34 C.F.R. Subpart B—How a State Applies for a Grant
Title 34 - Education
This subpart establishes general requirements that a State must meet to apply for a grant under a program covered by this part. Additional requirements are in the authorizing statute and the implementing regulations for the program. (Authority: 20 U.S.C. 1221e–3 and 3474) [52 FR 27804, July 24, 1987] A State that makes subgrants to local educational agencies under a program subject to this part shall have on file with the Secretary a general application that meets the requirements of section 441 of the General Education Provisions Act. (Authority: 20 U.S.C. 1221e–3, 1232d, and 3474) [52 FR 27804, July 24, 1987, as amended at 60 FR 46493, Sept. 6, 1995] As used in this part, State plan means any of the following documents: (Authority: 20 U.S.C. 1221e–3 and 3474) [57 FR 30340, July 8, 1992] (a) Beginning with fiscal year 1996, each State plan will be effective for a period of more than one fiscal year, to be determined by the Secretary or by regulations. (b) If the Secretary determines that the multi-year State plans under a program should be submitted by the States on a staggered schedule, the Secretary may require groups of States to submit or resubmit their plans in different years. (c) This section does not apply to: (1) The annual accountability report under part A of title I of the Vocational Education Act; (2) The annual programs under the Library Services and Construction Act; (3) The application under sections 141–143 of the Elementary and Secondary Education Act; and (4) The State application under section 209 of title II of the Education for Economic Security Act. (d) A State may submit an annual State plan under the Vocational Education Act. If a State submits an annual plan under that program, this section does not apply to that plan. Note: This section is based on a provision in the General Education Provisions Act (GEPA). Section 427 of the Department of Education Organization Act (DEOA), 20 U.S.C. 3487, provides that except to the extent inconsistent with the DEOA, the GEPA “shall apply to functions transferred by this Act to the extent applicable on the day preceding the effective date of this Act.” Although standardized nomenclature is used in this section to reflect the creation of the Department of Education, there is no intent to extend the coverage of the GEPA beyond that authorized under section 427 or other applicable law. (Authority: 20 U.S.C. 1231g(a)) [45 FR 22517, Apr. 3, 1980. Redesignated at 45 FR 77368, Nov. 21, 1980, as amended at 45 FR 86296, Dec. 30, 1980; 50 FR 43545, Oct. 25, 1985; 60 FR 46493, Sept. 6, 1995] (a) A State shall include the following certifications in each State plan: (1) That the plan is submitted by the State agency that is eligible to submit the plan. (2) That the State agency has authority under State law to perform the functions of the State under the program. (3) That the State legally may carry out each provision of the plan. (4) That all provisions of the plan are consistent with State law. (5) That a State officer, specified by title in the certification, has authority under State law to receive, hold, and disburse Federal funds made available under the plan. (6) That the State officer who submits the plan, specified by title in the certification, has authority to submit the plan. (7) That the agency that submits the plan has adopted or otherwise formally approved the plan. (8) That the plan is the basis for State operation and administration of the program. (b) [Reserved] (Authority: 20 U.S.C. 1221e–3 and 3474) A State shall make the following documents available for public inspection: (a) All State plans and related official materials. (b) All approved subgrant applications. (c) All documents that the Secretary transmits to the State regarding a program. (Authority: 20 U.S.C. 1221e–3 and 3474) Authority: Title V, Pub. L. 95–134, 91 Stat. 1159 (48 U.S.C. 1469a).
(a) Sections 76.125 through 76.137 of this part contain requirements for the submission of an application by an Insular Area for the consolidation of two or more grants under the programs described in paragraph (c) of this section. (b) For the purpose of §§76.125–76.137 of this part the term Insular Area means the Virgin Islands, Guam, American Samoa, the Trust Territory of the Pacific Islands, or the Commonwealth of the Northern Mariana Islands. (c) The Secretary may make an annual consolidated grant to assist an Insular Area in carrying out one or more State-administered formula grant programs of the Department. (Authority: 20 U.S.C. 1221e–3 and 3474) [47 FR 17421, Apr. 22, 1982, as amended at 54 FR 21776, May 19, 1989; 57 FR 30341, July 8, 1992] The following regulations apply to those programs included in a consolidated grant: (a) The regulations in §§76.125 through 76.137; and (b) The regulations that apply to each specific program included in a consolidated grant for which funds are used. (Authority: 48 U.S.C. 1469a) [47 FR 17421, Apr. 22, 1982] An Insular Area may apply for a consolidated grant for two or more of the programs listed in §76.125(c). This procedure is intended to: (a) Simplify the application and reporting procedures that would otherwise apply for each of the programs included in the consolidated grant; and (b) Provide the Insular Area with flexibility in allocating the funds under the consolidated grant to achieve any of the purposes to be served by the programs that are consolidated. (Authority: 48 U.S.C. 1469a) [47 FR 17421, Apr. 22, 1982] A consolidated grant is a grant to an Insular Area for any two or more of the programs listed in §76.125(c). The amount of the consolidated grant is the sum of the allocations the Insular Area receives under each of the programs included in the consolidated grant if there had been no consolidation. Example. Assume the Virgin Islands applies for a consolidated grant that includes programs under the Adult Education Act, Vocational Education Act, and Chapter 1 of the Education Consolidation and Improvement Act. If the Virgin Islands' allocation under the formula for each of these three programs is $150,000; the total consolidated grant to the Virgin Islands would be $450,000. (Authority: 48 U.S.C. 1469a) [47 FR 17421, Apr. 22, 1982] (a) An Insular Area shall use the funds it receives under a consolidated grant to carry out, in its jurisdiction, one or more of the programs included in the grant. Example. Assume that Guam applies for a consolidated grant under the Vocational Education Act, the Handicapped Preschool and School Programs-Incentive Grants, and the Adult Education Act and that the sum of the allocations under these programs is $700,000. Guam may choose to allocate this $700,000 among all of the programs authorized under the three programs. Alternatively, it may choose to allocate the entire $700,000 to one or two of the programs; for example, the Adult Education Act Program. (b) An Insular Area shall comply with the statutory and regulatory requirements that apply to each program under which funds from the consolidated grant are expended. Example. Assume that American Samoa uses part of the funds under a consolidated grant for the State program under the Adult Education Act. American Samoa need not submit to the Secretary a State plan that requires policies and procedures to assure all students equal access to adult education programs. However, in carrying out the program, American Samoa must meet and be able to demonstrate compliance with this equal access requirement. (Authority: 48 U.S.C. 1469a) [47 FR 17421, Apr. 22, 1982] (a) The Secretary annually makes a single consolidated grant to each Insular Area that meets the requirements of §§76.125 through 76.137 and each program under which the grant funds are to be used and administered. (b) The Secretary may decide that one or more programs cannot be included in the consolidated grant if the Secretary determines that the Insular Area failed to meet the program objectives stated in its plan for the previous fiscal year in which it carried out the programs. (c) Under a consolidated grant, an Insular Area may use a single advisory council for any or all of the programs that require an advisory council. (d) Although Pub. L. 95–134 authorizies the Secretary to consolidate grant funds that the Department awards to an Insular Area, it does not confer eligibility for any grant funds. The eligibility of a particular Insular Area to receive grant funds under a Federal education program is determined under the statute and regulations for that program. (Authority: 48 U.S.C. 1469a) [47 FR 17421, Apr. 22, 1982] (a) An Insular Area that desires to apply for a grant consolidating two or more programs listed in §76.125(c) shall submit to the Secretary an application that: (1) Contains the assurances in §76.132; and (2) Meets the application requirements in paragraph (c) of this section. (b) The submission of an application that contains these requirements and assurances takes the place of a separate State plan or other similar document required by this part or by the authorizing statutes and regulations for programs included in the consolidated grant. (c) An Insular Area shall include in its consolidated grant application a program plan that: (1) Contains a list of the programs in §76.125(c) to be included in the consolidated grant; (2) Describes the program or programs in §76.125(c) under which the consolidated grant funds will be used and administered; (3) Describes the goals, objectives, activities, and the means of evaluating program outcomes for the programs for which the Insular Area will use the funds received under the consolidated grant during the fiscal year for which it submits the application, including needs of the population that will be met by the consolidation of funds; and (4) Contains a budget that includes a description of the allocation of funds—including any anticipated carryover funds of the program in the consolidated grant from the preceding year—among the programs to be included in the consolidated grant. (Authority: 48 U.S.C. 1469a) [47 FR 17421, Apr. 22, 1982, as amended at 53 FR 49143, Dec. 6, 1988] (a) An Insular Area shall include in its consolidated grant application assurances to the Secretary that it will: (1) Follow policies and use administrative practices that will insure that non-Federal funds will not be supplanted by Federal funds made available under the authority of the programs in the consolidated grant; (2) Comply with the requirements (except those relating to the submission of State plans or similar documents) in the authorizing statutes and implementing regulations for the programs under which funds are to be used and administered, (except requirements for matching funds); (3) Provide for proper and efficient administration of funds in accordance with the authorizing statutes and implementing regulations for those programs under which funds are to be used and administered; (4) Provide for fiscal control and fund accounting procedures to assure proper disbursement of, and accounting for, Federal funds received under the consolidated grant; (5) Submit an annual report to the Secretary containing information covering the program or programs for which the grant is used and administered, including the financial and program performance information required under 34 CFR 74.51–74.52 and 34 CFR 80.40–80.41. (6) Provide that funds received under the consolidated grant will be under control of, and that title to property acquired with these funds will be in, a public agency, institution, or organization. The public agency shall administer these funds and property; (7) Keep records, including a copy of the State Plan or application document under which funds are to be spent, which show how the funds received under the consolidated grant have been spent. (8) Adopt and use methods of monitoring and providing technical assistance to any agencies, organizations, or institutions that carry out the programs under the consolidated grant and enforce any obligations imposed on them under the applicable statutes and regulations. (9) Evaluate the effectiveness of these programs in meeting the purposes and objectives in the authorizing statutes under which program funds are used and administered; (10) Conduct evaluations of these programs at intervals and in accordance with procedures the Secretary may prescribe; and (11) Provide appropriate opportunities for participation by local agencies, representatives of the groups affected by the programs, and other interested institutions, organizations, and individuals in planning and operating the programs. (b) These assurances remain in effect for the duration of the programs they cover. (Authority: 48 U.S.C. 1469a) [47 FR 17421, Apr. 22, 1982, as amended at 64 FR 50392, Sept. 16, 1999] (a) After an Insular Area receives a consolidated grant, it may reallocate the funds in a manner different from the allocation described in its consolidated grant application. However, the funds cannot be used for purposes that are not authorized under the programs in the consolidated grant under which funds are to be used and administered. (b) If an Insular Area decides to reallocate the funds it receives under a consolidated grant, it shall notify the Secretary by amending its original application to include an update of the information required under §76.131. (Authority: 48 U.S.C. 1469a) [47 FR 17421, Apr. 22, 1982] (a) An Insular Area may request that any number of programs in §76.125(c) be included in its consolidated grant and may apply separately for assistance under any other programs listed in §76.125(c) for which it is eligible. (b) Those programs that an Insular Area decides to exclude from consolidation—for which it must submit separate plans or applications—are implemented in accordance with the applicable program statutes and regulations. The excluded programs are not subject to the provisions for allocation of funds among programs in a consolidated grant. (Authority: 48 U.S.C. 1469a) [47 FR 17421, Apr. 22, 1982] The Secretary waives all requirements for matching funds for those programs that are consolidated by an Insular Area in a consolidated grant application. (Authority: 48 U.S.C. 1469a) [47 FR 17421, Apr. 22, 1982] Insular Areas may only use and administer funds under programs described in §76.125(c) during a fiscal year for which the Insular Area is entitled to receive funds under an appropriation for that program. (Authority: 48 U.S.C. 1469a) [47 FR 17421, Apr. 22, 1982, as amended at 57 FR 30341, July 8, 1992] Any funds under any applicable program which are available for obligation and expenditure in the year succeeding the fiscal year for which they are appropriated must be obligated and expended in accordance with the consolidated grant application submitted by the Insular Area for that program for the succeeding fiscal year. (Authority: 20 U.S.C. 1225(b); 48 U.S.C. 1469a) (a) If the Secretary determines that an amendment to a State plan is essential during the effective period of the plan, the State shall make the amendment. (b) A State shall also amend a State plan if there is a significant and relevant change in: (1) The information or the assurances in the plan; (2) The administration or operation of the plan; or (3) The organization, policies, or operations of the State agency that received the grant, if the change materially affects the information or assurances in the plan. (Authority: 20 U.S.C. 1221e–3, 1231g(a), and 3474) If a State amends a State plan under §76.140, the State shall use the same procedures as those it must use to prepare and submit a State plan. (Authority: 20 U.S.C. 1221e–3 and 3474) The Secretary uses the same procedures to approve an amendment to a State plan—or any other document a State submits—as the Secretary uses to approve the original document. (Authority: 20 U.S.C. 1221e–3 and 3474)
Title 34: Education
PART 76—STATE-ADMINISTERED PROGRAMS
Subpart B—How a State Applies for a Grant
State Plans and Applications
§ 76.100 Effect of this subpart.
§ 76.101 The general State application.
§ 76.102 Definition of “State plan” for part 76.
---------------------------------------------------------------------------------------------------------------- Document Program Authorizing statute Principal Office----------------------------------------------------------------------------------------------------------------State plan............................ Assistance to States for Part B (except section OSERS Education of 619), Individuals with Handicapped Children. Disabilities Education Act (20 U.S.C. 1411- 1420).Application........................... Preschool Grants........ Section 619, Individuals OSERS with Disabilities Education Act (20 U.S.C. 1419).Application........................... Handicapped Infants and Part H, Individuals with OSERS Toddlers. Disabilities Education Act (20 U.S.C. 1471- 1485).Application or written request for Client Assistance Section 112, OSERS assistance. Program. Rehabilitation Act of 1973 (29 U.S.C. 732).Application........................... Removal of Architectural Section 607, Individuals OSERS Barriers to the with Disabilities Handicapped Program. Education Act (20 U.S.C. 1406).State plan............................ State Vocational Title I, Parts A-C, OSERS Rehabilitation Services Rehabilitation Act of Program. 1973 (29 U.S.C. 720-741).State plan supplement................. State Supported Title VI, Part C, OSERS Employment Services Rehabilitation Act of Program. 1973 (29 U.S.C. 795j- 795r).State plan............................ State Independent Living Title VII, Part A, OSERS Services Program. Rehabilitation Act of 1973 (29 U.S.C. 796- 796d).State plan............................ State Vocational Title I, Part B, Carl D. OVAE Education Program. Perkins Vocational Education Act (20 U.S.C. 2321-2325).State plan and application............ State-Administered Adult Section 341, Adult OVAE Education Program. Education Act (20 U.S.C. 1206).State plan............................ Even Start Family Title I, Chapter 1, Part OESE Literacy Program. B of the Elementary and Secondary Education Act of 1965 (20 U.S.C. 2741- 2749).State application..................... State Grants for Title II, Part A, OESE Strengthening Elementary and Secondary Instruction in Education Act of 1965, Mathematics and Science. as amended (20 U.S.C. 2981-2993).State application..................... Federal, State and Local Title I, Chapter 2, OESE Partnership for Elementary and Secondary Educational Improvement. Education Act of 1965, as amended (20 U.S.C. 2911-2952 and 2971-2976).State plan or application............. Migrant Education Sections 1201, 1202, OESE Program. Chapter 1, Title I, Elementary and Secondary Education Act of 1965, as amended (20 U.S.C. 2781 and 2782).Application........................... State Student Incentive Section 415C, Higher OPE Grant Program. Education Act of 1965 (20 U.S.C. 1070c-2).Application........................... Paul Douglas Teacher Section 553, Higher OPE Scholarship Program. Education Act of 1965 (20 U.S.C. 1111b).Basic State plan, long-range program, The Library Services and Library Services and OERI and annual program. Construction Act State- Construction Act (20 Administered Program. U.S.C. 351-355e-3).Application........................... Emergency Immigrant Emergency Immigrant OBEMLA Education Program. Education Act (20 U.S.C. 3121-3130).Application........................... Transition Program for Section 412(d) OBEMLA Refugee Children. Immigration and Naturalization Act (8 U.S.C. 1522 (d)).Any document that the authorizing Any State-administered Section 408(a)(1), Dept-wide statute for a State-administered program without General Education program requires a State to submit to implementing Provisions Act and receive funds. regulations. Section 414, Department of Education Organization Act (20 U.S.C. 1221e-3(a)(1) and 3474).----------------------------------------------------------------------------------------------------------------
§ 76.103 Multi-year State plans.
§ 76.104 A State shall include certain certifications in its State plan.
§ 76.106 State documents are public information.
Consolidated Grant Applications for Insular Areas
§ 76.125 What is the purpose of these regulations?
§ 76.126 What regulations apply to the consolidated grant applications for insular areas?
§ 76.127 What is the purpose of a consolidated grant?
§ 76.128 What is a consolidated grant?
§ 76.129 How does a consolidated grant work?
§ 76.130 How are consolidated grants made?
§ 76.131 How does an insular area apply for a consolidated grant?
§ 76.132 What assurances must be in a consolidated grant application?
§ 76.133 What is the reallocation authority?
§ 76.134 What is the relationship between consolidated and non-consolidated grants?
§ 76.135 Are there any requirements for matching funds?
§ 76.136 Under what programs may consolidated grant funds be spent?
§ 76.137 How may carryover funds be used under the consolidated grant application?
Amendments
§ 76.140 Amendments to a State plan.
§ 76.141 An amendment requires the same procedures as the document being amended.
§ 76.142 An amendment is approved on the same basis as the document being amended.
