 U.S.C. 2323(c))
Subpart D_How Does the Secretary Make a Grant to a State?
Sec. 403.50 How does the Secretary make allotments?
(a)(1) From funds made available under section 3(c) of the Act for
the basic programs listed in Sec. 403.60, and under section 3(d) of the
Act for the special programs listed in Sec. 403.130, the Secretary
allots funds each fiscal year according to the provisions of section 101
of the Act to the 50 States, the Commonwealth of Puerto Rico, the
District of Columbia, and the Virgin Islands.
(2) Upon approval of its State plan and any annual amendments, the
Secretary makes one or more grant awards from those allotments to a
State.
(b)(1) From funds made available under sections 3(b)(2) of the Act,
the Secretary allots funds each fiscal year for State councils on
vocational education according to the provisions of section 112(f)(1) of
the Act.
(2) The Secretary makes an award to a State council upon the State
council's submission of an annual budget covering the proposed
expenditures of the State council for the following program year, and
when the Secretary has determined that the State plan is in
substantially approvable form.
(c) From funds made available under section 3(b)(1)(B) of the Act
for the territories, the Secretary allots funds each fiscal year
according to the provisions of section 101A(a) of the Act.
(d)(1) The Secretary awards funds remaining after allotments are
made under paragraph (c) of this section to the Center for the
Advancement of Pacific Education (CAPE) or its successor entity, such as
the Pacific Regional Educational Laboratory.
(2) CAPE or its successor entity shall make grants for vocational
education and training in Guam, American Samoa, Palau, the Commonwealth
of the Northern Marianas, the Federated States of Micronesia, and the
Republic of the Marshall Islands for the purpose of providing direct
educational services, including--
(i) Teacher and counselor training and retraining;
(ii) Curriculum development; and
(iii) Improving vocational education and training programs in
secondary schools and institutions of higher education (as defined in
Sec. 403.117(b)), or improving cooperative programs involving both
secondary schools and institutions of higher education.
(3) CAPE may not use more than five percent of the funds received
under paragraph (d)(1) of this section for administrative costs.
(Authority: 20 U.S.C. 2311; 2311a; and 2461)
Sec. 403.51 How does the Secretary make reallotments?
(a)(1) If the Secretary determines that any amount of a State's
allotment under Sec. 403.50(a) will not be required for any fiscal year
for carrying out the program for which the allotment was made, the
Secretary reallots those funds to one or more States that demonstrate a
current need for additional funds and the ability to use them promptly
and effectively upon reallotment.
[[Page 39]]
(2) The Secretary announces in the Federal Register the dates on
which funds will be reallotted.
(b)(1) No funds reallotted under paragraph (a) of this section may
be used for any purpose other than the purposes for which they were
appropriated.
(2) Any amount reallotted to a State under paragraph (a) of this
section remains available for obligation during the succeeding fiscal
year and is deemed to be part of the State's allotment for the fiscal
year in which the reallotted funds are obligated.
(Authority: 20 U.S.C. 2311(b))
Sec. 403.52 When does the Secretary approve State plans and
amendments?
(a)(1) The Secretary approves a State plan, or an amendment to a
State plan, within sixty days of its receipt unless the plan or
amendment is--
(i) Inconsistent with the requirements and purposes of the Act; or
(ii) Not of sufficient quality to meet the objectives of the Act,
including the objective of developing and implementing program
evaluations and improvements.
(2) Before the Secretary finally disapproves a State plan, or an
amendment to a State plan, the Secretary gives reasonable notice and an
opportunity for a hearing to the State board.
(b)(1) In reviewing a State plan, or an amendment to a State plan,
the Secretary considers available comments from--
(i) The State council on vocational education;
(ii) The State agency responsible for supervision of community
colleges, technical institutes, or other two-year postsecondary
institutions primarily engaged in providing postsecondary vocational
education;
(iii) The State agency responsible for secondary education;
(iv) The State Committee of Practitioners established under 34 CFR
400.6; and
(v) The State job training coordinating council.
(2) In reviewing an amendment to a State plan, the Secretary
considers available comments from the State job training coordinating
council and the State council on vocational education.
(Authority: 20 U.S.C. 2323(c), 2324, and 2325(d)(3))
Subpart E_What Kinds of Activities Does the Secretary Assist Under the
Basic Programs?
General
Sec. 403.60 What are the basic programs?
The following basic programs are authorized by title II of the Act:
(a) State Programs and State Leadership Activities.
(b) Programs for Single Parents, Displaced Homemakers, and Single
Pregnant Women.
(c) Sex Equity Programs.
(d) Programs for Criminal Offenders.
(e) Secondary School Vocational Education Programs.
(f) Postsecondary and Adult Vocational Education Programs.
(Authority: 20 U.S.C. 2302)
Sec. 403.61 What projects, services, and activities are permissible
under the basic programs?
Projects, services, and activities described in Sec. Sec. 403.70,
403.71, 403.81, 403.91, 403.101, and 403.111 may include--
(a) Work-site programs such as cooperative vocational education,
programs with community-based organizations, work-study, and
apprenticeship programs;
(b) Placement services and activities for students who have
successfully completed vocational education programs; and
(c) Programs that involve students in addressing the needs of the
community in the production of goods or services that contribute to the
community's welfare or that involve the students with other community
development planning, institutions, and enterprises.
(Authority: 20 U.S.C. 2468e(c))
Sec. 403.62 What administrative provisions apply?
(a) Any project assisted with funds made available for the basic
programs must be of sufficient size, scope, and quality to give
reasonable promise of meeting the vocational education
[[Page 40]]
needs of the students involved in the project.
(b) Each State board receiving financial assistance for the basic
programs may consider granting academic credit for vocational education
courses that integrate core academic competencies.
(Authority: 20 U.S.C. 2468e (b) and (d))
Sec. 403.63 How does a State carry out the State Vocational and
Applied Technology Education Program?
(a) Unless otherwise indicated in the regulations in this part, a
State board shall carry out projects, services, and activities under the
State Vocational and Applied Technology Education Program--
(1) Directly;
(2) Through a school operated by the State board;
(3) Through awards to State agencies or institutions, such as
vocational schools or correctional institutions; or
(4) Through awards to eligible recipients.
(b) For the purpose of paragraph (a) of this section, a State board
acts directly if it--
(1) Carries out projects, services, or activities using its own
staff (except at a school operated by the State board); or
(2) Contracts for statewide projects, services, or activities such
as research, curriculum development, and teacher training.
(c) The regulations in this part also authorize a State to carry out
certain projects, services, and activities under the State Vocational
and Applied Technology Education Program by making an award to an entity
other than an eligible recipient, such as a community-based
organization, employers, private vocational training institutions,
private postsecondary education institutions, labor organizations, and
joint labor management apprenticeship programs.
(d) If projects, services, and activities are carried out by a
school operated by the State board under paragraph (a)(2) of this
section or are carried out by a State agency or institution under
paragraph (a)(3) of this section, the requirements dealing with local
applications (Sec. Sec. 403.190 and 403.32(b)(5)(i)) apply in the same
manner as to other eligible recipients.
(Authority: 20 U.S.C. 2323(b)(5), (6); 2335(a)(3); 2335b; 2342(c)(2)(N);
and 2343)
State Programs and State Leadership Activities
Sec. 403.70 How must funds be used under the State Programs and State
Leadership Activities?
A State shall use funds reserved under section 102(a)(3) of the Act
for the State Programs and State Leadership Activities in accordance
with Sec. 403.180(b)(3) to conduct programs, projects, services, and
activities that include--
(a) Professional development activities--
(1) For vocational teachers and academic teachers working with
vocational education students, including corrections educators and
counselors and educators and counselors in community-based
organizations; and
(2) That include inservice and preservice training of teachers in
programs and techniques, including integration of vocational and
academic curricula, with particular emphasis on training of minority
teachers;
(b) Development, dissemination, and field testing of curricula,
especially curricula that--
(1) Integrate vocational and academic methodologies; and
(2) Provide a coherent sequence of courses through which academic
and occupational skills may be measured; and
(c) Assessment of programs conducted with assistance under the Act
including the development of--
(1) Performance standards and measures for those programs; and
(2) Program improvement and accountability with respect to those
programs.
(Authority: 20 U.S.C. 2331(b))
Sec. 403.71 In what additional ways may funds be used under the
State Programs and State Leadership Activities?
In addition to the required activities in Sec. 403.70, a State may
use funds reserved under section 102(a)(3) of the Act for the State
Programs and State
[[Page 41]]
Leadership Activities in accordance with Sec. 403.180(b)(3) for
programs, projects, services, and activities that include--
(a) The promotion of partnerships among business, education
(including educational agencies), industry, labor, community-based
organizations, or governmental agencies;
(b) The support for tech-prep education as described in 34 CFR part
406;
(c)(1) The support of vocational student organizations that are an
integral part of the vocational education instructional program,
especially with respect to efforts to increase minority participation in
those organizations.
(2) The support of vocational student organizations may include, but
is not limited to, expenditures for--
(i) The positions of State executive secretaries and State advisors
for vocational student organizations;
(ii) Leadership development workshops;
(iii) The development of curriculum for vocational student
organizations; and
(iv) Field or laboratory work incidental to vocational training so
long as the activity is supervised by vocational education personnel who
are qualified in the occupational area and is available to all students
in the instructional program without regard to membership in any student
organization.
(3) The support of vocational student organizations may not
include--
(i) Lodging, feeding, conveying, or furnishing transportation to
conventions or other forms of social assemblage;
(ii) Purchase of supplies, jackets, and other effects for students'
personal ownership;
(iii) Cost of non-instructional activities such as athletic, social,
or recreational events;
(iv) Printing and disseminating non-instructional newsletters;
(v) Purchase of awards for recognition of students, advisors, and
other individuals; or
(vi) Payment of membership dues;
(d) Leadership and instructional programs in technology education;
and
(e) Data collection.
(Authority: 20 U.S.C. 2331(c); H.R. Rep. No. 660, 101st Cong., 1st Sess.
117 (1990))
Single Parents, Displaced Homemakers, and Single Pregnant Women Program
Sec. 403.80 Who is eligible for a subgrant or contract?
Eligible recipients and community-based organizations are eligible
for an award under the Single Parents, Displaced Homemakers, and Single
Pregnant Women Program.
(Authority: 20 U.S.C. 2335(a)(2), (3); 2335b(1))
Sec. 403.81 How must funds be used under the Single Parents,
Displaced Homemakers, and Single Pregnant Women Program?
A State shall use funds reserved in accordance with Sec.
403.180(b)(2)(i) for individuals who are single parents, displaced
homemakers, or single pregnant women only to--
(a) Provide, subsidize, reimburse, or pay for preparatory services,
including instruction in basic academic and occupational skills,
necessary educational materials, and career guidance and counseling
services in preparation for vocational education and training that will
furnish single parents, displaced homemakers, and single pregnant women
with marketable skills;
(b) Make grants to eligible recipients for expanding preparatory
services and vocational education services if the expansion directly
increases the eligible recipients' capacity for providing single
parents, displaced homemakers, and single pregnant women with marketable
skills;
(c) Make grants to community-based organizations for the provision
of preparatory and vocational education services to single parents,
displaced homemakers, and single pregnant women if the State determines
that the community-based organizations have demonstrated effectiveness
in providing comparable or related services to single parents, displaced
homemakers, and single pregnant women, taking into account the
demonstrated performance of such organizations in terms of cost, the
quality of training, and the characteristics of the participants;
(d) Make preparatory services and vocational education and training
more
[[Page 42]]
accessible to single parents, displaced homemakers, and single pregnant
women by assisting those individuals with dependent care, transportation
services, or special services and supplies, books, and materials, or by
organizing and scheduling the programs so that those programs are more
accessible; or
(e) Provide information to single parents, displaced homemakers, and
single pregnant women to inform those individuals of vocational
education programs, related support services, and career counseling.
(Authority: 20 U.S.C. 2335(a))
Sec. 403.82 In what settings may the Single Parents, Displaced
Homemakers, and Single Pregnant Women Program be offered?
The programs and services described in Sec. 403.81 may be provided
in postsecondary or secondary school settings, including area vocational
education schools, and community-based organizations that meet the
requirements of Sec. 403.81(c), that serve single parents, displaced
homemakers, and single pregnant women.
(Authority: 20 U.S.C. 2335(b))
Sex Equity Program
Sec. 403.90 Who is eligible for a subgrant or contract?
Eligible recipients and community-based organizations are eligible
for an award under the Sex Equity Program.
(Authority: 20 U.S.C. 2335b(1))
Sec. 403.91 How must funds be used under the Sex Equity Program?
Except as provided in Sec. 403.92, each State shall use amounts
reserved for the Sex Equity Program in accordance with Sec.
403.180(b)(2)(ii) only for--
(a) Programs, services, comprehensive career guidance and
counseling, and activities to eliminate sex bias and stereotyping in
secondary and postsecondary vocational education;
(b) Preparatory services and vocational education programs,
services, and activities for girls and women, aged 14 through 25,
designed to enable the participants to support themselves and their
families; and
(c) Support services for individuals participating in vocational
education programs, services, and activities described in paragraphs (a)
and (b) of this section, including dependent-care services and
transportation.
(Authority: 20 U.S.C. 2335a(a))
Sec. 403.92 Under what circumstances may the age limit under the Sex
Equity Program be waived?
The individual appointed under Sec. 403.13(a) may waive the
requirement in Sec. 403.91(b) with respect to age limitations if the
individual determines (through appropriate research) that the waiver is
essential to meet the objectives of Sec. 403.91.
(Authority: 20 U.S.C. 2335a(b))
Programs for Criminal Offenders
Sec. 403.100 What are the requirements for designating a State
corrections educational agency to administer the Programs for
Criminal Offenders?
(a) The State Board shall designate one or more State corrections
educational agencies to administer programs assisted under the Act for
juvenile and adult criminal offenders in correctional institutions in
the State including correctional institutions operated by local
authorities.
(b) Each State corrections educational agency that desires to be
designated under paragraph (a) of this section shall submit to the State
board a plan for the use of funds.
(Approved by the Office of Management and Budget under Control No. 1830-
0030)
(Authority: 20 U.S.C. 2336(a))
Sec. 403.101 How must funds be used under the Programs for Criminal
Offenders?
In administering programs receiving funds reserved under Sec.
403.180(b)(5) for criminal offenders, each State corrections educational
agency designated under Sec. 403.100(a) shall--
(a) Give special consideration to providing--
(1) Services to offenders who are completing their sentences and
preparing for release; and
[[Page 43]]
(2) Grants for the establishment of vocational education programs in
correctional institutions that do not have such programs;
(b) Provide vocational education programs for women who are
incarcerated;
(c) Improve equipment; and
(d) In cooperation with eligible recipients, administer and
coordinate vocational education services to offenders before and after
their release.
(Authority: 20 U.S.C. 2336(b))
Sec. 403.102 What other requirements apply to the Program for
Criminal Offenders?
Each State corrections educational agency designated under Sec.
403.100(a) shall meet the requirements in Sec. Sec. 403.191 and
403.192.
(Authority: 20 U.S.C. 2471(22))
Secondary, Postsecondary, and Adult Vocational Education Programs
Sec. 403.110 Who is eligible for a subgrant or contract?
(a) Subject to the requirements of paragraph (c) of this section,
the following entities are eligible for an award under the Secondary
School Vocational Education Program:
(1) A local educational agency.
(2) An area vocational education school or intermediate educational
agency that meets the requirements in Sec. 403.113.
(b) Subject to the requirements of paragraph (c) of this section,
the following entities are eligible for an award under the Postsecondary
and Adult Vocational Education Programs:
(1) An institution of higher education as defined in Sec.
403.117(b), including a nonprofit institution that satisfies the
conditions set forth in Sec. 403.111(d)(14).
(2) A local educational agency serving adults.
(3) An area vocational education school serving adults that offers
or will offer a program that meets the requirements of Sec. 403.111 and
seeks to receive assistance under the Secondary School Vocational
Education Program or the Postsecondary and Adult Vocational Education
Programs.
(c) Only an entity that provides or will provide vocational
education in a program that meets the requirements of Sec. 403.111 is
eligible to receive an award under the Secondary School Vocational
Education Program or the Postsecondary and Adult Vocational Education
Program.
(Authority: 20 U.S.C. 2341(a) and (d); 2341a (a) and (d)(1); and
2342(c))
Sec. 403.111 How must funds be used under the Secondary School
Vocational Education Program and the Postsecondary and Adult
Vocational Education Programs?
(a)(1) Each eligible recipient that receives an award under Sec.
403.112, Sec. 403.113, or Sec. 403.116 shall use funds under that
award to improve vocational education programs.
(2) Projects assisted with funds awarded under Sec. 403.112, Sec.
403.113, or Sec. 403.116 must--
(i) Provide for the full participation of individuals who are
members of special populations by providing the supplementary and other
services required by Sec. 403.190(b) necessary for them to succeed in
vocational education; and
Cross Reference: See appendix A to part 403 and Sec. Sec.
403.190(c) and 403.193(e).
(ii) Operate at a limited number of sites or with respect to a
limited number of program areas.
(3) If an eligible recipient that receives an award under Sec.
403.112, Sec. 403.113, or Sec. 403.116 meets the requirements in this
section and Sec. Sec. 403.190(b) and 403.193, it may use those Federal
funds to serve students who are not members of special populations.
(b) Each eligible recipient that receives an award under Sec.
403.112, Sec. 403.113, or Sec. 403.116 shall give priority for
assistance under those sections to sites or program areas that serve the
highest concentrations of individuals who are members of special
populations.
Examples: Methods by which an eligible recipient may give priority
to sites or program areas that serve the highest concentrations of
individuals who are members of special populations include, but are not
limited to, the following:
Example 1: Method to give priority to a limited number of sites.
Based on data from the preceding fiscal year--
(a) First, a local educational agency ranks each site based on the
percentage of the
[[Page 44]]
site's total enrollment of students who are members of special
populations.
(b) Second, the local educational agency establishes a funding cut-
off point for sites above the district-wide percentage of special
populations enrollment. The local educational agency funds sites above
the cut-off point but does not fund sites below that point.
Example 2: Method to give priority to a limited number of program
areas. Based on data from the preceding fiscal year--
(a) First, a postsecondary institution ranks each program area based
on the percentage of the program area's total enrollment of students who
are members of special populations.
(b) Second, the postsecondary institution establishes a funding cut-
off point for program areas that rank above the institution-wide average
percentage of special populations enrollment. The postsecondary
institution funds projects in a program area that is above the cut-off
point but does not fund projects in program areas below that point.
Example 3: Method to give priority to a limited number of sites.
Based on data from the preceding fiscal year--
(a) First, an LEA or postsecondary institution identifies a site
with a high concentration of special populations;
(b) Second, the LEA or postsecondary institution identifies a
program area at the site (such as health occupations) in which the
participation rate for members of special populations has been lower
than the overall rate of participation for members of special
populations at the site; and
(c) Third, the LEA or postsecondary institution funds a project at
the site designed to improve the participation rate of members of
special populations in that program area.
Note to examples in Sec. 403.111: Absolute counts of special
population members may be used to determine the sites or program areas
with the highest concentrations of special population members instead
of, or in combination with, percentages of special population members.
(c) Funds made available from an award under Sec. 403.112, Sec.
403.113, or Sec. 403.116 must be used to provide vocational education
in programs that--
(1) Are of sufficient size, scope, and quality as to be effective;
(2) Integrate academic and vocational education in those programs
through coherent sequences of courses so that students achieve both
academic and occupational competencies; and
(3) Provide for the equitable participation of members of special
populations in vocational education consistent with the assurances and
requirements in Sec. Sec. 403.190(b) and 403.193, so that these
populations have an opportunity to enter vocational education that is
equal to that afforded to the general student population.
Cross Reference: See appendix A to part 403.
(d) In carrying out the provisions of paragraph (c) of this section,
an eligible recipient under Sec. Sec. 403.112, 403.113, or Sec.
403.116 may use funds for activities that include, but are not limited
to--
(1) Upgrading of curriculum;
(2) Purchase of equipment, including instructional aids;
(3) Inservice training of both vocational instructors and academic
instructors working with vocational education students for integrating
academic and vocational education;
(4) Guidance and counseling;
(5) Remedial courses;
(6) Adaptation of equipment;
(7) Tech-prep education programs;
(8) Supplementary services designed to meet the needs of special
populations;
(9) Payment in whole or in part with funds under Sec. 403.112,
Sec. 403.113, or Sec. 403.116 for a special populations coordinator,
who must be a qualified counselor or teacher, to ensure that individuals
who are members of special populations are receiving adequate services
and job skill training;
(10) Apprenticeship programs;
(11) Programs that are strongly tied to economic development efforts
in the State;
(12) Programs that train adults and students for all aspects of an
occupation in which job openings are projected or available;
(13) Comprehensive mentor programs in institutions of higher
education offering comprehensive programs in teacher preparation, which
seek to use fully the skills and work experience of individuals
currently or formerly employed in business and industry who are
interested in becoming classroom instructors and to meet the need of
vocational educators who wish to upgrade their teaching competencies; or
(14) Provision of education and training through arrangements with
private
[[Page 45]]
vocational training institutions, private postsecondary educational
institutions, employers, labor organizations, and joint labor-management
apprenticeship programs if those institutions, employers, labor
organizations, or programs can make a significant contribution to
obtaining the objectives of the State plan and can provide substantially
equivalent training at a lesser cost, or can provide equipment or
services not available in public institutions.
(Authority: 20 U.S.C. 2342)
Sec. 403.112 How does a State allocate funds under the Secondary
School Vocational Education Program to local educational agencies?
(a) Reservation of funds. From the portion of its allotment under
Sec. 403.180(b)(1) for the basic programs, each fiscal year a State may
reserve funds for the Secondary School Vocational Education Program.
(b) General rule. Except as provided in paragraphs (c) and (d) of
this section and Sec. 401.119, a State shall distribute funds reserved
for the Secondary School Vocational Education Program to local
educational agencies (LEAs) according to the following formula:
(1) From 70 percent of the amount reserved, an LEA must be allocated
an amount that bears the same relationship to the 70 percent as the
amount the LEA was allocated under section 1005 of chapter 1 (20 U.S.C.
2711) in the fiscal or program year preceding the fiscal or program year
in which the allocation is made bears to the total amount received under
section 1005 of chapter 1 by all LEAs in the State in that preceding
year.
(2) From 20 percent of the amount reserved, an LEA must be allocated
an amount that bears the same relationship to the 20 percent as the
number of students with disabilities who have individualized education
programs under section 614(a)(5) of the IDEA served by the LEA in the
fiscal or program year preceding the fiscal or program year in which the
allocation is made bears to the total number of those students served by
all LEAs in the State in that preceding year.
(3) From 10 percent of the amount reserved, an LEA must be allocated
an amount that bears the same relationship to the 10 percent as the
number of students enrolled in schools and adults enrolled in vocational
education training programs under the jurisdiction of the LEA in the
fiscal or program year preceding the fiscal or program year in which the
allocation is made bears to the number of students enrolled in schools
in kindergarten through 12th grade and adults enrolled in vocational
education training programs under the jurisdiction of all LEAs in the
State in that preceding year.
Example: Assume that a State has reserved $5,000,000 of its basic
programs funds under Title II of the Act for secondary school programs.
(a)(1) All LEAs in the State were allocated a total of $80,000,000
under section 1005 of Chapter 1 in the preceding fiscal year. Of that
amount, school district ``A'' was allocated $400,000.
(2) The allocation for school district ``A'' is calculated by
multiplying $3,500,000 (70 percent of $5,000,000) by .005 of the State
total ($400,000 / $80,000,000). The allocation for school district ``A''
would be $17,500 under paragraph (b)(1) of this section.
(b)(1) All LEAs in a State served a total of 100,000 students with
disabilities who have individualized education programs under section
614(a)(5) of the IDEA in the preceding fiscal year. Of that total,
school district ``A'' served 400 of those students in the preceding
fiscal year.
(2) The allocation for school district ``A'' is calculated by
multiplying $1,000,000 (20 percent of $5,000,000) by .004 of the State
total (400 / 100,000). The allocation for school district ``A'' would be
$4,000 under paragraph (b)(2) of this section.
(c)(1) All LEAs in a State enrolled a total of 1,000,000 students
(including adults enrolled in vocational education training programs in
those LEAs) in the preceding fiscal year. Of that number school district
``A'' enrolled 3,500 of those students in the preceding fiscal year.
(2) The allocation for school district ``A'' is calculated by
multiplying 500,000 (10 percent of $5,000,000) by .0035 of the State
total (3,500 / 1,000,000). The allocation for school district ``A''
would be $1,750 under paragraph (b)(3) of this section.
(c) Exception to the general rule. In applying the provisions in
paragraph (b) of this section, a State may not distribute funds to an
LEA that operates only elementary schools, but shall instead distribute
funds that would have been allocated for those ineligible LEAs as
follows:
[[Page 46]]
(1) If an LEA that operates only elementary schools sends its
graduating students to a single local or regional educational agency
that provides secondary school services to secondary school students in
the same attendance area, a State shall distribute to that local or
regional educational agency any amounts under paragraph (b) of this
section that would otherwise have been allocated to LEAs operating only
elementary schools.
(2) If an LEA that operates only elementary schools sends its
graduating students to two or more local or regional educational
agencies that provide secondary school services to secondary students in
the same attendance area, the State shall distribute to those local or
regional educational agencies an amount based on the proportionate
number of students each agency received in the previous year from the
LEA that operates only elementary schools.
(d)(1) Minimum grant amount. Except as provided in paragraph (d)(3)
of this section, an LEA is not eligible for a grant under the Secondary
School Vocational Education Program unless the amount allocated to the
LEA under paragraph (b) of this section is not less than $15,000.
(2)(i) An LEA may enter into a consortium with one or more LEAs for
the purpose of providing services under the Secondary School Vocational
Education Program in order to meet the minimum grant requirement in
paragraph (d)(1) of this section.
(ii) A consortium arrangement under paragraph (d)(2)(i) of this
section must serve primarily as a structure for operating joint projects
that provide services to all participating local educational agencies.
(iii) A project operated by a consortium must meet the size, scope,
and quality requirement of Sec. 403.111(c)(1).
Example: Under the distribution formula for the Secondary School
Vocational Education Program, three LEAs earn $5,000 each (which is less
than the $15,000 minimum grant amount for each LEA). The LEAs form a
consortium in order to receive an award. One of the LEAs is designated
as the fiscal agent for the consortium and receives the $15,000 award
for the consortium. The consortium may operate and fund with the $15,000
a project or projects for the benefit of all participating LEAs. The
fiscal agent of the consortium may not subgrant back to the
participating LEAs the amounts they contributed to the consortium.
(3) A State may waive paragraph (d)(1) of this section in any case
in which the LEA--
(i) Is located in a rural, sparsely populated area;
(ii) Demonstrates that it is unable to enter into a consortium for
purposes of providing services under the Secondary School Vocational
Education Program; and
(iii) Demonstrates that the projects to be assisted meet the size,
scope, and quality requirements in Sec. 403.111(c)(1).
(4) Any amounts that are not distributed by reason of paragraph
(d)(1) of this section must be redistributed in accordance with the
provisions in paragraph (b) of this section.
(Authority: 20 U.S.C. 2341 (a), (b), and (c))
Cross Reference: See 34 CFR 403.113(d).
Sec. 403.113 How does a State allocate funds under the Secondary
School Vocational Education Program to area vocational education
schools and intermediate educational agencies?
(a) A State shall distribute funds reserved under Sec. 403.112(a)
directly to the appropriate area vocational education school or
intermediate educational agency in any case in which--
(1) The area vocational education school or intermediate educational
agency and an LEA--
(i) Have formed or will form a consortium for the purpose of
receiving funds reserved under Sec. 403.112(a); or
(ii) Have entered into or will enter into a cooperative arrangement
for the purpose of receiving funds reserved under Sec. 403.112(a); and
(2)(i) The area vocational education school or intermediate
educational agency serves a proportion of students with disabilities and
students who are economically disadvantaged that is approximately equal
to or greater than the proportion of those students attending the
secondary schools under the jurisdiction of all of the LEAs sending
students to the area vocational education school or the intermediate
educational agency; or
[[Page 47]]
(ii) The area vocational education school or intermediate
educational agency demonstrates that it is unable to meet the criterion
in paragraph (a)(2)(i) of this section due to the lack of interest by
students with disabilities and students who are economically
disadvantaged in attending vocational education programs in that area
vocational education school or intermediate educational agency.
(b) If an area vocational education school or intermediate
educational agency meets the requirements of paragraph (a) of this
section, then the amount that would otherwise be allocated to the LEA
may be distributed to the area vocational education school, the
intermediate educational agency, and the LEA--
(1) Based on each school's or entity's relative share of students
with disabilities and students who are economically disadvantaged who
are attending vocational education programs that meet the requirements
of Sec. 403.111 (based, if practicable, on the average enrollment for
the prior 3 years); or
(2) On the basis of an agreement between the LEA and the area
vocational education school or intermediate educational agency.
(c) Notwithstanding paragraphs (a) and (b) of this section, and
Sec. Sec. 403.114 and 403.115, prior to distributing funds to any LEA
that would receive an allocation that is not sufficient to conduct a
program that meets the requirements of Sec. 403.111(c), a State shall
encourage the LEA to--
(1) Form a consortium or enter a cooperative agreement with an area
vocational education school or intermediate educational agency offering
programs that meet the requirements of Sec. 403.111(c), and that are
accessible to economically disadvantaged students and students with
disabilities that would be served by the LEA; and
(2) Transfer its allocation to an area vocational education school
or intermediate educational agency.
(d) If an LEA's allocation under Sec. 403.112 meets the minimum
grant requirement in Sec. 403.112(d), and the allocation is distributed
in part to an area vocational education school or an intermediate
educational agency pursuant to paragraphs (a) and (b) of this section,
the LEA may retain the amount not distributed to the area vocational
education school or an intermediate educational agency even though that
amount is less than the minimum grant required by Sec. 403.112(d).
(Authority: 20 U.S.C. 2341(d) (1), (2), and (5))
Sec. 403.114 How does a State determine the number of economically
disadvantaged students attending vocational education programs under
the Secondary School Vocational Education Program?
(a) For the purposes of Sec. 403.113, a State may determine the
number of economically disadvantaged students attending vocational
education programs on any of the following bases:
(1) Eligibility for one of the following:
(i) Free or reduced-price meals under the National School Lunch Act
(42 U.S.C. 1751 et seq.).
(ii) The program for aid to Families with Dependent Children under
part A of title IV of the Social Security Act (42 U.S.C. 601).
(iii) Benefits under the Food Stamp Act of 1977 (7 U.S.C. 2011).
(iv) To be counted for purposes of section 1005 of chapter 1.
(v) Participation in programs assisted under title II of the JTPA.
(2) Receipt of a Pell grant or assistance under a comparable State
program of need-based financial assistance.
(3) Status of an individual who is determined by the Secretary to be
low-income according to the latest available data from the Department of
Commerce or the Department of Health and Human Services Poverty
Guidelines.
(4) Other indices of economic status, including estimates of those
indices, if the State demonstrates to the satisfaction of the Secretary
that those indices are more representative of the number of economically
disadvantaged students attending vocational education programs. The
Secretary determines, on a case-by-case basis, whether other indices of
economic status are more representative of the number of economically
disadvantaged students attending vocational education programs, taking
into consideration, for example, the statistical reliability of
[[Page 48]]
any data submitted by a grantee as well as the general acceptance of the
indices by other agencies in the State or local area.
(b) If a State elects to use more than one factor described in
paragraph (a) of this section for purposes of determining the number of
economically disadvantaged students enrolled in vocational education
programs, the State shall ensure that the data used are not duplicative.
(Authority: 20 U.S.C. 2341(d)(3) and 2471(15))
Sec. 403.115 What appeal procedures must be established under the
Secondary School Vocational Education Program?
The State board shall establish an appeals procedure for resolution
of any dispute arising between an LEA and an area vocational education
school or an intermediate educational agency with respect to the
allocation procedures described in Sec. Sec. 403.112 and 403.113,
including the decision of an LEA to leave a consortium.
(Authority: 20 U.S.C. 2341(d)(4))
(Approved by the Office of Management and Budget under Control No. 1830-
0029)
Cross Reference: See 34 CFR 76.401, Disapproval of an application--
opportunity for a hearing.
Sec. 403.116 How does a State allocate funds under the Postsecondary
and Adult Vocational Education Programs?
(a) Reservation of funds. From the portion of its allotment under
Sec. 403.180(b)(1) for the basic programs, each fiscal year a State may
reserve funds for the Postsecondary and Adult Vocational Education
Programs.
(b) General rule. (1) A State shall distribute funds reserved for
Postsecondary and Adult Vocational Education Programs to eligible
institutions or consortia of eligible institutions within the State.
(2) Except as provided in paragraph (c) of this section and
Sec. Sec. 403.118 and 403.119, each eligible institution or consortium
of eligible institutions must receive an amount that bears the same
relationship to the amount of funds reserved for the Postsecondary and
Adult Vocational Education Programs as the number of Pell Grant
recipients and recipients of assistance from the Bureau of Indian
Affairs enrolled in programs meeting the requirements of Sec. 403.111,
including meeting the definition of vocational education in 34 CFR
400.4, offered by the eligible institution or consortium of eligible
institutions in the fiscal or program year preceding the fiscal or
program year in which the allocation is made bears to the number of
those recipients enrolled in these programs within the State in that
preceding year.
(c) Minimum grant amount. (1) A State may not provide a grant under
paragraph (b) of this section to any institution or consortium of
eligible institutions for an amount that is less than $50,000.
(2) Any amounts that are not allocated by reason of paragraph (c)(1)
of this section must be redistributed to eligible institutions or
consortia of eligible institutions in accordance with the provisions of
paragraph (b) of this section.
(d) In order for a consortium of eligible institutions to receive
assistance under this section, the consortium must operate joint
projects that--
(1) Provide services to all postsecondary institutions participating
in the consortium; and
(2) Are of sufficient size, scope, and quality as to be effective.
(Authority: 20 U.S.C. 2341a (a) and (c))
[57 FR 36735, Aug. 14, 1992, as amended at 59 FR 38513, July 28, 1994]
Sec. 403.117 What definitions apply to the Postsecondary and Adult
Vocational Education Programs?
For the purposes of Sec. Sec. 403.116, 403.118, and 403.120 the
following definitions apply:
(a) Eligible institution means an institution of higher education,
an LEA serving adults, or an area vocational education school serving
adults that offers or will offer a program that meets the requirements
of Sec. 403.111 and seeks to receive assistance under Sec. 403.116.
(b)(1) Institution of higher education means an educational
institution in any State that--
[[Page 49]]
(i) Admits as regular students only persons having a certificate of
graduation from a school providing secondary education, or the
recognized equivalent of that certificate, or who are beyond the age of
compulsory school attendance;
(ii) Is legally authorized within the State to provide a program of
education beyond secondary education;
(iii) Provides an educational program for which it awards a
bachelor's degree or provides not less than a two-year program which is
acceptable for full credit toward such a degree, or in the case of a
hospital or health care facility, that provides training of not less
than one year for graduates of accredited health professions programs,
leading to a degree or certificate upon completion of that training;
(iv) Is a public or other nonprofit institution; and
(v) Is accredited by a nationally recognized accrediting agency or
association approved by the Secretary for this purpose or, if not so
accredited--
(A) Is an institution with respect to which the Secretary has
determined that there is satisfactory assurance, considering the
resources available to the institution, the period of time, if any,
during which it has operated, the effort it is making to meet
accreditation standards, and the purpose for which this determination is
being made, that the institution will meet the accreditation standards
of such an agency or association within a reasonable time; or
(B) Is an institution whose credits are accepted, on transfer, by
not less than three institutions that are so accredited, for credit on
the same basis as if transferred from an institution so accredited.
(2) This term also includes any school that provides not less than a
one-year program of training to prepare students for gainful employment
in a recognized occupation and that meets the provisions of paragraphs
(b)(1) (i), (ii), (iv), and (v) of this definition. If the Secretary
determines that a particular category of these schools does not meet the
requirements of paragraph (b)(1)(v) because there is no nationally
recognized accrediting agency or association qualified to accredit
schools in that category, the Secretary, pending the establishment of
such an accrediting agency or association, appoints an advisory
committee, composed of persons specially qualified to evaluate training
provided by schools in that category, that must--
(i) Prescribe the standards of content, scope, and quality that must
be met in order to qualify schools in that category to participate in
the program pursuant to this part; and
(ii) Determine whether particular schools not meeting the
requirements of paragraph (b)(1)(v) of this definition meet those
standards.
(Authority: 20 U.S.C. 1085)
(c) Pell Grant recipient means a recipient of financial aid under
subpart 1 of part A of title IV of the Higher Education Act of 1965 (20
U.S.C. 1070a-l et seq.).
(Authority: 20 U.S.C. 2341a(d))
Sec. 403.118 Under what circumstances may the Secretary waive the
distribution requirements for the Postsecondary and Adult Vocational
Education Programs?
The Secretary may waive Sec. 403.116(b)(2) for any fiscal or
program year for which a State submits to the Secretary an application
for such a waiver that--
(a) Demonstrates that the formula in Sec. 403.116(b)(2) does not
result in a distribution of funds to the institutions or consortia of
eligible institutions within the State that have the highest numbers of
economically disadvantaged individuals and that an alternative formula
would result in such a distribution.
(b) Includes a proposal for an alternative formula that may include
criteria relating to the number of individuals attending institutions or
consortia of eligible institutions within the State who--
(1) Receive need-based postsecondary financial aid provided from
public funds;
(2) Are members of families participating in the program for aid to
families with dependent children under part A of title IV of the Social
Security Act (42 U.S.C. 601);
[[Page 50]]
(3) Are enrolled in postsecondary educational institutions that--
(i) Are funded by the State;
(ii) Do not charge tuition; and
(iii) Serve only economically disadvantaged students;
(4) Are enrolled in programs serving economically disadvantaged
adults;
(5) Are participants in programs assisted under the JTPA;
(6) Are Pell Grant recipients; and
(c) Proposes an alternative formula that--
(1) Includes direct counts of students enrolled in the institutions
or consortia of eligible institutions;
(2) Directly relates to the status of students as economically
disadvantaged individuals;
(3) Is to be uniformly applied to all eligible institutions;
(4) Does not include fund pools for specific types of institutions
or consortia of eligible institutions;
(5) Does not include the direct assignment of funds to a particular
institution or consortium of eligible institutions on a non-formula
basis; and
(6) Identifies a more accurate count of economically disadvantaged
individuals in the aggregate than does the formula in Sec.
403.116(b)(2).
(Approved by the Office of Management and Budget under Control No. 1830-
0029)
(Authority: 20 U.S.C. 2341a(b))
[57 FR 36735, Aug. 14, 1992, as amended at 59 FR 38513, July 28, 1994]
Sec. 403.119 Under what circumstances may the State waive the
distribution requirements for Secondary School Vocational Education
Program or the Postsecondary and Adult Vocational Education Programs?
(a) This section applies in any fiscal or program year in which a
State reserves 15 percent or less under Sec. 403.180(b)(1) for
distribution under--
(1) The Secondary School Vocational Education Program; or
(2) The Postsecondary and Adult Vocational Education Programs.
(b) Notwithstanding the provisions and Sec. 403.112, Sec. 403.113,
or Sec. 403.116, as applicable, in order to result in a more equitable
distribution of funds for programs serving the highest numbers of
economically disadvantaged individuals, the State may distribute the
funds described in paragraph (a) of this section--
(1) On a competitive basis; or
(2) Through any alternative method determined by the State.
(Authority: 20 U.S.C. 2341b)
Sec. 403.120 How does a State reallocate funds under the Secondary
School Vocational Education Program and the Postsecondary and Adult
Vocational Education Programs?
(a) In any fiscal or program year that an LEA, area vocational
school, intermediate school district, or consortium of those entities,
or an eligible institution, or consortium of eligible institutions, does
not obligate all of the amounts it is allocated for that year under the
Secondary School Vocational Education Program or the Postsecondary and
Adult Vocational Education Programs, the LEA, area vocational education
school, intermediate school district, or consortium of those entities,
or the eligible institution, or consortium of eligible institutions,
shall return any unobligated amounts to the State to be reallocated
under Sec. 403.112(b), Sec. 403.113, or Sec. 403.116(b), as
applicable.
(b) In any fiscal or program year in which amounts allocated under
Sec. 403.112(b), Sec. 403.113, Sec. 403.116(b), or Sec. 403.118 are
returned to the State and the State is unable to reallocate those
amounts according to those sections in time for the amounts to be
obligated in the fiscal or program year, the State shall retain the
amounts to be distributed in combination with amounts reserved under
Sec. 403.112(b), Sec. 403.113, Sec. 403.116(b), or Sec. 403.118 for
the following fiscal or program year.
(Authority: 20 U.S.C. 2341c)
[57 FR 36735, Aug. 14, 1992, as amended at 59 FR 38513, July 28, 1994]
[[Page 51]]
Subpart F_What Kinds of Activities Does the Secretary Assist Under the
Special Programs?
General
Sec. 403.130 What are the Special Programs?
The following special programs are authorized by title III of the
Act and are subject to the requirements of the State plan:
(a) State Assistance for Vocational Education Support Programs by
Community-Based Organizations.
(b) Consumer and Homemaking Education Program.
(c) Comprehensive Career Guidance and Counseling Programs.
(d) Business-Labor-Education Partnerships for Training Program.
(Authority: 20 U.S.C. 2302(d)(A)-(D))
Sec. 403.131 Who is eligible for an award under the Special Programs?
(a) The fifty States, the District of Columbia, Puerto Rico, and the
Virgin Islands are eligible for an award under the--
(1) State Assistance for Vocational Education Support and Programs
by Community-Based Organizations;
(2) Consumer and Homemaking Education Programs; and
(3) Comprehensive Career Guidance and Counseling Programs.
(b) States, as defined in 34 CFR 400.4(b), are eligible for the
Business-Labor-Education Partnerships for Training Program.
(Authority: 20 U.S.C. 2302(d)(A)-(D))
Vocational Education Support Programs by Community-Based Organizations
Sec. 403.140 What activities does the Secretary support under the
State Assistance for Vocational Education Support Programs by
Community-Based Organizations?
(a) The State shall provide, in accordance with its State plan, and
from its allotment for this program, financial assistance to joint
projects of eligible recipients and community-based organizations within
the State that provide the following special vocational education
services and activities:
(1) Outreach programs that facilitate the entrance of youth into a
program of transitional services and subsequent entrance into vocational
education, employment, or other education and training.
(2) Transitional services such as attitudinal and motivational
prevocational training programs.
(3) Prevocational educational preparation and basic skills
development conducted in cooperation with business concerns.
(4) Special prevocational preparations programs targeted to inner-
city youth, non-English speaking youth, Appalachian youth, and the youth
of other urban and rural areas having a high density of poverty who need
special prevocational education programs.
(5) Career intern programs.
(6) Model programs for school dropouts.
(7) The assessment of students' needs in relation to vocational
education and jobs.
(8) Guidance and counseling to assist students with occupational
choices and with the selection of a vocational education program.
(b) Individuals with disabilities who are educationally or
economically disadvantaged may participate in projects under this
program.
(Authority: 20 U.S.C. 2352, 2471(6))
Sec. 403.141 What are the application requirements for the State
Assistance for Vocational Education Support Programs by Community
-Based Organizations?
(a) Each community-based organization and eligible recipient that
desire to participate in this program shall jointly prepare and submit
an application to the State board at the time and in the manner
established by the State board.
(b) The State board also may establish requirements relating to the
contents of the applications, except that each application must
contain--
(1) An agreement among the community-based organization and the
eligible recipients in the area to be served that includes the
designation of one or more fiscal agents for the project;
[[Page 52]]
(2) A description of how the funds will be used, together with
evaluation criteria to be applied to the project;
(3) Assurances that the community-based organization will give
special consideration to the needs of severely economically and
educationally disadvantaged youth, ages sixteen through twenty-one,
inclusive;
(4) Assurances that business concerns will be involved, as
appropriate, in services and activities for which assistance is sought;
(5) A description of the efforts the community-based organization
will make to collaborate with the eligible recipients participating in
the joint project;
(6) A description of the manner in which the services and activities
for which assistance is sought will serve to enhance the enrollment of
severely economically and educationally disadvantaged youth into the
vocational education programs; and
(7) Assurances that the projects conducted by the community-based
organization will conform to the applicable standards of performance and
measures of effectiveness required of vocational education programs in
the State.
(Approved by the Office of Management and Budget under Control No. 1830-
0030)
(Authority: 20 U.S.C. 2351)
Consumer and Homemaking Education Programs
Sec. 403.150 What activities does the Secretary support under the
Consumer and Homemaking Education Programs?
(a) The State shall conduct, in accordance with its State plan, and
from its allotment for this program, consumer and homemaking education
projects that may include--
(1) Instructional projects, services, and activities that prepare
youth and adults for the occupation of homemaking;
(2) Instruction in the areas of--
(i) Food and nutrition;
(ii) Individual and family health;
(iii) Consumer education;
(iv) Family living and parenthood education;
(v) Child development and guidance;
(vi) Housing and home management, including resource management; and
(vii) Clothing and textiles.
(b) The State shall use the funds for this program for projects,
services, and activities--
(1) For residents of economically depressed areas;
(2) That encourage the participation of traditionally underserved
populations;
(3) That encourage, in cooperation with the individual appointed
under Sec. 403.13(a), the elimination of sex bias and sex stereotyping;
(4) That improve, expand, and update Consumer and Homemaking
Education Programs, especially those that specifically address needs
described in paragraphs (b) (1), (2), and (3) of this section; and
(5) That address priorities and emerging concerns at the local,
State, and national levels.
(c) The State may use the funds described in paragraph (a) of this
section for--
(1) Program development and the improvement of instruction and
curricula relating to--
(i) Managing individual and family resources;
(ii) Making consumer choices;
(iii) Balancing work and family;
(iv) Improving responses to individual and family crises (including
family violence and child abuse);
(v) Strengthening parenting skills (especially among teenage
parents);
(vi) Preventing teenage pregnancy;
(vii) Assisting the aged, individuals with disabilities, and members
of at risk populations (including the homeless);
(viii) Improving individual, child, and family nutrition and
wellness;
(ix) Conserving limited resources;
(x) Understanding the impact of new technology on life and work;
(xi) Applying consumer and homemaking education skills to jobs and
careers; and
(xii) Other needs as determined by the State; and
(2) Support services and activities designed to ensure the quality
and effectiveness of programs, including--
(i) The demonstration of innovative and exemplary projects;
[[Page 53]]
(ii) Community outreach to underserved populations;
(iii) The application of academic skills (such as reading, writing,
mathematics, and science) through consumer and homemaking education
programs;
(iv) Curriculum development;
(v) Research;
(vi) Program evaluation;
(vii) The development of instructional materials;
(viii) Teacher education;
(ix) The upgrading of equipment;
(x) Teacher supervision;
(xi) State leadership, including the activities of student
organizations; and
(xii) State administration, subject to Sec. 403.151(c).
(Authority: 20 U.S.C. 2361, 2362(a), (b))
Sec. 403.151 How must funds be used under the Consumer and Homemaking
Education Programs?
(a) A State shall use not less than one-third of its allotment under
the Consumer and Homemaking Education Program in economically depressed
areas or areas with high rates of unemployment for projects, services,
and activities designed to assist consumers, and to help improve the
home environment and the quality of family life.
(b)(1) The State board shall ensure that the experience and
information gained through carrying out projects, services, and
activities under this program are shared with program administrators for
the purpose of program planning.
(2) The State board shall use funds from its allotment under this
program to provide State leadership and one or more full-time State
administrators qualified by experience and educational preparation in
home economics education.
(3) For purposes of the Consumer and Homemaking Education Program,
State leadership includes, but is not limited to, curriculum
development, personnel development, research, dissemination activities,
and technical assistance.
(c) A State may use, in addition to funds reserved under Sec.
403.180(b)(4), not more than six percent of its allotment under this
program for State administration of projects, services, and activities
under this program.
(Authority: 20 U.S.C. 2362(c), 2363)
Comprehensive Career Guidance and Counseling Programs
Sec. 403.160 What activities does the Secretary support under the
Comprehensive Career Guidance and Counseling Programs?
(a) The State shall conduct, in accordance with its State plan, from
its allotment for this program, career guidance and counseling projects,
services, and activities that are--
(1) Organized and administered by certified counselors; and
(2) Designed to improve, expand, and extend career guidance and
counseling programs to meet the career development, vocational
education, and employment needs of vocational education students and
potential students.
(b) The purposes of the projects, services, and activities described
in paragraph (a) of this section must be to--
(1) Assist individuals to--
(i) Acquire self-assessment, career planning, career decision-
making, and employability skills;
(ii) Make the transition from education and training to work;
(iii) Maintain the marketability of their current job skills in
established occupations;
(iv) Develop new skills to move away from declining occupational
fields and enter new and emerging fields in high-technology areas and
fields experiencing skill shortages;
(v) Develop mid-career job search skills and to clarify career
goals; and
(vi) Obtain and use information on financial assistance for
postsecondary and vocational education, and job training; and
(2)(i) Encourage the elimination of sex, age, disabling conditions,
and race bias and stereotyping;
(ii) Provide for community outreach;
(iii) Enlist the collaboration of the family, the community,
business, industry, and labor; and
(iv) Be accessible to all segments of the population, including
women, minorities, individuals with disabilities, and economically
disadvantaged individuals.
[[Page 54]]
(c) The projects, services, and activities described in paragraph
(a) of this section must consist of--
(1) Instructional activities and other services at all educational
levels to help students develop the skills described in paragraph (b)(1)
of this section;
(2) Services and activities designed to ensure the quality and
effectiveness of career guidance and counseling projects such as--
(i) Counselor education, including the education of counselors
working with individuals with limited English proficiency;
(ii) Training support personnel;
(iii) Curriculum development;
(iv) Research and demonstration projects;
(v) Experimental projects;
(vi) The development of instructional materials;
(vii) The acquisition of equipment;
(viii) State and local leadership;
(ix) The development of career information delivery systems; and
(x) Local administration, including supervision;
(xi) State administration, including supervision, subject to Sec.
403.161(c);
(3) Projects that provide opportunities for counselors to obtain
firsthand experience in business and industry; and
(4) Projects that provide students with an opportunity to become
acquainted with business, industry, the labor market, and training
opportunities, including secondary educational programs that--
(i) Have at least one characteristic of an apprenticeable occupation
as recognized by the Department of Labor or the State Apprenticeship
Agency, in accordance with the National Apprenticeship Act (29 U.S.C.
50);
(ii) Are conducted in concert with local business, industry, labor,
and other appropriate apprenticeship training entities; and
(iii) Are designed to prepare participants for an apprenticeable
occupation or provide information concerning apprenticeable occupations
and their prerequisites.
(Authority: 20 U.S.C. 2382(a), (b))
Sec. 403.161 How must funds be used under the Comprehensive Career
Guidance and Counseling Programs?
(a) A State shall use not less than twenty percent of its allotment
under the Career Guidance and Counseling Program for projects, services,
and activities designed to eliminate sex, age, and race bias and
stereotyping under Sec. 403.160(b)(2) to ensure that projects,
services, and activities under this program are accessible to all
segments of the population, including women, disadvantaged individuals,
individuals with disabilities, individuals with limited English
proficiency, and minorities.
(b)(1) The State board shall ensure that the experience and
information gained through carrying out projects, services, and
activities under this program are shared with program administrators for
the purpose of program planning.
(2) The State board shall use funds from its allotment under this
program to provide State leadership that is qualified by experience and
knowledge in guidance and counseling.
(3) For purposes of Comprehensive Career Guidance and Counseling
Programs, State leadership includes, but is not limited to curriculum
development, personnel development, research, dissemination activities,
and technical assistance; and
(c) A State may use, in addition to funds reserved under Sec.
403.180(b)(4), not more than six percent of its allotment under this
program for State administration of projects, services, and activities
under this program.
(Authority: 20 U.S.C. 2382(c), 2383)
Business-Labor-Education Partnership for Training Program
Sec. 403.170 What activities does the Secretary support under the
Business-Labor-Education Partnership for Training Program?
The State board shall, in accordance with the State plan, from its
allotment for this program, support the establishment and operation of
projects, services, and activities, that--
[[Page 55]]
(a) Provide incentives for the coordination of the Business-Labor-
Education Partnership for Training Program with related efforts under
the--
(1) National Tech-Prep Education Program in 34 CFR part 405;
(2) State-Administered Tech-Prep Education Program in 34 CFR part
406; and
(3) JTPA; and
(b) May only include, in addition to the activities described in
Sec. 403.32(a)(27) through (30),--
(1) Training and retraining of instructional and guidance personnel;
(2) Curriculum development and the development or acquisition of
instructional and guidance equipment and materials;
(3) Acquisition and operation of communications and
telecommunications equipment and other high technology equipment for
programs authorized by this part;
(4) Other activities authorized by title III of the Act as may be
essential to the successful establishment and operation of projects,
services, and activities under the Business-Labor-Education Partnership
for Training Program, including activities and related services to
ensure access of women, minorities, individuals with disabilities, and
economically disadvantaged individuals; and
(5) Providing vocational education to individuals in order to assist
their entry into, or advancement in, high-technology occupations or to
meet the technological need of other industries or businesses.
(Authority: 20 U.S.C. 2392(b) and 2393 (a), (d)(1))
Sec. 403.171 Who is eligible to apply to a State board for an award?
(a) The State board awards subgrants or contracts to partnerships
between--
(1) An area vocational education school, a State agency, a local
educational agency, a secondary school funded by the Bureau of Indian
Affairs, an institution of higher education, a State corrections
educational agency, or an adult learning center; and
(2) Business, industry, labor organizations, or apprenticeship
programs.
(b) A partnership receiving an award from a State board must include
as partners at least one entity from paragraph (a)(1) of this section
and at least one entity from paragraph (a)(2) of this section, and may
include more than one entity from each group.
(Authority: 20 U.S.C. 2392(a)(1))
Sec. 403.172 What special considerations must the State board give in
approving projects, services, and activities?
The State board, in approving projects, services, and activities
assisted under the Business-Labor-Education Partnership Training
Program, shall give special consideration to the following:
(a) The level and degree of business and industry participation in
the development and operation of the program.
(b) The current and projected demand within the State or relevant
labor market area for workers with the level and type of skills the
program is designed to produce.
(c) The overall quality of the proposal, with particular emphasis on
the probability of successful completion of the program by prospective
trainees and the capability of the eligible recipient, with assistance
from participating business or industry, to provide high quality
training for skilled workers and technicians in high technology.
(d) The commitment to serve, as demonstrated by special efforts to
provide outreach, information, and counseling, and by the provision of
remedial instruction and other assistance, all segments of the
population, including women, minorities, individuals with disabilities,
and economically disadvantaged individuals.
(e) Projects, services, and activities to provide vocational
education for individuals who have attained 55 years of age in order to
assist their entry into, or advancement in, high-technology occupations
or to meet the technological needs of other industries or businesses.
(Authority: 20 U.S.C. 2393-(b) and (d)(2))
Sec. 403.173 What expenses are allowable?
The State board shall use funds awarded under the Business-Labor-
Education Partnership for Training Program only for--
[[Page 56]]
(a) Expenses incurred in carrying out the programs, services, and
activities described in Sec. 403.170, including, for example, expenses
for--
(1) The introduction of new vocational education programs,
particularly in economically depressed urban and rural areas;
(2) The introduction or improvement of basic skills instruction,
including English-as-a-second-language instruction, in order for an
individual to be eligible for employment, to continue employment, or to
be eligible for career advancement;
(3) Costs associated with coordination between vocational education
programs, business, and industry, including advisory council meetings
and newsletters; and
(4) Transportation and child-care services for students necessary to
ensure access of women, minorities, individuals with disabilities, and
economically disadvantaged individuals to projects, services, and
activities authorized by the Business-Labor-Education Partnership for
Training Program; and
(b)(1) Subject to paragraph (b)(2) of this section, expenditures for
necessary and reasonable administrative costs of the State board and of
eligible partners.
(2) Total expenditures for administrative costs of the State board
and of eligible partners may not exceed 10 percent of the State's
allotment for this program in the first year and five percent of that
allotment in each subsequent year.
(Authority: 20 U.S.C. 2392(d) and 2393(a)(1))
Sec. 403.174 What additional fiscal requirements apply to the
Business-Labor-Education Partnership for Training Program?
(a) The business and industrial share of the costs required in Sec.
403.32(a)(29) may be in the form of either allowable costs or the fair
market value of in-kind contributions such as facilities, overhead,
personnel, and equipment.
(b) The State board shall use equal amounts from its allotment under
this program and from its allotment for basic programs to provide the
Federal share of cost of projects, services, and activities under this
program.
(c) If an eligible partner demonstrates to the satisfaction of the
State that it is incapable of providing all or part of the non-Federal
portion of the costs of projects, services, and activities, as required
by Sec. 403.32(a)(29), the State board may designate funds available
under parts A and C of title II of the Act or funds available from State
sources in place of the non-Federal portion.
(Authority: 20 U.S.C. 2392(c))
Subpart G_What Financial Conditions Must Be Met by a State?
Sec. 403.180 How must a State reserve funds for the basic programs?
(a)(1) Except as provided in paragraph (a)(2) of this section, each
State shall reserve from its allotment under the basic programs
authorized by title II of the Act, for--
(i) The Program for Single Parents, Displaced Homemakers, and Single
Pregnant Women under Sec. 403.81, and the Sex Equity Program under
Sec. 403.91, respectively, an amount that is not less than the amount
the State reserved for each of those programs under section 202 of the
Carl D. Perkins Vocational Education Act (CDPVEA) from its Fiscal Year
(FY) 1991 grant from the FY 1990 appropriation; and
(ii) The Program for Criminal Offenders under Sec. 403.101 an
amount that is not less than--
(A) The amount the State reserved for projects, services, or
activities under section 202(6) of the CDPVEA from its FY 1991 grant
from the FY 1990 appropriation; and
(B) The amount of Federal funds under the CDPVEA, other than the one
percent reserved under section 202(6) of the Act, that the State and its
eligible recipients obligated for projects, services, and activities for
criminal offenders in correctional institutions from its FY 1991 grant
from the FY 1990 appropriation.
(2) In any year in which a State receives an amount for purposes of
carrying out programs under title II of the Act that is less than the
amount the State received for those purposes in its FY 1991 grant award
from the FY 1990
[[Page 57]]
appropriation under the CDPVEA, the State shall ratably reduce the
amounts reserved under paragraph (a)(1) of this section in the same
proportion that the amount for carrying out programs under title II of
the Act is less than the amount the State received for those purposes
from the FY 1990 appropriation.
(b) Except as provided in paragraph (a) of this section, from its
allotment for the basic programs authorized by title II of the Act, a
State shall reserve--
(1) At least 75 percent for the Secondary School Vocational
Education Program and the Postsecondary and Adult Vocational Education
Programs described in Sec. 403.111;
(2) Ten and one-half percent for the Program for Single Parents,
Displaced Homemakers, and Single Pregnant Women described in Sec.
403.81 and the Sex Equity Program described in Sec. 403.91, as follows:
(i) Not less than seven percent for the Program for Single Parents,
Displaced Homemakers, and Single Pregnant Women.
(ii) Not less than three percent for the Sex Equity Program;
(3) Not more than eight and one-half percent for State Programs and
State Leadership Activities described in Sec. Sec. 403.70 and 403.71;
(4) Not more than five percent or $250,000, whichever is greater,
for administration of the State plan, of which--
(i) Not less than $60,000 must be available for carrying out the
provisions in Sec. 403.13, regarding the personnel requirements for
eliminating sex discrimination and sex stereotyping; and
(ii) The remaining amounts may be used for the costs of--
(A) Developing the State plan;
(B) Reviewing local applications;
(C) Monitoring and evaluating program effectiveness;
(D) Providing technical assistance;
(E) Ensuring compliance with all applicable Federal laws, including
required services and activities for individuals who are members of
special populations; and
(F) Supporting the activities of the technical committees it
establishes under Sec. 403.12(b)(1); and
(5) One percent for Programs for Criminal Offenders described in
Sec. 403.101.
(c) The procedure for meeting the ``hold-harmless'' requirements in
Sec. 403.180(a) and the $250,000 minimum for State administration
provision in Sec. 403.180(b)(4) is as follows:
(1) If the five percent reserved for administration is less than the
$250,000 minimum allowed by paragraph (b)(4) of this section, or if any
of the amounts reserved for the Program for Single Parents, Displaced
Homemakers, and Single Pregnant Women in Sec. 403.81, the Sex Equity
Program in Sec. 403.91, or the Program for Criminal Offenders in Sec.
403.101, respectively, is less than the amount reserved for that program
in FY 1990 (funds from the FY 1990 appropriation awarded in the States
FY 1991 grant), a State shall subtract any amount necessary to satisfy
the $250,000 minimum for State administration or any of the ``hold-
harmless'' amounts from the total basic programs award received by the
State.
(2) The State shall reserve $250,000 for administration and shall
reserve for any program not meeting the ``hold-harmless'' requirement an
amount necessary to meet that requirement.
(3) The State shall reserve from the remainder of the basic program
award an amount for each of the remaining programs that is proportionate
to the amount that program would have received in the absence of a
shortfall in the amounts reserved for administration or to meet the
``hold-harmless'' requirements in paragraph (a)(1) of this section.
Example 1: (a) A State receives a basic programs award of
$4,000,000. Five percent of the basic programs award equals $200,000,
which is $50,000 less than the $250,000 minimum that may be reserved for
State administration. To determine the amount of funds that will be
reserved for each program under title II, parts A, B, and C of the Act,
the State first subtracts $250,000 for State administration from the
$4,000,000 basic programs award ($4,000,000 -$250,000 = $3,750,000).
(b) Second, the State determines the amount that would have been
reserved for each of the programs under title II, parts A,
[[Page 58]]
B, and C of the Act in the absence of a shortfall in the set-aside
amount for administration, as follows:
3.0% x $4,000,000 = $120,000 for Sex Equity Programs.
7.5% x $4,000,000 = 300,000 for Programs for Single
Parents, Displaced
Homemakers, and Single
Pregnant Women.
8.5% x $4,000,000 = 340,000 for State Programs and State
Leadership Activities.
1.0% x $4,000,000 = 40,000 for Programs for Criminal
Offenders.
75% x $4,000,000 = 3,000,000 for part C of title II.
-------------
3,800,000
(c) Third, the State converts each of these amounts into a
percentage by dividing each amount by the sum of the amounts the
programs would have received in the absence of a shortfall ($3,800,000)
and multiplies the remaining basic programs award ($3,750,000) by these
percentages to determine the amount to reserve for each program under
parts A, B, and C of title II of the Act, as follows:
($120,000/$3,800,000) x $118,421 for Sex Equity Programs.
$3,750,000 =
($300,000/$3,800,000) x 296,053 for Programs for Single
$3,750,000 = Parents, Displaced
Homemakers, and Single
Pregnant Women.
($340,000/$3,800,000) x 335,526 for State Programs and State
$3,750,000 = Leadership Activities.
($40,000/$3,800,000) x 39,474 for Programs for Criminal
$3,750,000 = Offenders.
($3,000,000/$3,800,000) x 2,960,526 for part C of title II.
$3,750,000 =
-------------
3,750,000
This example assumes that amounts reserved meet the ``hold-
harmless'' requirement of section 102(c)(1) of the Act.
Example 2: A State's seven percent reserve from its FY 1992 grant
for the Program for Single Parents, Displaced Homemakers, and Single
Pregnant Women is $1,400,000 and the amount reserved for that program
from its FY 1991 grant was $1,581,000. Therefore, the amount of FY 1992
funds reserved for that program is $181,000 less than the amount
reserved in FY 1991. The State received a basic programs award of
$20,000,000 in FY 1992. The other programs under title II, part B meet
the ``hold-harmless'' requirement in Sec. 403.180(a)(1), and the amount
reserved for State administration exceeds $250,000. The State determines
the amount of funds to be reserved for each program under title II,
parts A, B, and C of the Act as follows:
(a) First, the State subtracts $1,581,000 from the $20,000,000 total
basic programs award ($20,000,000 -$1,581,000 = $18,419,000).
(b) Second, the State determines the amount that would have been
reserved for each of the programs under parts A, B, and C of title II of
the Act in the absence of a shortfall in the set-aside amount for the
Program for Single Parents, Displaced Homemakers, and Single Pregnant
Women, as follows:
5.0% x $20,000,000 = $1,000,000 for administration.
3.5% x $20,000,000 = 700,000 for Sex Equity Programs.
8.5% x $20,000,000 = 1,700,000 for State Programs and State
Leadership Activities.
1.0% x $20,000,000 = 200,000 for Programs for Criminal
Offenders.
75.0% x $20,000,000 = 15,000,000 for part C of title II.
-------------
18,600,000
(c) Third, the State converts each of these amounts into a
percentage by dividing each amount by the sum of the amounts the
programs would have earned in the absence of a shortfall ($18,600,000)
and multiplies the remaining basic programs award ($18,419,000) by these
percentages to determine the amount to reserve for each program under
parts A, B, and C of title II of the Act, as follows:
($1,000,000/$18,600,000) x $990,269 for administration.
$18,419,000 =
($700,000/$18,600,000) x 693,188 for Sex Equity Programs.
$18,419,000 =
($1,700,000/$18,600,000) x 1,683,457 for State Programs and State
$18,419,000 = Leadership Activities.
($200,000/$18,600,000) x 198,054 for Programs for Criminal
$18,419,000 = Offenders.
($15,000,000/$18,600,000) x 14,854,032 for part C of title II.
$18,419,000 =
-------------
18,419,000
This example assumes that amounts reserved for the Sex Equity
Program and Programs for Criminal Offenders meet the ``hold-harmless''
requirement of section 102(c) (1) and (2) of the Act.
Example 3: A State's one percent reserved from its FY 1992 grant for
Programs for Criminal Offenders is $200,000 and the amount reserved for
that program under section 202(6) of the CDPVEA plus other amounts
obligated for projects, services, and activities for criminal offenders
in correctional institutions from its FY 1991 grant from the FY 1990
appropriations totals $250,000. Therefore, the amount of FY 1992 funds
reserved for that program is $50,000 less than the amount reserved and
obligated for that program in FY 1991. The State received a basic
programs award of $20,000,000 in FY
[[Page 59]]
1992. The other programs under title II, part B meet the ``hold-
harmless'' requirement of Sec. 403.180(a)(1) and the amount reserved
for State administration exceeds $250,000. The State determines the
amount of funds to be reserved for each program under title II, parts A,
B, and C of the Act as follows:
(a) First, the State subtracts $250,000 from the $20,000,000 total
basic programs award ($20,000,000 -$250,000 = $19,750,000).
(b) Second, the State determines the amount that would have been
reserved for each of the programs under parts A, B, and C of title II of
the Act in the absence of a shortfall in the set-aside amount for the
Programs for Criminal Offenders, as follows:
5.0% x 20,000,000 = $1,000,000 for administration.
3.5% x 20,000,000 = 700,000 for Sex Equity Programs.
7.0% x 20,000,000 = 1,400,000 for Programs for Single
Parents, Displaced
Homemakers, and Single
Pregnant Women.
8.5% x 20,000,000 = 1,700,000 for State Programs and State
Leadership Activities.
75.0% x 20,000,000 = 15,000,000 for part C of title II.
-------------
19,800,000
(c) Third, the State converts each of these amounts into a
percentage by dividing each amount by the sum of the amounts the
programs would have earned in the absence of a shortfall ($19,800,000)
and multiplies the remaining basic programs award ($19,750,000) by these
percentages to determine the amount to reserve for each program under
parts A, B, and C of title II of the Act, as follows:
($1,000,000/$19,800,000) x $997,475 for administration.
$19,750,000 =
($700,000/$19,800,000) x $698,232 for Sex Equity Programs.
$19,750,000 =
($1,400,000/$19,800,000) x $1,396,465 for Programs for Single
$19,750,000 = Parents, Displaced
Homemakers, and Single
Pregnant Women.
($1,700,000/$19,800,000) x $1,695,707 for State Programs and State
$19,750,000 = Leadership Activities.
($15,000,000/$19,800,000) x $14,962,121 for part C of title II.
$19,750,000 =
--------------
$19,750,000
This example assumes that amounts reserved for the Sex Equity
Program and for the Program for Single Parents, Displaced Homemakers,
and Single Pregnant Women meet the ``hold-harmless'' requirement of
sections 102(c) (1) and (2) of the Act.
(d) The procedure for meeting the ratable reduction provision in
paragraph (a)(2) of this section is as follows:
(1) If a State's basic programs award under title II of the Act for
FY 1992 or in future years is less than that State's basic grant amount
in FY 1991, a State shall determine the percentage that the basic
programs award is of the FY 1991 basic programs award.
(2) The State shall multiply the amounts reserved in FY 1991 for
each of the three programs covered by the ``hold-harmless'' provisions
in paragraph (a)(1) of this section by this percentage.
(3) The State shall compare the amounts that would be reserved for
these programs in FY 1992 to determine if these amounts are less than
the ratably reduced hold-harmless amounts, and if so, shall proceed with
the calculation required by paragraph (c) of this section except using
the ratably reduced ``hold-harmless'' amounts.
(Authority: 20 U.S.C. 2312)
Sec. 403.181 What are the cost-sharing requirements applicable to
the basic programs?
(a) A State shall match, from non-Federal sources and on a dollar-
for-dollar basis, the funds reserved for administration of the State
plan under Sec. 403.180(b)(4).
(b) The matching requirement under paragraph (a) of this section may
be applied overall, rather than line-by-line, to State administrative
expenditures.
(c) A State shall provide from non-Federal sources for State
administration under the Act an amount that is not less than the amount
provided by the State from non-Federal sources for State administrative
costs for the preceding fiscal or program year.
Example for paragraph (b): From the five percent reserved for the
administration of the State plan, a State must reserve $60,000 to carry
out the provisions in Sec. 403.13. The $60,000 must be matched, but the
matching funds need not be used for the activities described in Sec.
403.13.
(Authority: 20 U.S.C. 2312(b) and 2468d; H.R. Rep. No. 660, 101st Cong.,
2nd Sess. 103-104 (1990))
[[Page 60]]
Sec. 403.182 What is the maintenance of fiscal effort requirement?
The Secretary may not make a payment under the Act to a State for
any fiscal year unless the Secretary determines that the fiscal effort
per student, or the aggregate expenditures of that State, from State
sources, for vocational education for the fiscal year (or program year)
preceding the fiscal year (or program year) for which the determination
is made, at least equaled its effort or expenditures for vocational
education for the second preceding fiscal year (or program year).
(Authority: 20 U.S.C. 2463(a))
Sec. 403.183 Under what circumstances may the Secretary waive the
maintenance of effort requirement?
(a) The Secretary may waive the maintenance of effort requirement in
Sec. 403.182 for a State for one year only if--
(1) The Secretary determines that a waiver would be equitable due to
exceptional or uncontrollable circumstances affecting the State's
ability to maintain fiscal effort; and
(2) The State has decreased its expenditures for vocational
education from non-Federal sources by no more than five percent.
(b) For purposes of this section, ``exceptional or uncontrollable
circumstances'' include, but are not limited to, the following:
(1) A natural disaster.
(2) An unforeseen and precipitous decline in financial resources.
(c) The Secretary does not consider tax initiatives or referenda to
be exceptional or uncontrollable circumstances.
(Authority: 20 U.S.C. 2463(b))
Sec. 403.184 How does a State request a waiver of the maintenance
of effort requirement?
A State seeking a waiver of the maintenance of effort requirement in
Sec. 403.182 shall--
(a) Submit to the Secretary a request for a waiver; and
(b) Include in the request--
(1) The reason for the request;
(2) Information that demonstrates that a waiver is justified; and
(3) Any additional information the Secretary may require.
(Approved by the Office of Management and Budget under Control No. 1830-
0030)
(Authority: 20 U.S.C. 2463(b))
Sec. 403.185 How does the Secretary compute maintenance of effort
in the event of a waiver?
If a State has been granted a waiver of the maintenance of effort
requirement that allows it to receive a grant for a fiscal year, the
Secretary determines whether the State has met that requirement for the
grant to be awarded for the year after the year of the waiver by
comparing the amount spent for vocational education from non-Federal
sources in the first preceding fiscal year (or program year) with the
amount spent in the third preceding fiscal year (or program year).
Example: Because exceptional or uncontrollable circumstances
prevented a State from maintaining its level of fiscal effort in a
program year 1989 (July 1, 1988-June 30, 1989) at the level of its
fiscal effort in program year 1988 (July 1, 1987-June 30, 1988), the
Secretary granted the State a waiver of the maintenance of effort
requirement that permits the State to receive its fiscal year 1990 grant
(a grant that is awarded on or after July 1, 1990 from funds
appropriated in the fiscal year 1990 appropriation). To be eligible to
receive its fiscal year 1991 grant (the grant to be awarded for the year
after the year of the waiver), the State's expenditures from the first
preceding program year (July 1, 1989-June 30, 1990) must equal or exceed
its expenditures from the third preceding program year (July 1, 1987 to
June 30, 1988).
(Authority: 20 U.S.C. 2463(c))
Sec. 403.186 What are the administrative cost requirements applicable
to a State?
(a) Basic Programs. A State may use only funds reserved under Sec.
403.180(b)(4) to administer the programs under title II of the Act,
including Programs for Criminal Offenders.
(b) Special Programs. (1) A State may use the funds reserved under
Sec. 403.180(b)(4) to administer any of the special programs listed in
Sec. 403.130.
(2) In addition to the funds reserved under Sec. 403.180(b)(4), a
State may use only an amount of funds from its allotment for the State
Assistance for Vocational Education Support Programs
[[Page 61]]
by Community-Based Organizations that is necessary and reasonable for
the proper and efficient State administration of that program.
(3) In addition to the funds reserved under Sec. 403.180(b)(4), a
State may use the amounts reserved for the Consumer and Homemaking
Education Program, the Comprehensive Career Guidance and Counseling
Program, and the Business-Labor-Education Partnership for Training
Program under Sec. Sec. 403.151(c), 403.161(c), and 403.173(b),
respectively, for the proper and efficient administration of each
program.
(Authority: 20 U.S.C. 2302(d) (A)-(D) and 2312(a))
Sec. 403.187 How may a State provide technical assistance?
(a) Except as provided in paragraph (b) of this section, a State may
use only an amount of the funds reserved for each of the basic programs
listed in Sec. 403.60 and the special programs listed in Sec. 403.130
to pay the costs of providing technical assistance that is necessary and
reasonable to promote or enhance the quality and effectiveness of that
program.
(b) A State may not use funds reserved under Sec. 403.180(b)(1) for
the Secondary School Vocational Education Program and the Postsecondary
and Adult Vocational Education Program to pay the costs of providing
technical assistance.
(c) In providing technical assistance under paragraph (a) of this
section, a State may not use amounts to an extent that would interfere
with achieving the purposes of the program for which the funds were
awarded.
(Authority: 20 U.S.C. 2302(d) (A)-(D), 2312(a), and 2323(b)(5))
Sec. 403.188 What is a State's responsibility for the cost of services
and activities for members of special populations?
A State is not required to use non-Federal funds to pay the cost of
services and activities that it provides to members of special
populations pursuant to Sec. 403.32(a) (18)-(26) or to pay the cost of
services and activities that eligible recipients provide to members of
special populations pursuant to Sec. Sec. 403.111 (a)(2)(i) and (c)(3),
403.190(b), or 403.193, unless this requirement is imposed by other
applicable laws.
(Authority: 20 U.S.C. 2328)
Subpart H_What Conditions Must be Met by Local Recipients?
Sec. 403.190 What are the requirements for receiving a subgrant
or contract?
(a) Each eligible recipient desiring financial assistance under the
Secondary School Vocational Education Program or the Postsecondary and
Adult Vocational Education Program must submit to the State board,
according to requirements established by the State board, an application
covering the same period as the State plan, for the use of that
assistance. The State board shall determine requirements for local
applications, except that each application must--
(1) Contain a description of--
(i) The vocational education program to be funded, including--
(A) The extent to which the program incorporates each of the
requirements described in Sec. 403.111 (a), (b), and (c); and
(B) How the eligible recipient will use the funds available under
Sec. 403.112, Sec. 403.113, or Sec. 403.116 and from other sources to
improve the program with regard to each requirement and activity
described in Sec. 403.111 (c) and (d);
(ii) How the needs of individuals who are members of special
populations will be assessed and the planned use of funds to meet those
needs;
(iii) How access to programs of good quality will be provided to
students who are economically disadvantaged (including foster children),
students with disabilities, and students of limited English proficiency
through affirmative outreach and recruitment efforts;
(iv) The program evaluation standards the applicant will use to
measure its progress;
(v) The methods to be used to coordinate vocational education
services with relevant programs conducted under the JTPA, including
cooperative arrangements established with private industry councils
established under section 102(a) of that Act, in order to avoid
duplication and to expand the
[[Page 62]]
range of and accessibility to vocational education services;
(vi) The methods used to develop vocational educational programs in
consultation with parents and students of special populations;
(vii) How the eligible recipient coordinates with community-based
organizations;
(viii) The manner and the extent to which the eligible recipient
considered the demonstrated occupational needs of the area in assisting
programs funded under the Act;
(ix) How the eligible recipient will provide a vocational education
program that--
(A) Integrates academic and occupational disciplines so that
students participating in the program are able to achieve both academic
and occupational competence; and
(B) Offers coherent sequences of courses leading to a job skill; and
(x) How the eligible recipient will monitor the provision of
vocational education to individuals who are members of special
populations, including the provision of vocational education to students
with individualized education programs developed under the IDEA;
(2) Provide assurances that--
(i) The programs funded under Sec. 403.112, Sec. 403.113, or Sec.
403.116 will be carried out according to the requirements regarding
special populations;
(ii) The eligible recipient will provide a vocational program that--
(A) Encourages students through counseling to pursue coherent
sequences of courses;
(B) Assists students who are economically disadvantaged, students of
limited English proficiency, and students with disabilities to succeed
through supportive services such as counseling, English-language
instruction, child care, and special aids;
(C) Is of a size, scope, and quality as to bring about improvement
in the quality of education offered by the school; and
(D) Seeks to cooperate with the sex equity program carried out under
Sec. 403.91; and
(iii) The eligible recipient will provide sufficient information to
the State to enable the State to comply with the requirements in Sec.
403.113; and
(3) Contain a report on the number of individuals in each of the
special populations.
(b) Each eligible recipient desiring financial assistance under
title II of the Act must provide assurances to the State board that,
with respect to any project that is funded under a basic program listed
in Sec. 403.60 or a special program listed in Sec. 403.130, it will--
(1) Assist students who are members of special populations to enter
vocational education programs, and, with respect to students with
disabilities, assist in fulfilling the transitional service requirement
of section 626 of the IDEA;
(2) Assess the special needs of students participating in projects
receiving assistance under a basic program listed in Sec. 403.60 or a
special program listed in Sec. 403.130, with respect to their
successful completion of the vocational education program in the most
integrated setting possible;
(3) Provide supplementary services, as defined in 34 CFR 400.4(b),
to students who are members of special populations;
(4) Provide guidance, counseling, and career development activities
conducted by professionally trained counselors and teachers who are
associated with the provision of those special services; and
(5) Provide counseling and instructional services designed to
facilitate the transition from school to post-school employment and
career opportunities.
(c) Each eligible recipient desiring financial assistance under
Title II of the Act must provide the services and activities described
in paragraph (b) of this section, to the extent possible with funds
awarded under the Act, and indicate in its local application whether any
non-Federal funds will be used for this purpose.
Cross Reference: See Sec. 403.193(e).
(d) Each eligible recipient desiring financial assistance under the
Act shall provide sufficient information to the State, as the State
board requires, to demonstrate to the State board that
[[Page 63]]
the eligible recipient's projects comply with Sec. 403.32(a)(18)-(26).
(e) Each eligible recipient desiring financial assistance under the
Act shall--
(1) Provide the assurance described in Sec. 403.14(a)(2); and
(2) Include in its application, as appropriate--
(i) The number of disabled students, economically disadvantaged
students, and students with limited English proficiency in its
vocational program;
(ii) An assessment of the vocational needs of its students with
disabilities, economically disadvantaged students, and students with
limited English proficiency; and
(iii) A plan to provide supplementary services sufficient to meet
the needs identified in the assessment described in paragraph
(e)(2)(ii).
(Authority: 20 U.S.C. 2321(c)(1), (d), (e); 2328; and 2343)
(Approved by the Office of Management and Budget under Control No. 1830-
0030)
Sec. 403.191 What are the requirements for program evaluation?
(a)(1) Beginning in the 1992-1993 school year, each recipient of
financial assistance under Sec. 403.112, Sec. 403.113, or Sec.
403.116 shall evaluate annually the effectiveness of the particular
projects, services, and activities receiving assistance under a basic
program listed in Sec. 403.60, or a special program listed in Sec.
403.130, unless the State board determines pursuant to Sec.
403.201(a)(3) that a broader evaluation is required. A recipient may
conduct the evaluation required under this paragraph by evaluating
either the entire population of participants or a representative sample
of participants.
(2) The annual evaluation must be based on the standards and
measures developed by the State board in accordance with Sec. Sec.
403.201 and 403.202, including any modifications made by the recipient
in accordance with paragraph (b) of this section.
(b)(1) Each recipient may modify the State standards and measures
based on--
(i) Economic, geographic, or demographic factors; or
(ii) The characteristics of the populations to be served.
(2) Modifications must conform to the assessment criteria contained
in the State plan.
(c) Each recipient, as part of the annual evaluation required in
paragraph (a) of this section, and with the full participation of
representatives of special populations, shall--
(1) Identify and adopt strategies to overcome barriers that are
resulting in lower rates of access to, or success in, vocational
education programs for members of special populations; and
(2) Evaluate the progress of individuals who are members of special
populations.
(d) Each recipient, as a part of the annual evaluation required in
paragraph (a) of this section, shall evaluate its progress in providing
vocational education students with strong experience in and
understanding of all aspects of the industries the students are
preparing to enter.
(e) Each recipient may use funds awarded under a basic program
listed in Sec. 403.60 or a special program listed in Sec. 403.130 to
support the cost of conducting the evaluation required under paragraphs
(a) through (d) of this section to the extent that the costs are--
(1) Reasonable and necessary;
(2) Related to the purposes for which the funds were awarded; and
(3) Consistent with applicable requirements, such as the requirement
in Sec. 403.196 to use funds awarded under title II of the Act to
supplement, and not to supplant, State and local funds.
(Authority: 20 U.S.C. 2325(a) and 2327(a))
Sec. 403.192 What are the requirements for program improvement?
(a) If, beginning not less than one year after implementing the
program evaluation required in Sec. 403.191, a recipient determines,
through its annual evaluation, that it is not making substantial
progress in meeting the standards and measures developed by the State
under Sec. Sec. 403.201 and 403.202, the recipient shall develop a plan
for program improvement for the succeeding school year.
(b) The plan must be developed in consultation with teachers,
parents, and students concerned with or affected by the program, and
must describe how the recipient will identify
[[Page 64]]
and modify projects, services, and activities receiving assistance under
the programs listed in Sec. Sec. 403.60 and 403.130 that are in need of
improvement, including a description of--
(1) Vocational education and career development strategies designed
to achieve progress in improving the effectiveness of the recipient's
projects, services, and activities receiving assistance under the
programs listed in Sec. Sec. 403.60 and 403.130 evaluated under Sec.
403.191(a)(1); and
(2) If necessary, the strategies designed to improve supplementary
services provided to individuals who are members of special populations.
(Authority: 20 U.S.C. 2327(b))
(Approved by the Office of Management and Budget under Control No. 1830-
0030)
Cross Reference: See 34 CFR 403.204.
Sec. 403.193 What are the information requirements regarding special
populations?
(a)(1) Each local educational agency that receives funds under Title
II of the Act shall provide to students who are members of special
populations and their parents information concerning--
(i) The opportunities available in vocational education;
(ii) The requirements for eligibility for enrollment in those
vocational education programs;
(iii) Special courses that are available;
(iv) Special services that are available;
(v) Employment opportunities; and
(vi) Placement.
(2) Each area vocational education school or intermediate
educational agency that receives funds under title II of the Act shall
provide the information described in paragraph (a)(1) of this section to
the students who are members of special populations and their parents in
any local educational agency whose allocation was distributed in its
entirety under Sec. 403.113 to the area vocational education school or
intermediate educational agency.
(b) The information described in paragraph (a)(1) of this section
must be provided at least one year before the students enter, or are of
an appropriate age for, the grade level in which vocational education
programs are first generally available in the State, but in no case
later than the beginning of the ninth grade.
(c) Each eligible institution or consortium of eligible institutions
that receives funds under Title II of the Act shall--
(1) Provide the information described in paragraph (a)(1) of this
section to each individual who requests information concerning, or seeks
admission to, vocational education programs offered by the institution
or consortium of eligible institutions; and
(2) If appropriate, assist in the preparation of applications
relating to that admission.
(d) Information described under paragraph (a)(1) of this section
must, to the extent practicable, be in a language and form that parents
and students understand.
(e) An eligible recipient is not required by this part to use non-
Federal funds to pay the cost of services and activities required by
this section and Sec. Sec. 403.111(a)(2)(i) and (c)(3) and 403.190(b)
unless this requirement is imposed by other applicable laws.
(Authority: 20 U.S.C. 2328(b) and (c) and 2342(a) and (c)(1)(C))
[57 FR 36735, Aug. 14, 1992, as amended at 59 FR 38513, July 28, 1994]
Sec. 403.194 What are the comparability requirements?
(a) A local educational agency may receive an award of Federal funds
under the State plan only if--
(1) The local educational agency uses State and local funds to
provide services in secondary schools or sites served with Federal funds
awarded under the State plan that, taken as a whole, are at least
comparable to those services being provided in secondary schools or
sites that are not being served with Federal funds awarded under the
State plan; or
(2) In the event that the local educational agency serves all its
secondary schools or sites with Federal funds awarded under the State
plan, the local educational agency uses State and local funds to provide
services that, taken as a whole, are substantially comparable in each
secondary school or site.
[[Page 65]]
Cross Reference: See appendix B to part 403.
(b) The comparability requirements in paragraph (a) of this section
do not apply to--
(1) A local educational agency with only one secondary school or
site; or
(2) A consortium composed of more than one local educational agency,
except that, within a consortium, each local educational agency itself
must meet the comparability requirements unless it is exempt under
paragraph (b)(1) of this section.
(c)(1) A local educational agency shall develop written procedures
for complying with the comparability requirements in paragraph (a) of
this section, including a process for demonstrating annually that State
and local funds are used to provide services in served schools and sites
that are at least comparable to the services provided with State and
local funds in schools or sites in the local educational agency that are
not served with funds awarded under the State plan.
(2) In reaching the determination as to whether comparability
requirements in paragraph (a) of this section were met, the local
educational agency's written procedures--
(i) Do not have to take into account unpredictable changes in
student enrollment or personnel assignments that occur after the
beginning of a school year; and
(ii) May not take into account any State and local funds spent in
carrying out the following types of programs:
(A) Special local programs designed to meet the educational needs of
educationally deprived children, including compensatory education for
educationally deprived children, that were excluded in the preceding
fiscal year from comparability determinations under section
1018(d)(1)(B) of chapter 1 (20 U.S.C. 2728(d)(1)(B)).
(B) Bilingual education for children of limited English proficiency.
(C) Special education for children with disabilities.
(D) State phase-in programs that were excluded in the preceding
fiscal year from comparability determinations under section
1018(d)(2)(B) of chapter 1 (20 U.S.C. 2728(d)(2)(B)).
(Approved by the Office of Management and Budget under Control No. 1830-
0030)
(Authority: 20 U.S.C. 2323(b)(19))
Sec. 403.195 What are the administrative cost requirements applicable
to local recipients?
(a) Except as provided in paragraphs (b) and (c) of this section,
each eligible recipient, including a State corrections educational
agency, that receives an award under a basic program listed in Sec.
403.60 or a special program listed in Sec. 403.130, may use no more
than the amount of funds from each award that is necessary and
reasonable for the proper and efficient administration of the projects,
services, and activities for which the award was made.
(b) Each eligible recipient that receives an award under Sec.
403.112, Sec. 403.113, or Sec. 403.116 may use no more than five
percent of those funds for administrative costs.
(c) Each eligible partner that receives an award under the Business-
Labor-Education Partnership for Training Program may use no more funds
under that award for administrative costs than the amounts prescribed in
Sec. 403.173(b).
(Authority: 20 U.S.C. 2342(c); 2393(a)(1) and (c))
Sec. 403.196 What are the requirements regarding supplanting?
(a) Funds made available under title II of the Act must be used to
supplement, and to the extent practicable increase the amount of State
and local funds that would in the absence of funds under title II of the
Act be made available for the purposes specified in the State plan and
the local application.
(b) Notwithstanding paragraph (a) of this section and Sec.
403.32(a)(17), funds made available under title II of the Act may be
used to pay the costs of vocational education services required by an
individualized education program developed pursuant to sections 612(4)
and 614(a)(5) of the IDEA (20 U.S.C. 1412(4) and 1414(a)(5)), in a
manner consistent with section 614(a)(1) of that Act, and services
necessary to meet the
[[Page 66]]
requirements of section 504 of the Rehabilitation Act of 1973 with
respect to ensuring equal access to vocational education.
(c) Any expenditures pursuant to paragraph (b) of this section must
increase the amount of funds that would otherwise be available to meet
the costs of an individualized education program or to comply with
section 504 of the Rehabilitation Act of 1973.
(Authority: 20 U.S.C. 2468e(a)(1))
Sec. 403.197 What are the requirements for the use of equipment?
(a) Equipment purchased with funds under Sec. 403.112, Sec.
403.113, or Sec. 403.116, when not being used to carry out the purposes
of the Act for which it was purchased, may be used for other vocational
education purposes if the acquisition of the equipment was reasonable
and necessary for the purpose of conducting a properly designed project
or activity under the Secondary School Vocational Education Program or
the Postsecondary and Adult Vocational Education Program.
(b) Equipment purchased with funds under Sec. 403.112, Sec.
403.113, or Sec. 403.116, when not being used to carry out the purposes
of the Act for which it was purchased or other vocational education
purposes, may be used for other instructional purposes if--
(1) The acquisition of the equipment was reasonable and necessary
for the purpose of conducting a properly designed project or activity
under the Secondary School Vocational Education Program or the
Postsecondary and Adult Vocational Education Program; and
(2) The other use of the equipment is after regular school hours or
on weekends.
(c) The use of equipment under paragraphs (a) and (b) of this
section must--
(1) Be incidental to the use of that equipment for the purposes
under the Secondary School Vocational Education Program or the
Postsecondary and Adult Vocational Education Program for which it was
purchased;
(2) Not interfere with the use of that equipment for the purposes
under the Secondary School Vocational Education Program or the
Postsecondary and Adult Vocational Education Program for which it was
purchased; and
(3) Not add to the cost of using that equipment for the purposes
under the Secondary School Vocational Education Program or the
Postsecondary and Adult Vocational Education Program for which it was
purchased.
(Authority: 20 U.S.C. 2342(c)(3))
Subpart I_What Are the Administrative Responsibilities of a State Under
the State Vocational and Applied Technology Education Program?
Sec. 403.200 What are the State's responsibilities for ensuring
compliance with the comparability requirements?
(a) The State board may not make a payment under the Act to a local
educational agency unless the LEA is in compliance with Sec. 403.194.
As indicated in Sec. 403.194(a), an LEA may demonstrate its compliance
with the comparability requirements by filing an appropriate assurance.
(b) The State board shall monitor each local educational agency's
compliance with the comparability requirements in Sec. 403.194.
(c) If, after a local educational agency receives an award of
Federal funds under the State plan, the local educational agency is
found not to be in compliance with the comparability requirements, the
State board shall--
(1) Withhold all or a portion of the local educational agency's
grant award, but not less than the amount or percentage by which the
local educational agency failed to achieve comparability under the local
educational agency's procedures established pursuant to Sec.
403.194(c); or
(2) Require repayment of the amount or percentage by which the local
educational agency failed to achieve comparability if the local
educational agency is found not to be in compliance after the period of
availability of the funds awarded has ended.
(Authority: 20 U.S.C. 2323(b)(19))
[[Page 67]]
Sec. 403.201 What are the State's responsibilities for developing
and implementing a statewide system of core standards and measures
of performance?
(a)(1) Each State board receiving funds under the Act shall develop
and implement a statewide system of core standards and measures of
performance for secondary, postsecondary, and adult vocational education
programs.
(2) This system must--
(i) Be developed and implemented by September 25, 1992; and
(ii) Apply to all programs assisted under the Act.
(3) The State board must determine whether a recipient of funds
under Sec. 403.112, Sec. 403.113, or Sec. 403.116 must evaluate more
than the particular projects, services, and activities receiving
assistance under a basic program listed in Sec. 403.60 or a special
program listed in Sec. 403.130 in order to carry out a valid, reliable,
and otherwise meaningful evaluation of the effectiveness of these
projects, services, and activities as required by Sec. 403.191(a)(1),
using the standards and measures developed pursuant to paragraph (a)(1)
of this section.
(4) If a State board determines under paragraph (a)(3) of this
section that a recipient must evaluate more than the particular
projects, services, and activities receiving assistance under a basic or
special program, the State board shall--
(i) Determine whether the entire local vocational education
program--or which projects, services, and activities in addition to the
ones assisted under a basic or special program--must be evaluated to
assess the effectiveness of the particular projects, services, and
activities receiving assistance under a basic program or a special
program; and
(ii) Require a recipient to conduct an evaluation consistent with
the State board's determination under paragraph (a)(4)(i) of this
section.
(b) To assist in the development and implementation of the Statewide
system addressed in paragraph (a) of this section, the State board shall
appoint a State Committee of Practitioners (Committee), as prescribed in
34 CFR 400.6.
(c) The State board shall convene the Committee on a regular basis
to review, comment on, and propose revisions to the State board's draft
proposal for a system of core standards and measures of performance for
vocational education programs assisted under the Act.
(d) To assist the Committee in formulating recommendations for
modifying standards and measures of performance, the State board shall
provide the Committee with information concerning differing types of
standards and measures including--
(1) The advantages and disadvantages of each type of standard or
measure; and
(2) Instances in which those standards and measures--
(i) Have been effective; and
(ii) Have not been effective.
(Approved by the Office of Management and Budget under Control No. 1830-
0030)
(Authority: 20 U.S.C. 2325(a) and (d))
Sec. 403.202 What must each State's system of core standards and
measures of performance include?
(a) The statewide system of core standards and measures of
performance for vocational education programs must include--
(1) Measures of learning and competency gains, including student
progress in the achievement of basic and more advanced academic skills;
(2) One or more measures of the following:
(i) Student competency attainment.
(ii) Job or work skill attainment or enhancement including student
progress in achieving occupational skills necessary to obtain employment
in the field for which the student has been prepared, including
occupational skills in the industry the student is preparing to enter.
(iii) Retention in school or completion of secondary school or its
equivalent.
(iv) Placement into additional training or education, military
service, or employment;
(3) Incentives or adjustments that are--
(i) Designed to encourage service to targeted groups or special
populations; and
[[Page 68]]
(ii) Developed for each student, and, if appropriate, consistent
with the student's individualized education program developed under
section 614(a)(5) of the IDEA; and
(4) Procedures for using existing resources and methods developed in
other programs receiving Federal assistance.
(b) In developing the standards and measures included in the system
developed under paragraph (a) of this section, the State board shall
take into consideration and shall provide, to the extent appropriate,
for consistency with--
(1) Standards and measures developed under job opportunities and
basic skills training programs established and operated under a plan
approved by the Secretary of Health and Human Services that meets the
requirements of section 402(a)(19) of the Social Security Act (42 U.S.C.
687); and
(2) Standards prescribed by the Secretary of Labor under section 106
of the JTPA.
(Approved by the Office of Management and Budget under Control No. 1830-
0030)
Cross Reference: See 34 CFR 400.6.
Sec. 403.203 What are the State's responsibilities for a State
assessment?
(a) Each State board receiving assistance under the Act shall
conduct an assessment of the quality of vocational education programs
throughout the State using measurable objective criteria.
(b) In developing the assessment criteria, the State board shall--
(1) Consult with representatives of the groups described in 34 CFR
400.6(c); and
(2) Use information gathered by the National Occupational
Information Coordinating Committee and, if appropriate, other
information.
(c) Each State board shall--
(1) Develop assessment criteria no later than the beginning of the
1991-1992 school year; and
(2) Widely disseminate those criteria.
(d) Assessment criteria must include at least the following factors,
but may include others:
(1) Integration of academic and vocational education.
(2) Sequential courses of study leading to both academic and
occupational competencies.
(3) Increased student work skill attainment and job placement.
(4) Increased linkages between secondary and postsecondary
educational institutions.
(5) Instruction and experience, to the extent practicable, in all
aspects of an industry the students are preparing to enter.
(6) The ability of the eligible recipients to meet the needs of
special populations with respect to vocational education.
(7) Raising the quality of vocational education programs in schools
with a high concentration of poor and low-achieving students.
(8) The relevance of programs to the workplace and to the
occupations for which students are to be trained, and the extent to
which those programs reflect a realistic assessment of current and
future labor market needs, including needs in areas of emerging
technologies.
(9) The ability of the vocational curriculum, equipment, and
instructional materials to meet the demands of the work force.
(10) Basic and higher order current and future workplace
competencies that will reflect the hiring needs of employers.
(11) The capability of vocational education programs to meet the
needs of individuals who are members of special populations.
(12) Other factors considered appropriate by the State board.
(e) The assessment must include an analysis of--
(1) The relative academic, occupational, training, and retraining
needs of secondary, adult, and postsecondary students; and
(2) The capability of vocational education programs to provide
vocational education students, to the extent practicable, with--
(i) Strong experience in, and understanding of, all aspects of the
industry the students are preparing to enter (including planning,
management, finances, technical and production skills, underlying
principles of technology, labor and community issues,
[[Page 69]]
and health, safety, and environmental issues); and
(ii) Strong development and use of problem-solving skills and basic
and advanced academic skills (including skills in the areas of
mathematics, reading, writing, science, and social studies) in a
technological setting.
(f)(1) Each State board shall complete the initial assessment
required by paragraph (a) of this section before March 25, 1991, and,
therefore, at least six months prior to the required submission of a new
State plan to the Secretary.
(2) Each State board shall conduct an assessment under this section
prior to the submission of each new State plan to the Secretary.
(Approved by the Office of Management and Budget under Control No. 1830-
0030)
(Authority: 20 U.S.C. 2323(a)(3), (b)(3)(B), and 2326)
Sec. 403.204 What are the State's responsibilities for program
evaluation and improvement?
(a) If, one year after an eligible recipient has implemented its
program improvement plan described in Sec. 403.192, the State finds
that the eligible recipient has not made sufficient progress in meeting
the standards and measures developed as required by Sec. Sec. 403.201
and 403.202, the State shall work jointly with the recipient and with
teachers, parents, and students concerned with or affected by the
program, to develop a joint plan for program improvement.
(b) Each joint plan required by paragraph (a) of this section must
contain--
(1) A description of the technical assistance and program activities
the State will provide to enhance the performance of the eligible
recipient;
(2) A reasonable timetable to improve school performance under the
plan;
(3) A description of vocational education strategies designed to
improve the performance of the program as measured by the local
evaluation; and
(4) If necessary, a description of strategies designed to improve
supplementary services provided to individuals who are members of
special populations.
(c) The State, in conjunction with the eligible recipient, shall
annually review and revise the joint plan developed under paragraph (a)
of this section and provide appropriate assistance until the recipient
sustains fulfillment of State and local standards and measures developed
under Sec. Sec. 403.201 and 403.202 for more than one year.
(Approved by the Office of Management and Budget under Control No. 1830-
0030)
(Authority: 20 U.S.C. 2327(c), (d))
Sec. 403.205 What are the State's responsibilities for members of
special populations?
The State board shall--
(a) Establish effective procedures, including an expedited appeals
procedure, by which students who are members of special populations and
their parents, teachers, and concerned area residents will be able to
participate directly in State and local decisions that influence the
character of programs under the Act affecting their interests; and
(b) Provide technical assistance and design procedures necessary to
ensure that those individuals referred to in paragraph (a) of this
section are given access to the information needed to use those
procedures.
(Approved by the Office of Management and Budget under Control No. 1830-
0030)
(Authority: 20 U.S.C. 2328(d))
Sec. 403.206 What are the State's responsibilities regarding a State
occupational information coordinating committee?
(a) A State that receives funds under the Act shall establish a
State occupational information coordinating committee composed of
representatives of the State board, the State employment security
agency, the State economic development agency, the State job training
coordinating council, and the agency administering the vocational
rehabilitation program.
(b) With funds made available to it by the National Occupational
Information Coordinating Committee, the State occupational information
coordinating committee shall--
(1) Implement an occupational information system in the State that
will
[[Page 70]]
meet the common needs for the planning for, and the operation of,
programs of the State board assisted under the Act and of the
administering agencies under the JTPA; and
(2) Use the occupational information system to implement a career
information delivery system.
(Authority: 20 U.S.C. 2422(b))
Sec. 403.207 What are the State's responsibilities to the National
Center or Centers for Research in Vocational Education?
A State shall forward to the National Center for Research in
Vocational Education a copy of an abstract for each new research,
curriculum development, or personnel development project it supports,
and the final report on each project.
(Authority: 20 U.S.C. 2404(c))
Sec. 403.208 What are the requirements regarding supplanting?
(a) The State board is subject to the prohibition against
supplanting in Sec. 403.196.
(b) The State board shall monitor each eligible recipient's
compliance with the supplanting requirements in Sec. 403.196.
(Authority: 20 U.S.C. 2468e(a)(1))
Sec. Appendix A to Part 403--Examples for 34 CFR 403.111(a) and
403.111(c)(3)
Illustration of providing full participation under 34 CFR
403.111(a). An educationally disadvantaged student is enrolled in a
course that is part of a vocational education program and is having
trouble understanding a math concept (e.g., negative numbers) necessary
to succeed in the course. To ensure the student's full participation in
the course, a local educational agency may use funds awarded under Sec.
403.112 as needed to provide tutoring in negative numbers to enable the
student to understand the concept well enough to complete the vocational
education course.
Illustrations of providing equitable participation under 34 CFR
403.111(c)(3).
Example 1: An area vocational education school conducts an informal
meeting to provide the information required in Sec. 403.193(a)
regarding the area vocational education school's vocational education
programs, to parents of students who are members of special populations
in a local educational agency whose allocation was distributed to the
area vocational education school under Sec. 403.113. The area
vocational education school conducts the meeting at a time and in a
location convenient for these parents and students. At the meeting, the
area vocational education school provides a staff person to assist
students or their parents to complete any forms necessary to enroll in
the area vocational education school's vocational education program.
Example 2: A hearing-impaired student in a local educational agency
could participate in the vocational education program only if an
interpreter is provided for that student. The local educational agency
cannot refuse to admit the student because of the need for an
interpreter.
Sec. Appendix B to Part 403--Examples for 34 CFR 403.194--Comparability
Requirements
Methods by which a local educational agency can demonstrate its
compliance with the comparability requirements in 34 CFR 403.194(a)
include the following:
Example 1: The local educational agency files with the State board a
written assurance that it has established and implemented--
(a) A district-wide salary schedule;
(b) A policy to ensure equivalence among secondary schools or sites
in teachers, administrators, and auxiliary personnel; and
(c) A policy to ensure equivalency among secondary schools or sites
in the provision of curriculum materials and instructional supplies.
Example 2: The local educational agency establishes and implements
other procedures for ensuring comparability, such as the following:
(a) Comparing the average number of students per instructional staff
in each secondary school or site served with Federal funds awarded under
the State plan with the average number of students per instructional
staff in secondary schools or sites not served with Federal funds
awarded under the State plan. A served school is considered comparable
if its average does not exceed 110 percent of the average of schools or
sites in the local educational agency not served with Federal funds
awarded under the State plan; or
(b) Comparing the average instructional staff salary expenditures
per student in each secondary school or site served with Federal funds
awarded under the State plan with the average instructional staff salary
expenditure per student in schools or sites in the local educational
agency not served with Federal funds awarded under the State plan. A
served school is considered comparable if its average is at least 90
percent of the average of schools or sites not served with Federal funds
awarded under the State plan.
[[Page 71]]
PART 406_STATE-ADMINISTERED TECH-PREP EDUCATION PROGRAM--
Table of Contents
Subpart A_General
Sec.
406.1 What is the State-Administered Tech-Prep Education Program?
406.2 Who is eligible for an award?
406.3 What activities may the Secretary fund?
406.4 What regulations apply?
406.5 What definitions apply?
Subpart B_How Does a State Apply for a Grant?
406.10 What must the State application contain?
Subpart C_How Does the Secretary Make a Grant to a State?
406.20 How does the Secretary make allotments?
406.21 How does the Secretary make reallotments?
Subpart D_What Conditions Must Be Met After a State Receives an Award?
406.30 Who is eligible to apply to a State for an award?
406.31 How does a State carry out the State-Administered Tech-Prep
Education Program?
406.32 What are the local application requirements?
406.33 What are the reporting requirements?
Authority: 20 U.S.C. 2394-2394e, unless otherwise noted.
Source: 57 FR 36763, Aug. 14, 1992, unless otherwise noted.
Subpart A_General
Sec. 406.1 What is the State-Administered Tech-Prep Education Program?
If the annual appropriation for tech-prep education exceeds
$50,000,000, the State-Administered Tech-Prep Education Program provides
financial assistance for--
(a) Planning and developing four-year or six-year programs designed
to provide a tech-prep education program leading to a two-year associate
degree or certificate; and
(b) Planning and developing, in a systematic manner, strong,
comprehensive links between secondary schools and postsecondary
educational institutions.
(Authority: 20 U.S.C. 2394(b))
[57 FR 36763, Aug. 14, 1992, as amended at 59 FR 38513, July 28, 1994]
Sec. 406.2 Who is eligible for an award?
A State board of vocational education (State board) in the fifty
States, Puerto Rico, the District of Columbia, or the Virgin Islands is
eligible for an allotment under this program.
(Authority: 20 U.S.C. 2394a(b))
Sec. 406.3 What activities may the Secretary fund?
(a) The Secretary makes allotments to State boards to provide
funding for consortia described in Sec. 406.30 for tech-prep education
projects.
(b) A State board assists projects that must--
(1) Be carried out under an articulation agreement between the
members of the consortium;
(2) Consist of the two years or four years of secondary school
preceding graduation and two years of higher education, or an
apprenticeship training program of at least two years following
secondary instruction, with a common core of required proficiency in
mathematics, science, communications, and technologies designed to lead
to an associate degree or certificate in a specific career field;
(3) Include the development of tech-prep education program curricula
appropriate to the needs of the consortium participants;
(4) Include in-service training for teachers that--
(i) Is designed to train teachers to implement tech-prep education
program curricula effectively;
(ii) Provides for joint training for teachers from all participants
in the consortium; and
(iii) May provide training on weekends, evenings, or during the
summer in the form of sessions, institutes, or workshops;
(5) Include training activities for counselors designed to enable
counselors to more effectively--
(i) Recruit students for tech-prep education programs;
[[Page 72]]
(ii) Ensure that students successfully complete tech-prep education
programs; and
(iii) Ensure that students are placed in appropriate employment;
(6) Provide equal access to the full range of tech-prep education
programs to individuals who are members of special populations,
including the development of tech-prep education program services
appropriate to the needs of these individuals so that these individuals
have an opportunity to enter tech-prep education that is equal to the
opportunity afforded to the general student population; and
(7) Provide preparatory services that assist all populations to
participate in tech-prep education programs.
(c) A project assisted under this part may also--
(1) Provide for the acquisition of tech-prep education program
equipment; and
(2) Acquire, as part of the planning activities of the tech-prep
education program, technical assistance from State or local entities
that have successfully designed, established, and operated tech-prep
education programs.
(Authority: 20 U.S.C. 2394a, 2394b)
[57 FR 36763, Aug. 14, 1992, as amended at 59 FR 38514, July 28, 1994]
Sec. 406.4 What regulations apply?
The following regulations apply to the State-Administered Tech-Prep
Education Program:
(a) The regulations in this part 406.
(b) The regulations in 34 CFR part 400.
(Authority: 20 U.S.C. 2394-2394e)
Sec. 406.5 What definitions apply?
(a) The definitions in 34 CFR 400.4 apply to this part.
(b) The following definitions also apply to this part:
Articulation agreement means a commitment to a program designed to
provide students with a non-duplicative sequence of progressive
achievement leading to competencies in a tech-prep education program.
Community college--
(1) Has the meaning provided in 34 CFR 400.4 for the term
Institution of higher education for an institution that provides not
less than a two-year program that is acceptable for full credit toward a
bachelor's degree; and
(2) Includes tribally controlled community colleges.
Institution of higher education includes an institution offering
apprenticeship programs of at least two years beyond the completion of
secondary school, and includes, in addition to the institutions covered
by the definition of the term institution of higher education in 34 CFR
400.4, a--
(1) Proprietary institution of higher education;
(2) Postsecondary vocational institution;
(3) Department, division, or other administrative unit in a college
or university that provides primarily or exclusively an accredited
program of education in professional nursing and allied subjects leading
to the degree of bachelor of nursing, or to be an equivalent degree, or
to a graduate degree in nursing; and
(4) Department, division, or other administrative unit in a junior
college, community college, college, or university that provides
primarily or exclusively an accredited two-year program of education in
professional nursing and allied subjects leading to an associate degree
in nursing or an equivalent degree.
Tech-prep education program means a combined secondary and
postsecondary program that--
(1) Leads to an associate degree or two-year certificate;
(2) Provides technical preparation in at least one field of
engineering technology, applied science, mechanical, industrial, or
practical art or trade, or agriculture, health, or business;
(3) Builds student competence in mathematics, science, and
communications (including through applied academics) through a
sequential course of study; and
(4) Leads to placement in employment.
(Authority: 20 U.S.C. 1088 and 2394e)
[[Page 73]]
Subpart B_How Does a State Apply for a Grant?
Sec. 406.10 What must the State application contain?
To receive a grant under this program, a State board shall submit an
application to the Secretary at such time, in such manner, as the
Secretary prescribes. The State board may submit an application along
with the State plan submitted in accordance with 34 CFR 403.30. The
application must include a description of--
(a) The requirements for State board approval of funding of a local
tech-prep education project, including--
(1) Whether the State board intends to make awards on a competitive
basis or on the basis of a formula; and
(2) If a formula is to be used, a description of that formula;
(b) How the State board will perform the following:
(1) Approve applications based on their potential to create an
effective tech-prep education program as described in Sec. 406.3(b).
(2) Give special consideration to applicants that--
(i) Provide for effective employment placement activities or
transfer of students to four-year baccalaureate degree programs;
(ii) Are developed in consultation with business, industry, labor
unions, and institutions of higher education that award baccalaureate
degrees; and
(iii) Address effectively the issues of dropout prevention and re-
entry and the needs of minority youth of limited English proficiency,
youth with disabilities, and disadvantaged youth;
(3) Ensure an equitable distribution of assistance between urban and
rural consortium participants;
(c) How the State board will ensure that local recipients meet the
requirements of this program; and
(d) How activities under this program will be coordinated with other
tech-prep education programs, services, and activities provided under
the State plan.
(Approved by the Office of Management and Budget under Control No. 1830-
0029)
(Authority: 20 U.S.C. 2394c (b)-(e))
[57 FR 36763, Aug. 14, 1992, as amended at 59 FR 38514, July 28, 1994]
Subpart C_How Does the Secretary Make a Grant to a State?
Sec. 406.20 How does the Secretary make allotments?
The Secretary determines the amount of each State's allotment
according to a formula in section 101(a)(2) of the Act.
(Authority: 20 U.S.C. 2394a(b)(1))
Sec. 406.21 How does the Secretary make reallotments?
(a)(1) If the Secretary determines that any amount of a State's
allotment under Sec. 406.20 will not be required for any fiscal year
for carrying out the program under this part, the Secretary reallots
those funds to one or more States that demonstrate a current need for
additional funds and the ability to use them promptly and effectively
upon reallotment.
(2) The Secretary announces in the Federal Register the dates on
which funds will be reallotted.
(b)(1) No funds reallotted under paragraph (a) of this section may
be used for any purpose other than the purposes for which they were
appropriated.
(2) Any amount reallotted to a State under paragraph (a) of this
section remains available for obligation during the succeeding fiscal
year and is deemed to be part of the State's allotment for the fiscal
year in which the reallotted funds are obligated.
(Authority: 20 U.S.C. 2311(a) and (d) and 2394a(b)(1))
[[Page 74]]
Subpart D_What Conditions Must Be Met After a State Receives an Award?
Sec. 406.30 Who is eligible to apply to a State for an award?
(a) A State board shall provide subgrants or contracts to consortia
between--
(1) A local educational agency, intermediate educational agency,
area vocational education school serving secondary school students, or
secondary school funded by the Bureau of Indian Affairs; and
(2) A nonprofit institution of higher education that--
(i) Is qualified as an institution of higher education as defined in
Sec. 406.5, including institutions receiving assistance under the
Tribally Controlled Community College Assistance Act of 1978 (25 U.S.C.
1801 et seq.);
(ii) Is not prohibited from receiving assistance under part B of the
Higher Education Act of 1965 pursuant to the provisions of section
435(a)(3) of that Act; and
(iii) Offers a two-year associate degree program, a two-year
certificate program, or a two-year apprenticeship training program that
follows secondary instruction; or
(3) A proprietary institution of higher education that--
(i) Is qualified as an institution of higher education as defined in
Sec. 406.5;
(ii) Is not subject to a default management plan required by the
Secretary; and
(iii) Offers a two-year associate degree program.
(b) A consortia must include at least one entity from paragraph
(a)(1) of this section and at least one entity from either paragraph
(a)(2) or (a)(3) of this section, and may include more than one entity
from each group.
(Authority: 20 U.S.C. 2394a)
Sec. 406.31 How does a State carry out the State-Administered
Tech-Prep Education Program?
(a) A State board carries out the program by--
(1) Providing State administration of its grant; and
(2) Awarding subgrants or contracts to eligible consortia on a
competitive basis or on the basis of a formula determined by the State
board.
(b) A State board may use funds reserved under 34 CFR 403.180(b)(3)
to provide support for the State-administered Tech-Prep Education
Program.
(c) A State board may use no more than the amount of funds from its
award under this part that is necessary and reasonable for--
(1) The proper and efficient administration of this program; and
(2) Technical assistance to promote or enhance the quality and
effectiveness of the State's tech-prep education program.
(Authority: 20 U.S.C. 2331(c)(2); 2394a(b))
Sec. 406.32 What are the local application requirements?
(a) Each consortium that desires to receive an award shall submit an
application to the State board.
(b) The application must be submitted at the time and contain the
information prescribed by the State board, and must contain--
(1) An articulation agreement between the participants in the
consortium; and
(2) A three-year plan for the development and implementation of
activities under this part.
(Approved by the Office of Management and Budget under Control No. 1830-
0030)
(Authority: 20 U.S.C. 2394c(a)-(b))
Sec. 406.33 What are the reporting requirements?
The State board shall, in conjunction with recipients of subgrants
and contracts, with respect to assistance received under this part,
submit to the Secretary reports as may be required by the Secretary to
ensure that grantees are complying with the requirements of this part.
(Approved by the Office of Management and Budget under Control No. 1830-
0030)
(Authority: 20 U.S.C. 2394a-2394e)
[[Page 75]]
PART 410_TRIBALLY CONTROLLED POSTSECONDARY VOCATIONAL INSTITUTIONS
PROGRAM--Table of Contents
Subpart A_General
Sec.
410.1 What is the Tribally Controlled Postsecondary Vocational
Institutions Program?
410.2 Who is eligible for an award?
410.3 What activities may the Secretary fund?
410.4 What regulations apply?
410.5 What definitions apply?
Subpart B_How Does One Apply for an Award?
410.10 What must an application contain?
Subpart C_How Does the Secretary Make an Award?
410.20 How does the Secretary apply the selection criteria in Sec.
410.21?
410.21 What selection criteria does the Secretary use for institutional
support grants?
410.22 What additional factors does the Secretary consider?
410.23 How does the Secretary select grantees for institutional support
grants?
410.24 How does the Secretary award additional grants?
Subpart D_What Conditions Must Be Met After an Award?
410.30 What expenses are allowable under an institutional support grant?
410.31 What other provisions apply to this program?
Authority: 20 U.S.C. 2397-2397h, unless otherwise noted.
Source: 57 FR 36773, Aug. 14, 1992, unless otherwise noted.
Subpart A_General
Sec. 410.1 What is the Tribally Controlled Postsecondary Vocational
Institutions Program?
The Tribally Controlled Postsecondary Vocational Institutions
Program provides grants for the operation and improvement of tribally
controlled postsecondary vocational institutions to ensure continued and
expanded educational opportunities for Indian students, and to allow for
the improvement and expansion of the physical resources of those
institutions.
(Authority: 20 U.S.C. 2397 and 2397c)
Sec. 410.2 Who is eligible for an award?
A tribally controlled postsecondary vocational institution is
eligible for assistance under this part if it--
(a) Is governed by a board of directors or trustees, a majority of
whom are Indians;
(b) Demonstrates adherence to stated goals, a philosophy, or a plan
of operation that fosters individual Indian economic and self-
sufficiency opportunity, including programs that are appropriate to
stated tribal goals of developing individual entrepreneurships and self-
sustaining economic infrastructures on reservations;
(c) Has been in operation for at least three years;
(d) Holds accreditation with or is a candidate for accreditation by
a nationally recognized accrediting authority for postsecondary
vocational education; and
(e) Enrolls the full-time equivalency of not fewer than 100
students, of whom a majority are Indians.
(Authority: 20 U.S.C. 2397b)
Sec. 410.3 What activities may the Secretary fund?
The Secretary provides grants for basic support for the education
and training of Indian students, including--
(a) Training costs;
(b) Educational costs;
(c) Equipment costs;
(d) Administrative costs; and
(e) Costs of operation and maintenance of the institution.
(Authority: 20 U.S.C. 2397a)
Sec. 410.4 What regulations apply?
The following regulations apply to the Tribally Controlled
Postsecondary Vocational Institutions Program:
(a) The regulations in this part 410.
(b) The regulations in 34 CFR part 400.
(Authority: 20 U.S.C. 2397-2397h)
[[Page 76]]
Sec. 410.5 What definitions apply?
(a) The definitions in 34 CFR 400.4 apply to this part, except for
the definition of the term Act.
(b) The following definitions also apply to this part:
Act means the Tribally Controlled Vocational Institutions Support
Act of 1990.
Indian means a person who is a member of an Indian tribe.
Indian student count means a number equal to the total number of
Indian students enrolled in each tribally controlled vocational
institution, determined as follows:
(1) The registrations of Indian students as in effect on October 1
of each year.
(2) Credits or clock hours toward a certificate earned in classes
offered during a summer term must be counted toward the computation of
the Indian student count in the succeeding fall term.
(3) Credits or clock hours toward a certificate earned in classes
during a summer term must be counted toward the computation of the
Indian student count if the institution at which the student is in
attendance has established criteria for the admission of the student on
the basis of the student's ability to benefit from the education or
training offered. The institution is presumed to have established those
criteria if the admission procedures for those studies include
counseling or testing that measures the student's aptitude to
successfully complete the course in which the student has enrolled.
Credit earned by the student for purposes of obtaining a high school
degree or its equivalent may not be counted toward the computation of
the Indian student count.
(4) Indian students earning credits in any continuing education
program of a tribally controlled vocational institution must be included
in determining the sum of all credit or clock hours.
(5) Credits or clock hours earned in a continuing education program
must be converted to the basis that is in accordance with the
institution's system for providing credit for participation in those
programs.
Indian tribe means any Indian tribe, band, nation, or other
organized group or community, including any Alaskan native village or
regional or village corporation as defined in or established pursuant to
the Alaskan Native Claims Settlement Act (43 U.S.C. 1601 et seq.), that
is federally recognized as eligible for the special programs and
services provided by the United States to Indians because of their
status as Indians.
Tribally controlled postsecondary vocational institution means an
institution of higher education that is formally controlled, or has been
formally sanctioned or chartered by the governing body of an Indian
tribe or tribes, and that offers technical degrees or certificate
granting programs. This term does not include an institution that is a
tribally controlled community college as defined in 34 CFR 400.4. (See
Cong. Rec. S4116 (daily ed. April 5, 1990) (Statement of Senator
Bingaman); Cong. Rec. H1708 (daily ed. May 9, 1989) (Statement of Rep.
Richardson)).
(Authority: 20 U.S.C. 2397h and 25 U.S.C. 1801 (1) and (2))
Subpart B_How Does One Apply for an Award?
Sec. 410.10 What must an application contain?
(a) An application for a grant under the Tribally Controlled
Postsecondary Vocational Institutions Program must include the
following:
(1) Documentation showing that the institution is eligible according
to the requirements in Sec. 410.2.
(2) A description of the fiscal control and fund accounting
procedures to be used for all funds received under this program that
will allow the Secretary to monitor expenditures and the Education
Department Inspector General, the U.S. Comptroller General, or an
independent non-Federal auditor to audit the institution's programs.
(3) The institution's operating expenses for the preceding fiscal
year, including allowable expenses listed in Sec. 410.30.
(4) The institution's Indian student count.
(b) An application for an institutional support grant must also
contain a comprehensive development plan addressing the following:
[[Page 77]]
(1) The institutional mission statement, i.e., a broad statement of
purpose, that identifies the institution's distinguishing
characteristics, including the characteristics of the students the
institution serves and plans to serve and the programs of study it
offers and proposes to offer.
(2) Data for the past three academic years reflecting the number and
required qualifications of the teaching and administrative staff, the
number of students enrolled, attendance rates, dropout rates, graduation
rates, rate of job placement or college enrollment after graduation, and
the most significant scholastic problems affecting the student
population.
(3) A description of how the institution is responsive to the
current and projected labor market needs in its geographic area,
including the institution's plans for placement of students.
(4) Assumptions concerning the institutional environment, the
potential number of students to be served, enrollment trends, and
economic factors that could affect the institution.
(5) Major problems or deficiencies that inhibit the institution from
realizing its mission.
(6) Long-range and short-range goals that will chart the growth and
development of the institution and address the problems identified under
paragraph (b)(5) of this section.
(7) Measurable objectives related to reaching each goal.
(8) Time-frames for achieving the goals and objectives described in
paragraphs (b)(6) and (7) of this section.
(9) Priorities for implementing improvements concerning
instructional and student support, capital expenditures, equipment, and
other priority areas.
(10) Major resource requirements necessary to achieve the
institution's goals and objectives, including personnel, finances,
equipment, and facilities.
(11) A detailed budget identifying the costs to be paid with a grant
under this program and resources available from other Federal, State,
and local sources that will be used to achieve the institution's goals
and objectives. Budget and cost information must be sufficiently
detailed to enable the Secretary to determine the amount of payments
pursuant to section 386(b)(2) of the Act. The statement must include
information on allowable expenses listed in Sec. 410.30.
(12) Strategies and resources for objectively evaluating the
institution's progress towards, and success in, achieving its goals and
objectives.
(Approved by the Office of Management and Budget under Control No. 1830-
0013)
(Authority: 20 U.S.C. 2397b, 2397c(a), 2397d(b)(2)(B), and 2397f)
Subpart C_How Does the Secretary Make an Award?
Sec. 410.20 How does the Secretary apply the selection criteria in
Sec. 410.21?
(a) The Secretary evaluates an application on the basis of the
criteria in Sec. 410.21.
(b) The Secretary may award up to 100 points, including a reserved
15 points to be distributed in accordance with paragraph (d) of this
section, based on the criteria in Sec. 410.21.
(c) Subject to paragraph (d) of this section, the maximum possible
score for each criterion in Sec. 410.21 is indicated in parentheses
after the heading for each criterion.
(d) For each competition as announced through a notice published in
the Federal Register, the Secretary may assign the reserved points among
the criteria in Sec. 410.21.
(Authority: 20 U.S.C. 2397-2397h)
Sec. 410.21 What selection criteria does the Secretary use for
institutional support grants?
The Secretary uses the following criteria to evaluate an application
for an institutional support grant:
(a) Institutional goals and objectives. (10 points) The Secretary
reviews each application to determine the extent to which the
applicant's current and future institutional goals and objectives are--
(1) Realistic and defined in terms of measurable results; and
(2) Directly related to the problems to be solved.
(b) Comprehensive development plan. (25 points) The Secretary
reviews each application to determine the extent to
[[Page 78]]
which the plan is effectively designed to meet the applicant's current
and future institutional goals and objectives, including instructional
and student support needs, and equipment and capital requirements.
(c) Implementation strategy. (20 points) The Secretary reviews each
application to determine the extent to which an applicant's
implementation strategy--
(1) For each major activity funded under this program, is
comprehensive and likely to be effective, taking into account the
applicant's past performance and the data for the past three academic
years reflecting the number and required qualifications of the teaching
and administrative staff, the number of students enrolled, attendance
rates, dropout rates, graduation rates, rate of job placement or college
enrollment after graduation, and the most significant scholastic
problems affecting the student population;
(2) Includes a realistic timetable for each such activity; and
(3) Includes a staff management plan likely to ensure effective
administration of the project activities.
(d) Budget and cost effectiveness. (20 points) The Secretary reviews
each application to determine the extent to which--
(1) The budget is adequate to support the proposed activities to be
funded under this program, including capital expenditures and
acquisition of equipment, if applicable;
(2) Costs are necessary and reasonable in relation to similar
activities the institution carried out in previous years; and
(3) The budget narrative justifies the expenditures.
(e) Evaluation plan. (10 points) The Secretary reviews each
application to determine the quality of the evaluation plan the
institution plans to use to determine its progress towards, and success
in, achieving its goals and objectives, including the extent to which--
(1) The plan identifies, at a minimum, types of data to be
collected, expected outcomes, and how those outcomes will be measured;
(2) The methods of evaluation are appropriate and, to the extent
possible, are objective and produce data that are quantifiable; and
(3) The methods of evaluation provide periodic data that can be used
for ongoing program improvement.
(Approved by the Office of Management and Budget under Control No. 1830-
0013)
(Authority: 20 U.S.C. 2397-2397h)
Sec. 410.22 What additional factors does the Secretary consider?
(a) After evaluating applications according to the criteria in Sec.
410.21 and consulting, to the extent practicable, with boards of
trustees and the tribal governments chartering the institutions being
considered, the Secretary determines whether the most highly rated
applications are equitably distributed among Indian tribes.
(b) The Secretary may select other applications for funding if doing
so would improve the distribution of projects among Indian tribes.
(c) In addition to the criteria in Sec. 410.21, the Secretary
considers whether funding a particular applicant duplicates an effort
already being made.
(Authority: 20 U.S.C. 2397-2397h)
Sec. 410.23 How does the Secretary select grantees for institutional
support grants?
(a) The Secretary selects at least two eligible applicants for
funding.
(b) If only one or two applicants are eligible, the Secretary
selects each eligible applicant. The amount of each grant is determined
by the quality of the application, based on the selection criteria in
Sec. 410.22, and the respective needs of the applicants.
(c) If there are more than two eligible applicants, the Secretary
ranks each application using the selection criteria in Sec. 410.22. The
Secretary funds two or more applicants. The number of grants made and
the amount of each grant is determined by taking into account the
quality of the applications and the respective needs of the applicants.
(d) For fiscal years subsequent to the first year of funding, the
Secretary follows the procedure in paragraphs (a) through (c) of this
section, except that if appropriations for that fiscal year are not
sufficient to pay in full the total amount that approved applicants are
eligible to receive, the Secretary
[[Page 79]]
allocates the available grant amounts as required by section 388(a) of
the Act.
(Authority: 20 U.S.C. 2397c(b))
Sec. 410.24 How does the Secretary award additional grants?
If funds remain after providing grants to all eligible institutions,
the Secretary makes awards as follows:
(a) The Secretary allocates funds to institutions receiving their
first grant under this part in an amount equal to the training equipment
costs necessary to implement training programs.
(b) If funds remain after the Secretary makes awards under paragraph
(a) of this section, the Secretary reviews training equipment needs at
each institution receiving assistance under this part at the end of the
five-year period beginning on the first day of the first year for which
the institution received a grant under this part, and provides
allocations for other training equipment needs if it is demonstrated by
the institution that its training equipment has become obsolete for its
purposes, or that the development of other training programs is
appropriate.
(Authority: 20 U.S.C. 2397d(d))
Subpart D_What Conditions Must Be Met After an Award?
Sec. 410.30 What expenses are allowable under an institutional
support grant?
An institutional support grant may only be used to pay expenses
associated with the following:
(a) The maintenance and operation of the program, including--
(1) Development costs;
(2) Costs of basic and special instruction, including special
programs for individuals with disabilities and academic instruction;
(3) Materials;
(4) Student costs;
(5) Administrative expenses;
(6) Boarding costs;
(7) Transportation;
(8) Student services;
(9) Day care and family support programs for students and their
families, including contributions to the costs of education for
dependents; and
(10) Training equipment costs necessary to implement training
programs.
(b) Capital expenditures, including operations and maintenance,
minor improvements and repair, and physical plant maintenance costs.
(c) Costs associated with repair, upkeep, replacement, and upgrading
of instructional equipment.
(Authority: 20 U.S.C. 2397d(a), (d))
Sec. 410.31 What other provisions apply to this program?
(a) Except as specifically provided in the Act, eligibility for
assistance under this part may not preclude any tribally controlled
postsecondary vocational institution from receiving Federal financial
assistance under any program authorized under the Higher Education Act
of 1965 (20 U.S.C. 1001 et seq.) or any other applicable program for the
benefit of institutions of higher education or vocational education.
(b) No tribally controlled postsecondary vocational institution for
which an Indian tribe has designated a portion of the funds appropriated
for the tribe from funds appropriated under the Act of November 2, 1921
(25 U.S.C. 13) may be denied a contract for that portion under the
Indian Self-Determination and Education Assistance Act (25 U.S.C. 450 et
seq.) (except as provided in that Act), or denied appropriate contract
support to administer that portion of the appropriated funds.
(Authority: 20 U.S.C. 2397e)
PART 411_VOCATIONAL EDUCATION RESEARCH PROGRAM--Table of Contents
Subpart A_General
Sec.
411.1 What is the Vocational Education Research Program?
411.2 Who is eligible for an award?
411.3 What activities may the Secretary fund?
411.4 What regulations apply?
411.5 What definitions apply?
Subpart B [Reserved]
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Subpart C_How Does the Secretary Make a Grant?
411.20 How does the Secretary evaluate an application?
411.21 What selection criteria does the Secretary use?
411.22 What additional factors may the Secretary consider?
411.23 How does the Secretary evaluate unsolicited applications?
411.24 How does the Secretary select an unsolicited application for
funding?
Authority: 20 U.S.C. 2401 and 2402, unless otherwise noted.
Source: 57 FR 36776, Aug. 14, 1992, unless otherwise noted.
Subpart A_General
Sec. 411.1 What is the Vocational Education Research Program?
The Vocational Education Research Program is designed to--
(a) Improve access to vocational educational programs for
individuals with disabilities, individuals who are disadvantaged, men
and women who are entering nontraditional occupations, adults who are in
need of retraining, single parents, displaced homemakers, single
pregnant women, individuals with limited English proficiency, and
individuals who are incarcerated in correctional institutions;
(b) Support research and development activities that make the United
States more competitive in the world economy by developing more fully
the academic and occupational skills of all segments of the population
by concentrating resources on improving educational programs leading to
academic and occupational skill competencies needed to work in a
technologically advanced society;
(c) Improve the competitive process by which research projects are
awarded;
(d) Encourage the dissemination of findings of research projects
assisted under the Act to all States; and
(e) Support research activities that are readily applicable to the
vocational education setting and are of practical application to
vocational education administrators, counselors, instructors, and others
involved in vocational education.
(Authority: 20 U.S.C. 2401)
Sec. 411.2 Who is eligible for an award?
(a) Any individual or public or private agency, organization, or
institution may apply for an award under this part.
(b) Any individual researcher, community college, State advisory
council, or State or local educator may submit an unsolicited research
application.
(Authority: 20 U.S.C. 2402(a), (b))
Sec. 411.3 What activities may the Secretary fund?
The Secretary may directly, or through grants, cooperative
agreements, or contracts, conduct applied research on aspects of
vocational education that are specially related to the Act, including
the following:
(a) Applied research on--
(1) Effective methods for providing quality vocational education to
individuals with disabilities, disadvantaged individuals, men and women
in nontraditional fields, adults, single parents, displaced homemakers,
single pregnant women, individuals with limited English proficiency, and
individuals who are incarcerated in correctional institutions;
(2) The development and implementation of performance standards and
measures that fit within the needs of State boards of vocational
education or eligible recipients as defined in 34 CFR 400.4 in carrying
out the provisions of the Act and on the relationship of those standards
and measures to the data system established under section 421 of the
Act. Research may include an evaluation of existing performance
standards and measures and dissemination of that information to State
boards of vocational education and eligible recipients;
(3) Strategies for coordinating local, State, and Federal vocational
education, employment training, and economic development programs to
maximize their efficacy and for improving worker training and
retraining;
(4) The constructive involvement of the private sector in public
vocational education;
(5) Successful methods of reinforcing and enhancing basic and more
advanced academic and problem-solving skills in vocational settings;
[[Page 81]]
(6) Successful methods for providing students, to the maximum extent
practicable, with experience in and understanding of all aspects of the
industry those students are preparing to enter; and
(7) The development of effective methods for providing quality
vocational education to individuals with limited English proficiency,
including research related to bilingual vocational training.
(b) An evaluation of the use of performance standards and measures
under the Act and the effect of those standards and measures on the
participation of students in vocational education programs and on the
outcomes of students in those programs, especially students who are
members of special populations as defined in 34 CFR 400.4.
(Authority: 20 U.S.C. 2402(a))
Sec. 411.4 What regulations apply?
The following regulations apply to the Vocational Education Research
Program:
(a) The regulations in this part 411.
(b) The regulations in 34 CFR part 400.
(Authority: 20 U.S.C. 2401 and 2402)
Sec. 411.5 What definitions apply?
The definitions in 34 CFR 400.4 apply to this part.
(Authority: 20 U.S.C. 2401 and 2402)
Subpart B [Reserved]
Subpart C_How Does the Secretary Make a Grant?
Sec. 411.20 How does the Secretary evaluate an application?
(a) The Secretary evaluates an application for a grant or
cooperative agreement on the basis of the criteria in Sec. 411.21.
(b) The Secretary may award up to 100 points, including a reserved
15 points to be distributed in accordance with paragraph (d) of the
section, based on the criteria in Sec. 411.21.
(c) Subject to paragraph (d) of this section, the maximum possible
score for each criterion is indicated in parentheses after the heading
for each criterion.
(d) For each competition as announced through a notice published in
the Federal Register, the Secretary may assign the reserved points among
the criteria in Sec. 411.21.
(e) The Secretary awards five points to applications submitted by
public or private postsecondary institutions.
(Authority: 20 U.S.C. 2402)
Sec. 411.21 What selection criteria does the Secretary use?
The Secretary uses the following criteria to evaluate an
application:
(a) National need. (20 points) The Secretary reviews each
application to determine the extent to which the project would make a
contribution of national significance, as measured by such factors as--
(1) The need for the project in relation to any program priority
announced in the Federal Register; and
(2) The likelihood that the project will make an important
contribution to vocational education.
(b) Plan of operation. (25 points) The Secretary reviews each
application to determine the quality of the plan of operation for the
project, including--
(1) High quality in the design of the project;
(2) An effective plan of management that ensures proper and
efficient administration of the project;
(3) A clear description of how the objectives of the project relate
to the purposes of the program;
(4) The quality of the applicant's plans to use its resources and
personnel to achieve each objective; and
(5) How the applicant will ensure that project participants who are
otherwise eligible to participate are selected without regard to race,
color, national origin, gender, age, or disability.
(c) Key personnel. (15 points) (1) The Secretary reviews each
application to determine the quality of key personnel the applicant
plans to use on the project, including--
(i) The qualifications of the project director;
(ii) The qualifications of each of the other key personnel to be
used in the project;
[[Page 82]]
(iii) The appropriateness of the time that each one of the key
personnel, including the project director, will commit to the project;
and
(iv) How the applicant, as part of its nondiscriminatory employment
practices, will ensure that its personnel are selected for employment
without regard to race, color, national origin, gender, age, or
disability.
(2) To determine personnel qualifications under paragraphs (c)(1)(i)
and (ii) of this section, the Secretary considers--
(i) Experience and training in fields related to the objectives of
the project;
(ii) Experience and training in project management; and
(iii) Any other qualifications that pertain to the quality of the
project.
(d) Budget and cost effectiveness. (10 points) The Secretary reviews
each application to determine the extent to which--
(1) The budget for the project is adequate to support the project
activities; and
(2) Costs are reasonable and necessary in relation to the objectives
of the project.
(e) Evaluation plan. (5 points) The Secretary reviews each
application to determine the quality of the evaluation plan for the
project, including the extent to which the applicant's methods of
evaluation--
(1) Are clearly explained and appropriate to the project;
(2) To the extent possible, are objective and produce data that are
quantifiable;
(3) Includes activities during the formative stages of the project
to help guide and improve the project, as well as a summative evaluation
that includes recommendations for replicating project activities and
results;
(4) If appropriate, identifies expected outcomes of the project
participants and how those outcomes will be measured;
(5) If appropriate, will provide a comparison between intended and
observed results, and lead to the demonstration of a clear link between
the observed results and the specific treatment of project participants;
and
(6) To the extent possible, include a third party evaluation.
(f) Adequacy of resources. (5 points) The Secretary reviews each
application to determine the adequacy of the resources that the
applicant plans to devote to the project, including facilities,
equipment, and supplies.
(g) Dissemination plan. (5 points) The Secretary reviews each
application to determine the quality of the dissemination plan for the
project, including--
(1) The extent to which the project is designed to yield outcomes
that can be readily disseminated;
(2) A clear description of the project outcomes; and
(3) A detailed description of how information and materials will be
disseminated, including--
(i) Provisions for publicizing the project at the local, State, and
national levels by conducting or delivering presentations at
conferences, workshops, and other professional meetings and by preparing
materials for journals articles, newsletters, and brochures;
(ii) Provisions for demonstrating the methods and techniques used by
the project to others interested in replicating these methods and
techniques; and
(iii) Provisions for assisting others to adopt and successfully
implement the project or methods and techniques used by the project.
(Approved by the Office of Management and Budget under Control No. 1830-
0013)
(Authority: 20 U.S.C. 2402)
Sec. 411.22 What additional factors may the Secretary consider?
After evaluating the applications according to the criteria in Sec.
411.21 the Secretary may select other than the most highly rated
applications for funding if doing so would--
(a) Improve the geographical distribution of projects funded under
this program; or
(b) Contribute to the funding of a variety of approaches for
carrying out the activities under this part.
(Authority: 20 U.S.C. 2401 and 2402)
Sec. 411.23 How does the Secretary evaluate unsolicited applications?
(a) At any time during a fiscal year, the Secretary may accept and
consider
[[Page 83]]
for funding an unsolicited application that has not been submitted under
a competition announced in the Federal Register for that fiscal year, if
the project proposes activities described in Sec. 411.3.
(b) Notwithstanding the provisions of 34 CFR 75.100, the Secretary
may fund an unsolicited application without publishing an application
notice in the Federal Register.
(c) The Secretary may select an unsolicited application for funding
in accordance with the procedures in Sec. Sec. 411.20(e) and 411.24.
(d) The Secretary assigns the 15 points reserved under Sec.
411.20(b) as follows:
(1) Ten points to the selection criterion in Sec. 411.21(a)--
national need.
(2) Five points to the selection criterion in Sec. 411.21(b)--plan
of operation.
(Authority: 20 U.S.C. 2402)
Sec. 411.24 How does the Secretary select an unsolicited application
for funding?
(a) After evaluating an unsolicited research application on the
basis of the criteria in Sec. 411.21, the Secretary compares that
application to other unsolicited research applications the Secretary has
received.
(b) The Secretary may fund an unsolicited research application at
any time during the fiscal year.
(Authority: 20 U.S.C. 2402)
PART 412_NATIONAL NETWORK FOR CURRICULUM COORDINATION IN VOCATIONAL
AND TECHNICAL EDUCATION--Table of Contents
Subpart A_General
Sec.
412.1 What is the National Network for Curriculum Coordination in
Vocational and Technical Education?
412.2 Who is eligible for an award?
412.3 What activities may the Secretary fund?
412.4 What is the National Network of Directors Council?
412.5 What regulations apply?
412.6 What definitions apply?
Subpart B [Reserved]
Subpart C_How Does the Secretary Make an Award?
412.20 How does the Secretary evaluate an application?
412.21 What selection criteria does the Secretary use?
Subpart D_What Conditions Must Be Met After an Award?
412.30 What additional activities must be carried out by Curriculum
Coordination Centers?
412.31 What existing dissemination systems must be used?
Authority: 20 U.S.C. 2402(c), unless otherwise noted.
Source: 57 FR 36778, Aug. 14, 1992, unless otherwise noted.
Subpart A_General
Sec. 412.1 What is the National Network for Curriculum Coordination
in Vocational and Technical Education?
The National Network for Curriculum Coordination in Vocational and
Technical Education (Network) is a system of six curriculum coordination
centers that disseminate information resulting from research and
development activities carried out under the Act, in order to ensure
broad access at the State and local levels to the information being
disseminated.
(Authority: 20 U.S.C. 2402(c))
Sec. 412.2 Who is eligible for an award?
State and local educational agencies, postsecondary educational
institutions, and other public and private agencies, organizations, and
institutions are eligible for an award under this program.
(Authority: 20 U.S.C. 2402(c))
Sec. 412.3 What activities may the Secretary fund?
(a) The Secretary provides grants, cooperative agreements, or
contracts to six regional curriculum coordination centers (CCCs).
(b) Each CCC must--(1) Provide for national dissemination of
information on effective vocational and technical education programs and
materials, with particular attention to regional programs;
(2) Be accessible by electronic means;
[[Page 84]]
(3) Provide leadership and technical assistance in the design,
development, and dissemination of curricula for vocational education;
(4) Coordinate the sharing of information among the States with
respect to vocational and technical education curricula;
(5) Reduce duplication of effort in State activities for the
development of vocational and technical education curricula; and
(6) Promote the use of research findings with respect to vocational
education curricula.
(c) The six regional CCCs assisted with funds under this program
must serve States according to the Department of Education's regional
alignment as follows:
(1) The Northeast Curriculum Coordination Center serves Connecticut,
Maine, Massachusetts, New Hampshire, New Jersey, New York, Puerto Rico,
Rhode Island, Vermont, and the Virgin Islands.
(2) The Southeast Curriculum Coordination Center serves Alabama,
Florida, Georgia, Kentucky, Mississippi, North Carolina, South Carolina,
and Tennessee.
(3) The East Central Curriculum Coordination Center serves Delaware,
the District of Columbia, Indiana, Illinois, Maryland, Michigan,
Minnesota, Ohio, Pennsylvania, Virginia, West Virginia, and Wisconsin.
(4) The Midwest Curriculum Coordination Center serves Arkansas,
Iowa, Kansas, Louisiana, Missouri, Nebraska, New Mexico, Oklahoma, and
Texas.
(5) The Northwest Curriculum Coordination Center serves Alaska,
Colorado, Idaho, Montana, North Dakota, Oregon, South Dakota, Utah,
Washington, and Wyoming.
(6) The Western Curriculum Coordination Center serves American
Samoa, Arizona, California, Guam, Hawaii, Nevada, the Northern Mariana
Islands, and Palau until the Compact of Free Association with Palau
takes effect.
(Authority: 20 U.S.C. 2402(c))
Sec. 412.4 What is the National Network of Directors Council?
(a) The National Network of Directors Council (Council) enhances the
effectiveness of the Network by--
(1) Planning for inter-center coordination, dissemination, and
diffusion activities;
(2) Providing leadership to ensure cohesiveness for overall Network
functions;
(3) Promoting the adoption and adaptation of curriculum materials;
(4) Maintaining liaison with dissemination systems described in
Sec. 412.32;
(5) Convening at least twice a year; and
(6) Planning for and participating in an annual meeting of CCCs that
includes activities such as displays of current curriculum materials
from each CCC, inservice training sessions, and hands-on experience with
new technologies in vocational and technical education. This meeting
must be held in a different region each year.
(b) The Council is composed of the six CCC directors and a liaison
from the Department. One of the CCC directors serves as chair for the
Council and has responsibilities for submitting minutes of Council
meetings to the Secretary.
(Authority: 20 U.S.C. 2402(c))
Sec. 412.5 What regulations apply?
The following regulations apply to the National Network for
Curriculum Coordination in Vocational and Technical Education:
(a) The regulations in this part 412.
(b) The regulations in 34 CFR part 400.
(Authority: 20 U.S.C. 2402(c))
Sec. 412.6 What definitions apply?
The definitions in 34 CFR 400.4 apply to this part.
(Authority: 20 U.S.C. 2402(c))
Subpart B [Reserved]
Subpart C_How Does the Secretary Make an Award?
Sec. 412.20 How does the Secretary evaluate an application?
(a) The Secretary evaluates an application for a grant or
cooperative agreement on the basis of the criteria in Sec. 412.21.
[[Page 85]]
(b) The Secretary may award up to 100 points, including 15 points to
be distributed in accordance with paragraph (d) of this section, based
on the criteria in Sec. 412.21.
(c) Subject to paragraph (d) of this section, the maximum possible
score for each criterion is indicated in parentheses after the heading
for each criterion.
(d) For each competition as announced through a notice published in
the Federal Register, the Secretary may assign the reserved points among
the criteria in Sec. 412.21.
(Authority: 20 U.S.C. 2402(c))
Sec. 412.21 What selection criteria does the Secretary use?
The Secretary uses the following criteria to evaluate an
application:
(a) Regional need. (30 points) The Secretary reviews each
application to determine the applicant's understanding of and
responsiveness to the needs of the region, including the extent to which
the applicant--
(1) Demonstrates an understanding of the leadership responsibilities
associated with serving as a resource center and facilitator for States
in a region, including the region's need for inservice training, holding
regional meetings, providing technical assistance, coordinating with
State directors of vocational education, maintaining a lending library,
and disseminating information regularly;
(2) Proposes adequate mechanisms and procedures for reporting the
results of curriculum networking services and activities of the 50
States, District of Columbia, Puerto Rico, and the Outlying Areas;
(3) Demonstrates the capacity to disseminate information on
effective vocational education materials, including curriculum
materials;
(4) Demonstrates an understanding of the operation of the Vocational
Education Curriculum Materials and ADVOCNET Systems and the need for
establishing a Tech-Prep education clearinghouse; and
(5) Demonstrates the capacity to undertake the responsibilities
associated with participation as a member of the Network Directors
Council described in Sec. 412.4.
(b) Plan of operation. (25 points) The Secretary reviews each
application to determine the quality of the plan of operation for the
project, including--
(1) The quality of the design of the project;
(2) The extent to which the management plan ensures proper and
efficient administration of the project;
(3) How well the objectives of the project relate to the purpose of
the program;
(4) The quality of the applicant's plan to use its resources and
personnel to achieve each objective; and
(5) How the applicant will ensure that project participants who are
otherwise eligible to participate are selected without regard to race,
color, national origin, gender, age, or disability.
(c) Key personnel. (10 points) (1) The Secretary reviews each
application to determine the quality of key personnel the applicant
plans to use on the proposed project, including--
(i) The qualifications of the project director;
(ii) The qualifications of each of the other key personnel to be
used in the project;
(iii) The appropriateness of the time that each person referred to
in paragraphs (c)(1) (i) and (ii) of this section will commit to the
project; and
(iv) How the applicant, as part of its nondiscriminatory employment
practices, will ensure that its personnel are selected for employment
without regard to race, color, national origin, gender, age, or
disability.
(2) To determine the personnel qualifications under paragraphs
(c)(1)(i) and (ii) of this section, the Secretary considers--
(i) The experience and training of key personnel in project
management and in the fields related to the objectives of the project;
and
(ii) Any other qualifications of key personnel that pertain to the
quality of the project.
(d) Institutional commitment. (10 points) The Secretary reviews each
application to determine the extent to which the applicant--
(1) Has experience with vocational education curriculum and
dissemination;
[[Page 86]]
(2) Will initiate and maintain liaison functions with regional
States; and
(3) Will provide adequate facilities, equipment, and supplies.
(e) Budget and cost effectiveness. (5 points) The Secretary reviews
each application to determine the extent to which--
(1) The budget is cost effective and adequate to support the project
activities; and
(2) The budget contains costs that are reasonable in relation to the
objectives of the project.
(f) Evaluation plan. (5 points) The Secretary reviews each
application to determine the quality of the project's evaluation plan,
including the extent to which the plan--
(1) Is clearly explained and is appropriate to the project; and
(2) Identifies expected outcomes of the services provided and how
those services will be measured.
(Approved by the Office of Management and Budget under Control No. 1830-
0013)
(Authority: 20 U.S.C. 2402(c))
Subpart D_What Conditions Must Be Met After An Award?
Sec. 412.30 What additional activities must be carried out by
Curriculum Coordination Centers?
In carrying out the activities described in Sec. 412.3, each CCC
must perform the following activities:
(a) Assist States in the development, adaptation, adoption,
dissemination, and use of curriculum materials and services and other
information resulting from research and development activities carried
out under the Act, including performing these activities during at least
two regional meetings involving States served by the CCC. One of these
regional meetings must be conducted jointly with the other five CCCs and
their regional States at the meeting described in Sec. 412.4(a)(6).
(b) Coordinate with other curriculum coordination centers funded
under this part.
(c) Coordinate with the State salaried State liaison representative
(SLR), who is appointed by the State director of vocational education.
The SLR has primary responsibilities for liaison activities within the
States, including--
(1) Obtaining new curriculum and research and development materials
for Network sharing;
(2) Informing localities and State agencies of Network services;
(3) Disseminating CCC related materials;
(4) Arranging for intrastate and interstate development and
dissemination activities;
(5) Arranging for technical assistance and inservice training
workshops;
(6) Participating in regional CCC meetings; and
(7) Fostering adoption and adaptations of materials available
through the CCC.
(d) Maintain a lending library with a collection of vocational
education curriculum, research, and development materials for use by the
States served by the CCC.
(e) Each CCC must participate in the Council activities described in
Sec. 412.4.
(Authority: 20 U.S.C. 2402(c))
Sec. 412.31 What existing dissemination systems must be used?
In carrying out its activities, each CCC must use existing
dissemination systems, including the National Diffusion Network and the
National Center or Centers for Research in Vocational Education, in
order to ensure broad access at the State and local levels to the
information being disseminated.
(Authority: 20 U.S.C. 2402(c))
PART 413_NATIONAL CENTER OR CENTERS FOR RESEARCH IN VOCATIONAL
EDUCATION--Table of Contents
Subpart A_General
Sec.
413.1 What is the National Center or Centers for Research in Vocational
Education?
413.2 Who is eligible to apply for the National Center or Centers?
413.3 What kinds of activities are carried out?
413.4 How does the Secretary designate a National Center or Centers?
413.5 What regulations apply?
413.6 What definitions apply?
Subpart B [Reserved]
[[Page 87]]
Subpart C_How Does the Secretary Make an Award?
413.20 How does the Secretary evaluate an application?
413.21 What selection criteria does the Secretary use to evaluate an
application proposing research and development activities?
413.22 What selection criteria does the Secretary use to evaluate an
application proposing dissemination and training activities?
Subpart D_What Conditions Must Be Met After an Award?
413.30 What are the restrictions on the use of funds?
413.31 Must a National Center have a director?
413.32 What are the requirements for coordination?
413.33 What substantive studies must the National Center or Centers
conduct and submit?
413.34 What activities must be performed during the final year of an
award?
Authority: 20 U.S.C. 2404, unless otherwise noted.
Source: 57 FR 36780, Aug. 14, 1992, unless otherwise noted.
Subpart A_General
Sec. 413.1 What is the National Center or Centers for Research
in Vocational Education?
The Secretary supports the establishment of one or two National
Centers for Research in Vocational Education (National Center) in the
areas of--
(a) Applied research and development; and
(b) Dissemination and training.
(Authority: 20 U.S.C. 2404)
Sec. 413.2 Who is eligible to apply for the National Center or Centers?
An institution of higher education or consortium of institutions of
higher education may apply to be a National Center under this part.
(Authority: 20 U.S.C. 2404(a)(5))
Cross Reference: See 34 CFR 75.127 through 75.129, Group
Applications.
Sec. 413.3 What kinds of activities are carried out?
The Secretary provides a grant or cooperative agreement to a
National Center or Centers that are designed to perform either one or
both of the following activities:
(a) Applied research and development activities. (1) A major purpose
of the National Center is to design and conduct research and development
activities that are consistent with the purposes of the Act, including--
(i) Longitudinal studies that extend over a period of years;
(ii) Supplementary and short-term activities; and
(iii) Upon negotiation with the center, and if funds are provided
pursuant to section 404(d) of the Act, such other topics as the
Secretary may designate.
(2) The National Center shall conduct applied research and
development activities that include examination of the following:
(i) Economic changes that affect the skills that employers seek and
entrepreneurs need.
(ii) Integration of academic and vocational education.
(iii) Efficient and effective practices for addressing the needs of
special populations.
(iv) Efficient and effective methods for delivering vocational
education.
(v) Articulation of school and college instruction with high quality
work experience.
(vi) Recruitment, education, and enhancement of vocational teachers
and other professionals in the field.
(vii) Accountability processes in vocational education, including
identification and evaluation of the use of appropriate performance
standards for student, program, and State-level outcomes.
(viii) Effective practices that educate students in all aspects of
the industry the students are preparing to enter.
(ix) Effective methods for identifying and inculcating literacy and
other communication skills essential for effective job preparation and
job performance.
(x) Identification of strategic, high priority occupational skills
and skills formation approaches needed to maintain the competitiveness
of the United States workforce, sustain high-wage, high-technology jobs,
and address national priorities such as technical jobs
[[Page 88]]
needed to protect and restore the environment.
(xi) Identification of practices and strategies that address
entrepreneurial development for minority-owned enterprises.
(3) The applied research and development activities must include--
(i) An emphasis on the recruitment, education, and enhancement of
minority and female vocational teachers and professionals; and
(ii) Activities that aid in the development of minorities and women
for leadership roles in vocational education.
(b) Dissemination and training activities. (1) A major purpose of
the National Center is to design and conduct dissemination and training
activities that are consistent with the purposes of the Act, including--
(i) The broad dissemination of the results of the research and
development conducted by the National Center;
(ii) The development and utilization of a national level
dissemination network including functions such as clearinghouses,
databases, and telecommunications;
(iii) Planning, developing, and conducting training activities; and
(iv) Upon negotiation with the Center and if funds are provided
pursuant to section 404(d) of the Act, such other topics as the
Secretary may designate.
(2) The National Center shall conduct dissemination and training
activities that include the following:
(i) Teacher and administrator training and leadership development.
(ii) Technical assistance to ensure that programs serving special
populations are effective in delivering well-integrated and
appropriately articulated vocational and academic offerings for
secondary, postsecondary, and adult students.
(iii) Needs assessment, design, and implementation of new and
revised programs with related curriculum materials to facilitate
vocational-academic integration.
(iv) Evaluation and follow-through to maintain and extend quality
programs.
(v) Assistance in technology transfer and articulation of program
offerings from advanced technology centers to minority enterprises.
(vi) Assistance to programs and States on the use of accountability
indicators, including appropriate and innovative performance standards.
(vii) Delivery of information and services using advanced
technology, if appropriate, to increase the effectiveness and efficiency
of knowledge transfer.
(viii) Development of processes for synthesis of research, in
cooperation with a broad array of users, including vocational and non-
vocational educators, employers and labor organizations.
(ix) Dissemination of exemplary curriculum and instructional
materials, and development and publication of curriculum materials (in
conjunction with vocational and nonvocational constituency groups, if
appropriate).
(x) Technical assistance in recruiting, hiring, and advancing
minorities in vocational education.
(3) The training and leadership development activities must include
an emphasis on--
(i) Training minority and female teachers; and
(ii) Programs and activities that aid in the development of
minorities and women for leadership roles in vocational education.
(4) Advanced technology may include audio-video cassettes,
electronic networking, satellite-assisted programming, computer-based
conferencing, and interactive video.
(Authority: 20 U.S.C. 2404 (b) and (c); House Report No. 101-660, 101st
Cong. 2nd Sess. p. 143 (1990))
Sec. 413.4 How does the Secretary designate a National Center or
Centers?
(a) The Secretary designates a National Center or Centers once every
five years.
(b) In designating the National Center or Centers for Research in
Vocational Education, the Secretary may support--
(1) One National Center that conducts both research and development
activities and dissemination and training activities; or
[[Page 89]]
(2) Two National Centers: one that conducts research and development
activities and one that conducts dissemination and training activities.
(Authority: 20 U.S.C. 2404)
Sec. 413.5 What regulations apply?
The following regulations apply to the National Center or Centers:
(a) The regulations in this part 413.
(b) The regulations in 34 CFR part 400.
(Authority: 20 U.S.C. 2404)
Sec. 413.6 What definitions apply?
The definitions in 34 CFR 400.4 apply to this part, except that the
term ``institution of higher education'' has the same meaning as
provided in 34 CFR 403.117(b).
(Authority: 20 U.S.C. 1085(b) and 2404)
Subpart B [Reserved]
Subpart C_How Does the Secretary Make an Award?
Sec. 413.20 How does the Secretary evaluate an application?
(a) The Secretary evaluates an application on the basis of the
criteria in Sec. Sec. 413.21 and 413.22.
(b) The Secretary may award up to 100 points to each set of criteria
in Sec. Sec. 413.21 and 413.22, including a reserved 10 points for each
set of criteria to be distributed in accordance with paragraph (d) of
this section.
(c) Subject to paragraph (d) of this section, the maximum possible
score for each criterion is indicated in parentheses after the heading
for each criterion.
(d) For each competition as announced through a notice published in
the Federal Register, the Secretary may assign the reserved points among
the criteria in Sec. Sec. 413.21 and 413.22.
(e) The Secretary may hold two separate competitions, with the same
closing date, for the National Center or Centers. One competition will
be held for research and development activities and the second
competition will be held for dissemination and training activities. An
institution of higher education or consortium of higher education
institutions may submit a research and development application; a
dissemination and training application; or both as separate applications
under separate covers.
(f) The Secretary evaluates applications for the research and
development center and the dissemination and training center
independently against the criteria in Sec. Sec. 413.21 and 413.22
whether an institution or consortium of institutions is competing for
either or both sets of activities.
(g) In accordance with section 404(a)(5) of the Act, the Secretary
will give preference in grant selection to institutions or consortia of
institutions that demonstrate the ability to carry out both the research
and development and the dissemination and training activities
effectively, either directly or by contract.
(h) An institution or consortium of institutions that has submitted
two applications and applied for a single grant for the purpose of
carrying out both activities and that has earned 80 points or higher on
each of its two applications, will be deemed by the Secretary to have
demonstrated the ability to carry out both activities effectively.
(i) The Secretary will award a single grant to an institution or
consortium of institutions that has both--
(1) Demonstrated the ability to carry out both program activities
effectively, in accordance with paragraph (h) of this section; and
(2) Earned the highest combined score among those institutions or
consortia of institutions that have demonstrated the ability to carry
out both activities effectively.
(j) If no institution or consortium of institutions is selected for
a single grant award, the institution or consortia of institutions
ranking highest in each of the two competitions will each receive a
grant award.
(Authority: 20 U.S.C. 2404)
Sec. 413.21 What selection criteria does the Secretary use to
evaluate an application proposing research and development
activities?
The Secretary uses the following selection criteria in evaluating
each research and development application:
[[Page 90]]
(a) Program factors. (20 points) The Secretary reviews each
application to determine the extent to which each of the required
research and development activities described in Sec. 413.3(a)(2) will
be of high quality and effective.
(b) Plan of operation. (35 points) The Secretary reviews each
application to determine the quality of the plan of operation for the
proposed center, including--
(1) The applicant's plan for managing the National Center;
(2) The procedures the applicant will use to implement the National
Center particularly with regard to the public or private nonprofit
institution of higher education with which it is associated and, in the
case of a consortium, with the other member institutions of the
consortium;
(3) The applicant's plan for managing the National Center's
activities and personnel, including--
(i) Quality control procedures for its activities;
(ii) Procedures for assuring compliance with timelines;
(iii) Coordination procedures for communicating among staff,
subcontractors, members of the consortium, if any, and the Department of
Education;
(iv) Procedures for ensuring that adequate progress is being made
toward achieving the goals of the grantee by subcontractors, and members
of a consortium; and
(v) Procedures for ensuring that adequate budget, accounting, and
recordkeeping procedures will be used;
(4) The quality of the applicant's detailed plans for year one of
the National Center, including--
(i) Methodology and plan of operation;
(ii) Tasks and timelines;
(iii) Deliverables; and
(iv) Dissemination plans for each project; and
(5) The quality of the applicant's general plans for developing
appropriate, coherent, and effective vocational education research and
development activities, or dissemination and training activities, or
both, for years two through five.
(c) Key personnel. (10 points) The Secretary reviews each
application to determine the qualifications of the key personnel the
applicant plans to use for the National Center, including--
(1) The extent to which the Director of the National Center has--
(i) Appropriate professional qualifications, relevant project
management experience, and administrative skills;
(ii) A commitment to work full-time at the National Center;
(iii) A clear commitment to the goals of the project; and
(iv) Sufficient authority to effectively manage the activities of
the National Center;
(2) How the applicant, as part of its nondiscriminatory employment
practices, will ensure that its personnel are selected for employment
without regard to race, color, national origin, gender, age, or
disability; and
(3) The extent to which other key personnel to be used for the
National Center--
(i) Have experience and training in project management and in fields
related to the proposed activities they will be carrying out; and
(ii) Will commit sufficient time to the project.
(d) Vocational education experience. (10 points) The Secretary
reviews each application to determine the extent to which the applicant
understands the state of knowledge and practice related to vocational
education, including--
(1) The applicant's experience in conducting applied research and
development activities, dissemination and training activities, or both,
in the field of vocational education of the type described in Sec.
413.3;
(2) The applicant's capacity for conducting applied research and
development activities, dissemination and training activities, or both,
in the field of vocational education of the type described in Sec.
413.3; and
(3) How the activities of the National Center will contribute to the
advancement of relevant theory and practice in vocational education.
(e) Budget and cost effectiveness. (10 points) The Secretary reviews
each application to determine the extent to which--
(1) The Center has an adequate budget that is cost effective;
[[Page 91]]
(2) The budget is adequate to support the Center's activities; and
(3) Costs are reasonable in relation to the objectives of the
Center.
(f) Coordination activities. (5 points) The Secretary reviews each
application to determine the extent to which there is an effective plan
for the coordination of activities described in Sec. 413.3 (a) and (b),
and whether these activities are carried out between two institutions or
within one institution.
(Approved by the Office of Management and Budget under Control No. 1830-
0013)
(Authority: 20 U.S.C. 2404)
Sec. 413.22 What selection criteria does the Secretary use to
evaluate an application proposing dissemination and training
activities?
The Secretary uses the following selection criteria in evaluating
each dissemination and training application:
(a) Program factors. (20 points) The Secretary reviews each
application to determine the extent to which each of the required
dissemination and training activities, described in Sec. 413.3(b), will
be of high quality and effective.
(b) The selection criteria and points in Sec. 413.21 (b), (c), (d),
(e), and (f).
(Approved by the Office of Management and Budget under Control No. 1830-
0013)
(Authority: 20 U.S.C. 2404)
Subpart D_What Conditions Must Be Met After an Award?
Sec. 413.30 What are the restrictions on the use of funds?
(a) A National Center that performs both research and development
activities and dissemination and training activities shall use at least
two-thirds of its award for applied research and development.
(b) Not more than 10 percent of each year's budget for a National
Center may be used to respond to field-initiated needs unanticipated
prior to the annual funding period and that are in the mission of the
National Center, but not part of the scope of work of the grant or
cooperative agreement.
(Authority: 20 U.S.C. 2404(a)(3) and (b))
Sec. 413.31 Must a National Center have a director?
A National Center must have a full-time director who is appointed by
the institution serving as the grantee.
(Authority: 20 U.S.C. 2404)
Sec. 413.32 What are the requirements for coordination?
If the Secretary designates two National Centers, the two centers
must coordinate their activities.
(Authority: 20 U.S.C. 2404)
Sec. 413.33 What substantive studies must the National Center or
Centers conduct and submit?
(a) The National Center conducting research and development
activities shall annually prepare a study on the research conducted on
approaches that lead to effective articulation for the education-to-work
transition, including tech-prep programs, cooperative education or other
work-based programs, such as innovative apprenticeship or mentoring
approaches.
(b) The National Center conducting dissemination and training
activities shall annually prepare a study of its dissemination and
training activities.
(c) Annual studies described in paragraphs (a) and (b) of this
section must be submitted to the Secretary of Education, the Secretary
of Labor, the Secretary of Health and Human Services, the Committee on
Labor and Human Resources of the Senate, and the Committee on Education
and Labor of the House of Representatives.
(Authority: 20 U.S.C. 2404 (b)(2) and (c)(2))
Sec. 413.34 What activities must be performed during the final year
of an award?
During the fifth year of the award cycle, the National Center or
Centers shall develop and remain prepared to implement a contingency
plan for completing all substantive work by the end of the eleventh
month of that year and transferring all projects, services, and
activities to a successor during the twelfth month of that year.
(Approved by the Office of Management and Budget under Control No. 1830-
0013)
(Authority: 20 U.S.C. 2404)
[[Page 92]]
PART 415_DEMONSTRATION CENTERS FOR THE TRAINING OF DISLOCATED WORKERS
PROGRAM--Table of Contents
Subpart A_General
Sec.
415.1 What is the Demonstration Centers for the Training of Dislocated
Workers Program?
415.2 Who is eligible for an award?
415.3 What activities may the Secretary fund?
415.4 What regulations apply?
415.5 What definitions apply?
Subpart B [Reserved]
Subpart C_How Does the Secretary Make an Award?
415.20 How does the Secretary evaluate an application?
415.21 What selection criteria does the Secretary use?
415.22 What additional factors may the Secretary consider?
Subpart D_What Conditions Must Be Met After an Award?
415.30 What are the evaluation requirements?
Authority: 20 U.S.C. 2413, unless otherwise noted.
Source: 57 FR 36784, Aug. 14, 1992, unless otherwise noted.
Subpart A_General
Sec. 415.1 What is the Demonstration Centers for the Training of
Dislocated Workers Program?
The Demonstration Centers for the Training of Dislocated Workers
Program provides financial assistance for establishing one or more
demonstration centers for the retraining of dislocated workers.
(Authority: 20 U.S.C. 2413(a))
Sec. 415.2 Who is eligible for an award?
A private nonprofit organization that is eligible to receive funding
under title III of the Job Training Partnership Act (29 U.S.C. 1651 et
seq.) is eligible to receive an award under this program.
(Authority: 20 U.S.C. 2413(d))
Sec. 415.3 What activities may the Secretary fund?
(a) The Secretary provides grants or cooperative agreements for one
or more centers that demonstrate the retraining of dislocated workers.
(b) Each center funded by the Secretary must be designed and
operated to provide for the use of appropriate existing Federal, State,
and local programs and resources.
(c) Each center may use funds to provide for--
(1) The recruitment of unemployed workers;
(2) Vocational evaluation;
(3) Assessment and counseling services;
(4) Vocational and technical training;
(5) Support services; or
(6) Job placement assistance.
(Authority: 20 U.S.C. 2413(a))
Sec. 415.4 What regulations apply?
The following regulations apply to th
e Demonstration Centers for the
Training of Dislocated Workers Program:
(a) The regulations in this part 415.
(b) The regulations in 34 CFR part 400.
(Authority: 20 U.S.C. 2413)
Sec. 415.5 What definitions apply?
The definitions in 34 CFR 400.4 apply to this part.
(Authority: 20 U.S.C. 2413)
Subpart B [Reserved]
Subpart C_How Does the Secretary Make an Award?
Sec. 415.20 How does the Secretary evaluate an application?
(a) The Secretary evaluates an application on the basis of the
criteria in Sec. 415.21.
(b) The Secretary may award up to 100 points, including a reserved
15 points to be distributed in accordance with paragraph (d) of this
section, based on the criteria in Sec. 415.21.
(c) Subject to paragraph (d) of this section, the maximum possible
score
[[Page 93]]
for each criterion is indicated in parentheses after the heading for
each criterion.
(d) For each competition, as announced in a notice published in the
Federal Register, the Secretary may assign the reserved 15 points among
the criteria in Sec. 415.21.
(Authority: 20 U.S.C. 2413)
Sec. 415.21 What selection criteria does the Secretary use?
The Secretary uses the following criteria to evaluate an
application:
(a) Program factors. (10 points) The Secretary reviews each
application to assess the extent to which the proposed demonstration
center for the training of dislocated workers will--
(1) Be located in a service area with a high concentration of
dislocated workers, as supported by specific evidence of the need for
the proposed demonstration center;
(2) Provide vocational education and technical training to meet
current and projected occupational needs;
(3) Provide trainees with appropriate vocational evaluation,
assessment, and counseling, support services, and job placement
assistance;
(4) Result in trainees becoming employed in jobs related to their
training upon completion of their training; and
(5) Use other appropriate Federal, State, and local programs to
retrain, or provide services to, dislocated workers.
(b) Educational significance. (10 points) The Secretary reviews each
application to determine the extent to which the applicant--
(1) Bases the proposed demonstration center for the training of
dislocated workers on successful model vocational education programs
that include components similar to the components required by this
program, as evidenced by empirical data from those programs, in such
factors as--
(i) Student performance and achievement in vocational and technical
training;
(ii) High school graduation;
(iii) Placement of students in jobs, including military service; and
(iv) Successful transfer of students to a variety of postsecondary
education programs;
(2) Proposes project objectives that contribute to the improvement
of education; and
(3) Proposes to use innovative techniques to address educational
problems and needs that are of national significance.
(c) Plan of operation. (15 points) The Secretary reviews each
application to determine the quality of the plan of operation for the
project, including--
(1) The quality of the project design, especially the establishment
of measurable objectives for the project that are based on the project's
overall goals;
(2) The extent to which the plan of management is effective and
ensures proper and efficient administration of the project over the
award period;
(3) How well the objectives of the project relate to the purpose of
the program;
(4) The quality of the applicant's plan to use its resources and
personnel to achieve each objective including the use of appropriate
existing Federal, State, and local programs; and
(5) How the applicant will ensure that project participants who are
otherwise eligible to participate are selected without regard to race,
color, national origin, gender, age, or disability.
(d) Evaluation plan. (15 points) The Secretary reviews each
application to determine the quality of the project's evaluation plan,
including the extent to which the plan--
(1) Is clearly explained and is appropriate to the project;
(2) To the extent possible, is objective and will produce data that
are quantifiable;
(3) Identifies expected outcomes of the participants and how those
outcomes will be measured;
(4) Includes activities during the formative stages of the project
to help guide and improve the project, as well as a summative evaluation
that includes recommendations for replicating project activities and
results;
(5) Will provide a comparison between intended and observed results,
and lead to the demonstration of a clear link between the observed
results and the specific treatment of project participants; and
[[Page 94]]
(6) Will yield results that can be summarized and submitted to the
Secretary for review by the Department's Program Effectiveness Panel as
defined in 34 CFR 400.4(b).
(e) Demonstration and dissemination. (10 points) The Secretary
reviews each application for information to determine the effectiveness
and efficiency of the plan for demonstrating and disseminating
information about project activities and results throughout the project
period, including--
(1) High quality in the design of the dissemination plan and
procedures for evaluating the effectiveness of the dissemination plan;
(2) Provisions for publicizing the project at the local, State, and
national levels by conducting or delivering presentations at
conferences, workshops, and other professional meetings and by preparing
materials for journal articles, newsletters, and brochures;
(3) Identification of target groups and provisions for demonstrating
the methods and techniques used by the project to others interested in
replicating these methods and techniques, such as by inviting them to
observe project activities;
(4) A description of the types of materials the applicant plans to
make available to help others replicate project activities and the
methods for making the materials available; and
(5) Provisions for assisting others to adopt and successfully
implement the project or methods and techniques used by the project.
(f) Key personnel. (10 points) (1) The Secretary reviews each
application to determine the quality of key personnel the applicant
plans to use on the project, including--
(i) The qualifications, in relation to project requirements, of the
project director;
(ii) The qualifications, in relation to project requirements, of
each of the other key personnel to be used in the project;
(iii) The appropriateness of the time that each person referred to
in paragraphs (f)(1) (i) and (ii) of this section will commit to the
project; and
(iv) How the applicant, as part of its nondiscriminatory employment
practices, will ensure that its personnel are selected for employment
without regard to race, color, national origin, gender, age, or
disability.
(2) To determine personnel qualifications under paragraphs (f)(1)
(i) and (ii) of this section, the Secretary considers--
(i) The experience and training of key personnel in project
management and in fields related to the objectives of the project; and
(ii) Any other qualifications of key personnel that pertain to the
quality of the project.
(g) Budget and cost effectiveness. (10 points) The Secretary reviews
each application to determine the extent to which--
(1) The budget is cost effective and adequate to support the project
activities;
(2) The budget contains costs that are reasonable and necessary in
relation to the objectives of the project; and
(3) The budget proposes using non-Federal resources available from
appropriate employment, training, and education agencies in the State to
provide project services and activities and to acquire demonstration
center equipment and facilities.
(h) Adequacy of resources and commitment. (5 points) (1) The
Secretary reviews each application to determine the extent to which the
applicant plans to devote adequate resources to the project. The
Secretary considers the extent to which--
(i) The facilities that the applicant plans to use are adequate; and
(ii) The equipment and supplies that the applicant plans to use are
adequate.
(2) The Secretary reviews each application to determine the
commitment to the project, including whether the--
(i) Uses of non-Federal resources are adequate to provide project
services and activities, especially resources of community organizations
and State and local educational agencies; and
(ii) Applicant has the capacity to continue, expand, and build upon
the
[[Page 95]]
project when Federal assistance under this part ends.
(Approved by the Office of Management and Budget under Control No. 1830-
0013)
(Authority: 20 U.S.C. 2413)
Sec. 415.22 What additional factors may the Secretary consider?
After evaluating the applications according to the criteria in Sec.
415.21, the Secretary may select applications other than the most highly
rated applications if doing so would improve the geographical
distribution of projects funded under this program.
(Authority: U.S.C. 2413)
Subpart D_What Conditions Must Be Met After an Award?
Sec. 415.30 What are the evaluation requirements?
(a) Each grantee shall provide and budget for an independent
evaluation of grant activities.
(b) The evaluation must be both formative and summative in nature.
(c) The evaluation must be based on student achievement, completion,
and placement rates and project and product spread and transportability.
(d) A proposed project evaluation design must be submitted to the
Secretary for review and approval prior to the end of the first year of
the project period.
(e) A summary of evaluation activities and results that can be
reviewed by the Department's Program Effectiveness Panel, as defined in
34 CFR 400.4(b), must be submitted to the Secretary during the last year
of the project period.
(Approved by the Office of Management and Budget under Control No. 1830-
0013)
(Authority: 20 U.S.C. 2413)
PART 421_BUSINESS AND EDUCATION STANDARDS PROGRAM--Table of Contents
Subpart A_General
Sec.
421.1 What is the Business and Education Standards Program?
421.2 Who is eligible for an award?
421.3 What activities may the Secretary fund?
421.4 What regulations apply?
421.5 What definitions apply?
Subpart B [Reserved]
Subpart C_How Does the Secretary Make an Award?
421.20 How does the Secretary evaluate an application?
421.21 What selection criteria does the Secretary use?
Subpart D_What Conditions Must Be Met After an Award?
421.30 What is the cost-sharing requirement?
Authority: 20 U.S.C. 2416, unless otherwise noted.
Source: 57 FR 36796, Aug. 14, 1992, unless otherwise noted.
Subpart A_General
Sec. 421.1 What is the Business and Education Standards Program?
The Business and Education Standards Program provides financial
assistance for organizing and operating business-education-labor
technical committees that will develop national standards for
competencies in industries and trades.
(Authority: 20 U.S.C. 2416)
Sec. 421.2 Who is eligible for an award?
The following entities are eligible for an award under this program:
(a) Industrial trade associations.
(b) Labor organizations.
(c) National joint apprenticeship committees.
(d) Comparable national organizations, such as educational
associations, industry councils, business and industry organizations,
and associations of private or national research organizations.
(Authority: 20 U.S.C. 2416)
Sec. 421.3 What activities may the Secretary fund?
The Secretary provides grants and cooperative agreements for
projects that organize and operate business-labor-education technical
committees that propose national standards for competencies in
industries and trades, including standards for--
[[Page 96]]
(a) Major divisions or specialty areas identified within occupations
studied;
(b) Minimum hours of study to be competent in those divisions or
specialty areas;
(c) Minimum tools and equipment required in those divisions or
specialty areas;
(d) Minimum qualifications for instructional staff; and
(e) Minimum tasks to be included in any course of study purporting
to prepare individuals for work in those divisions or specialty areas.
(Authority: 20 U.S.C. 2416)
Sec. 421.4 What regulations apply?
The following regulations apply to the Business and Education
Standards Program:
(a) The regulations in this part 421.
(b) The regulations in 34 CFR part 400.
(Authority: 20 U.S.C. 2416)
Sec. 421.5 What definitions apply?
The definitions in 34 CFR 400.4 apply to this part.
(Authority: 20 U.S.C. 2416)
Subpart B [Reserved]
Subpart C_How Does the Secretary Make an Award?
Sec. 421.20 How does the Secretary evaluate an application?
(a) The Secretary evaluates an application for a grant or
cooperation agreement on the basis of the criteria in Sec. 421.21.
(b) The Secretary may award up to 100 points, including a reserved
15 points to be distributed in accordance with paragraph (d) of this
section, based on the criteria in Sec. 421.21.
(c) Subject to paragraph (d) of this section, the maximum possible
score for each criterion is indicated in parentheses after the heading
for each criterion.
(d) For each competition as announced through a notice published in
the Federal Register, the Secretary may assign the reserved points among
the criteria in Sec. 421.21.
(Authority: 20 U.S.C. 2416)
Sec. 421.21 What selection criteria does the Secretary use?
The Secretary uses the following criteria to evaluate an
application:
(a) Program factors. (15 points) The Secretary reviews each
application to assess the quality and effectiveness of the applicant's
approach to developing national standards for competencies in industries
and trades, including the extent to which the application proposes--
(1) To develop standards for--
(i) The competencies required for actual jobs, including the
increased competency requirements created by the changing workplace;
(ii) Major divisions or specialty areas identified within the
occupations the applicant proposes to study;
(iii) The minimum hours of study needed to be competent in those
divisions or specialty areas;
(iv) Minimum tools and equipment required in those divisions or
specialty areas;
(v) Minimum tasks to be included in any course of study purporting
to prepare individuals for work in those divisions or specialty areas;
and
(vi) Minimum qualifications for instructional staff in those
divisions or specialty areas; and
(2) An adequate needs assessment of the program factors described in
paragraph (a)(1) of this section as a part of the project.
(b) Extent of need for the project. (15 points) The Secretary
reviews each application to determine the extent to which the project
meets specific needs, including--
(1) The extent of the need for national standards for competencies
in the major division or specialty areas identified within the
occupations that the applicant proposes to study;
(2) How the applicant identified and documented those needs;
(3) How the standards to be developed will meet those needs,
including the need of business for competent entry-level workers in the
occupations to be studied; and
(4) The benefits to business, labor, and education that will result
from meeting those needs.
(c) Plan of operation. (15 points) The Secretary reviews each
application to
[[Page 97]]
determine the quality of the plan of operation for the project,
including the extent to which--
(1) The plan of management will be effective, will ensure proper and
efficient administration of the program, and includes timelines that
show starting and ending dates for all tasks;
(2) The specific procedures proposed will accomplish the project's
objectives, including how the procedures for selecting the business-
labor-education technical committees will ensure that the members are
knowledgeable about the occupations to be studied and include
representatives of business, labor, and education;
(3) The applicant plans to organize and operate the business-labor-
education technical committees effectively in developing national
standards for competencies in industries and trades;
(4) The development of proposed competencies for major divisions or
specialty areas within occupations will be coordinated with education
and industrial trade associations, labor organizations, and businesses;
(5) The methods the applicant proposes to use to select project
participants, if applicable, will ensure that project participants who
are otherwise eligible to participate are selected without regard to
race, color, national origin, gender, age, or disability.
(d) Evaluation plan. (10 points) The Secretary reviews each
application to determine the quality of the evaluation plan for the
project, including the extent to which the plan includes specific
procedures for--
(1) A formative evaluation to help assess and improve the accuracy
of standards for competencies; and
(2) A summative evaluation conducted by an independent evaluator.
(e) Key personnel. (10 points) (1) The Secretary reviews each
application to determine the extent of the applicant's experience in
fields related to the objectives of the project.
(2) The Secretary reviews each application to determine the quality
of key personnel the applicant plans to use including--
(i) The qualifications, in relation to project requirements, of the
project director, if one is to be used;
(ii) The qualifications, in relation to project requirements, of
each of the other key personnel to be used in the project;
(iii) The appropriateness of the time that each person referred to
in paragraphs (e)(2) (i) and (ii) of this section will commit to the
project; and
(iv) The experience and training of the project director and key
personnel in project management.
(f) Budget and cost effectiveness. (10 points) The Secretary reviews
each application to determine the extent to which--
(1) The budget is adequate to support the project; and
(2) Costs are reasonable in relation to the objectives of the
project.
(g) Dissemination plan. (10 points) The Secretary reviews each
application to determine the quality of the dissemination plan for the
project, including--
(1) A clear description of the dissemination procedures;
(2) A description of the types of materials the applicant plans to
make available;
(3) Provisions for publicizing the proposed national standards for
competencies in industries and trades; and
(4) Provisions for encouraging the adoption and use of the proposed
standards by education and training programs.
(Approved by the Office of Management and Budget under Control No. 1830-
0013)
(Authority: 20 U.S.C. 2416)