34 C.F.R. Subpart B—State Application for a Grant
Title 34 - Education
(a) In order to receive funds under this part for any fiscal year, a State must have— (1) An approved application that contains the information required in this part, including— (i) The information required in §§303.140 through 303.148; and (ii) The information required in §§303.161 through 303.176; and (2) The statement of assurances required under §§303.120 through 303.128, on file with the Secretary. (b) If a State has on file with the Secretary a policy, procedure, or assurance that demonstrates that the State meets an application requirement, including any policy or procedure filed under this part before July 1, 1998, that meets such a requirement, the Secretary considers the State to have met that requirement for purposes of receiving a grant under this part. (c) An application that meets the requirements of this part remains in zeffect until the State submits to the Secretary modifications of that application. (d) The Secretary may require a State to modify its application under this part to the extent necessary to ensure the State's compliance with this part if— (1) An amendment is made to the Act, or to a regulation under this part; (2) A new interpretation is made of the Act by a Federal court or the State's highest court; or (3) An official finding of noncompliance with Federal law or regulations is made with respect to the State. (Authority: 20 U.S.C. 1434 and 1437) [63 FR 18294, Apr. 14, 1998, as amended at 64 FR 12535, Mar. 12, 1999] The Secretary follows the procedures in 34 CFR 300.581 through 300.586 before disapproving a State's application or statement of assurances submitted under this part. (Authority: 20 U.S.C. 1437)
Title 34: Education
PART 303—EARLY INTERVENTION PROGRAM FOR INFANTS AND TODDLERS WITH DISABILITIES
Subpart B—State Application for a Grant
General Requirements
§ 303.100 Conditions of assistance.
§ 303.101 How the Secretary disapproves a State's application or statement of assurances.
Public Participation
§ 303.110 General requirements and timelines for public participation.
(a) Before submitting to the Secretary its application under this part, and before adopting a new or revised policy that is not in its current application, a State shall—
(1) Publish the application or policy in a manner that will ensure circulation throughout the State for at least a 60-day period, with an opportunity for comment on the application or policy for at least 30 days during that period;
(2) Hold public hearings on the application or policy during the 60-day period required in paragraph (a)(1) of this section; and
(3) Provide adequate notice of the hearings required in paragraph (a)(2) of this section at least 30 days before the dates that the hearings are conducted.
(b) A State may request the Secretary to waive compliance with the timelines in paragraph (a) of this section. The Secretary grants the request if the State demonstrates that—
(1) There are circumstances that would warrant such an exception; and
(2) The timelines that will be followed provide an adequate opportunity for public participation and comment.
(Authority: 20 U.S.C. 1437(a)(3))
§ 303.111 Notice of public hearings and opportunity to comment.
The notice required in §303.110(a)(3) must—
(a) Be published in newspapers or announced in other media, or both, with coverage adequate to notify the general public, including individuals with disabilities and parents of infants and toddlers with disabilities, throughout the State about the hearings and opportunity to comment on the application or policy; and
(b) Be in sufficient detail to inform the public about—
(1) The purpose and scope of the State application or policy, and its relationship to part C of the Act;
(2) The length of the comment period and the date, time, and location of each hearing; and
(3) The procedures for providing oral comments or submitting written comments.
(Authority: 20 U.S.C. 1437(a)(7))
[58 FR 40959, July 30, 1993, as amended at 63 FR 18294, Apr. 14, 1998]
§ 303.112 Public hearings.
Each State shall hold public hearings in a sufficient number and at times and places that afford interested parties throughout the State a reasonable opportunity to participate.
(Authority: 20 U.S.C. 1437(a)(7))
§ 303.113 Reviewing public comments received.
(a) Review of comments. Before adopting its application, and before the adoption of a new or revised policy not in the application, the lead agency shall—
(1) Review and consider all public comments; and
(2) Make any modifications it deems necessary in the application or policy.
(b) Submission to the Secretary. In submitting the State's application or policy to the Secretary, the lead agency shall include copies of news releases, advertisements, and announcements used to provide notice to the general public, including individuals with disabilities and parents of infants and toddlers with disabilities.
(Authority: 20 U.S.C. 1437(a)(7))
[58 FR 40959, July 30, 1993, as amended at 63 FR 18294, Apr. 14, 1998]
Statement of Assurances
§ 303.120 General.
(a) A State's statement of assurances must contain the information required in §§303.121 through 303.128.
(b) Unless otherwise required by the Secretary, the statement is submitted only once, and remains in effect throughout the term of a State's participation under this part.
(c) A State may submit a revised statement of assurances if the statement is consistent with the requirements in §§303.121 through 303.128.
(Authority: 20 U.S.C. 1437(b))
§ 303.121 Reports and records.
The statement must provide for—
(a) Making reports in such form and containing such information as the Secretary may require; and
(b) Keeping such records and affording such access to those records as the Secretary may find necessary to assure compliance with the requirements of this part, the correctness and verification of reports, and the proper disbursement of funds provided under this part.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1437(b)(4))
§ 303.122 Control of funds and property.
The statement must provide assurance satisfactory to the Secretary that—
(a) The control of funds provided under this part, and title to property acquired with those funds, will be in a public agency for the uses and purposes provided in this part; and
(b) A public agency will administer the funds and property.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1437(b)(3))
§ 303.123 Prohibition against commingling.
The statement must include an assurance satisfactory to the Secretary that funds made available under this part will not be commingled with State funds.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1437(b)(5)(A))
Note: As used in this part, commingle means depositing or recording funds in a general account without the ability to identify each specific source of funds for any expenditure. Under that general definition, it is clear that commingling is prohibited. However, to the extent that the funds from each of a series of Federal, State, local, and private funding sources can be identified—with a clear audit trail for each source—it is appropriate for those funds to be consolidated for carrying out a common purpose. In fact, a State may find it essential to set out a funding plan that incorporates, and accounts for, all sources of funds that can be targeted on a given activity or function related to the State's early intervention program.
Thus, the assurance in this section is satisfied by the use of an accounting system that includes an “audit trail” of the expenditure of funds awarded under this part. Separate bank accounts are not required.
§ 303.124 Prohibition against supplanting.
(a) The statement must include an assurance satisfactory to the Secretary that Federal funds made available under this part will be used to supplement the level of State and local funds expended for children eligible under this part and their families and in no case to supplant those State and local funds.
(b) To meet the requirement in paragraph (a) of this section, the total amount of State and local funds budgeted for expenditures in the current fiscal year for early intervention services for children eligible under this part and their families must be at least equal to the total amount of State and local funds actually expended for early intervention services for these children and their families in the most recent preceding fiscal year for which the information is available. Allowance may be made for—
(1) Decreases in the number of children who are eligible to receive early intervention services under this part; and
(2) Unusually large amounts of funds expended for such long-term purposes as the acquisition of equipment and the construction of facilities.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1437(b)(5)(B))
[58 FR 40959, July 30, 1993, as amended at 63 FR 18294, Apr. 14, 1998]
§ 303.125 Fiscal control.
The statement must provide assurance satisfactory to the Secretary that such fiscal control and fund accounting procedures will be adopted as may be necessary to assure proper disbursement of, and accounting for, Federal funds paid under this part.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1437(b)(6))
§ 303.126 Payor of last resort.
The statement must include an assurance satisfactory to the Secretary that the State will comply with the provisions in §303.527, including the requirements on—
(a) Nonsubstitution of funds; and
(b) Non-reduction of other benefits.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1437(b)(2))
§ 303.127 Assurance regarding expenditure of funds.
The statement must include an assurance satisfactory to the Secretary that the funds paid to the State under this part will be expended in accordance with the provisions of this part, including the requirements in §303.3.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1437(b)(1))
§ 303.128 Traditionally underserved groups.
The statement must include an assurance satisfactory to the Secretary that policies and practices have been adopted to ensure—
(a) That traditionally underserved groups, including minority, low-income, and rural families, are meaningfully involved in the planning and implementation of all the requirements of this part; and
(b) That these families have access to culturally competent services within their local geographical areas.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1437(b)(7))
General Requirements for a State Application
§ 303.140 General.
A State's application under this part must contain information and assurances demonstrating to the satisfaction of the Secretary that—
(a) The statewide system of early intervention services required in this part is in effect; and
(b) A State policy is in effect that ensures that appropriate early intervention services are available to all infants and toddlers with disabilities in the State and their families, including Indian infants and toddlers with disabilities and their families residing on a reservation geographically located in the State.
(Authority: 20 U.S.C. 1434 and 1435(a)(2))
[63 FR 18294, Apr. 14, 1998, as amended at 64 FR 12535, Mar. 12, 1999]
§ 303.141 Information about the Council.
Each application must include information demonstrating that the State has established a State Interagency Coordinating Council that meets the requirements of subpart G of this part.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1437(a)(3))
§ 303.142 Designation of lead agency.
Each application must include a designation of the lead agency in the State that will be responsible for the administration of funds provided under this part.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1437(a)(1))
§ 303.143 Designation regarding financial responsibility.
Each application must include a designation by the State of an individual or entity responsible for assigning financial responsibility among appropriate agencies.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1437(a)(2))
§ 303.144 Assurance regarding use of funds.
Each application must include an assurance that funds received under this part will be used to assist the State to maintain and implement the statewide system required under subparts D through F of this part.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1475, 1437(a)(3))
[58 FR 40959, July 30, 1993, as amended at 63 FR 18294, Apr. 14, 1998]
§ 303.145 Description of use of funds.
(a) General. Each application must include a description of how a State proposes to use its funds under this part for the fiscal year or years covered by the application. The description must be presented separately for the lead agency and the Council, and include the information required in paragraphs (b) through (e) of this section.
(b) Administrative positions. Each application must include—
(1) A list of administrative positions, with salaries, and a description of the duties for each person whose salary is paid in whole or in part with funds awarded under this part; and
(2) For each position, the percentage of salary paid with those funds.
(c) Maintenance and implementation activities. Each application must include—
(1) A description of the nature and scope of each major activity to be carried out under this part in maintaining and implementing the statewide system of early intervention services; and
(2) The approximate amount of funds to be spent for each activity.
(d) Direct services. (1) Each application must include a description of any direct services that the State expects to provide to eligible children and their families with funds under this part, including a description of any services provided to at-risk infants and toddlers as defined in §303.16(b), and their families, consistent with §§303.521 and 303.527.
(2) The description must include information about each type of service to be provided, including—
(i) A summary of the methods to be used to provide the service (e.g., contracts or other arrangements with specified public or private organizations); and
(ii) The approximate amount of funds under this part to be used for the service.
(e) At-risk infants and toddlers. For any State that does not provide direct services for at-risk infants and toddlers described in paragraph (d)(1) of this section, but chooses to use funds as described in §303.3(e), each application must include a description of how those funds will be used.
(f) Activities by other agencies. If other agencies are to receive funds under this part, the application must include—
(1) The name of each agency expected to receive funds;
(2) The approximate amount of funds each agency will receive; and
(3) A summary of the purposes for which the funds will be used.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1437(a)(3) and (a)(5))
[58 FR 40959, July 30, 1993, as amended at 63 FR 18294, Apr. 14, 1998; 64 FR 12535, Mar. 12, 1999]
§ 303.146 Information about public participation.
Each application must include the information on public participation that is required in §303.113(b).
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1437(a)(7))
§ 303.147 Services to all geographic areas.
Each application must include a description of the procedure used to ensure that resources are made available under this part for all geographic areas within the State.
(Authority: 20 U.S.C. 1437(a)(6))
[63 FR 18294, Apr. 14, 1998]
§ 303.148 Transition to preschool programs.
Each application must include a description of the policies and procedures to be used to ensure a smooth transition for children receiving early intervention services under this part to preschool or other appropriate services, including—
(a) A description of how the families will be included in the transition plans;
(b) A description of how the lead agency under this part will—
(1) Notify the local educational agency for the area in which the child resides that the child will shortly reach the age of eligibility for preschool services under Part B of the Act, as determined in accordance with State law;
(2)(i) In the case of a child who may be eligible for preschool services under Part B of the Act, with the approval of the family of the child, convene a conference among the lead agency, the family, and the local educational agency at least 90 days, and at the discretion of the parties, up to 6 months, before the child is eligible for the preschool services, to discuss any services that the child may receive; or
(ii) In the case of a child who may not be eligible for preschool services under Part B of the Act, with the approval of the family, make reasonable efforts to convene a conference among the lead agency, the family, and providers of other appropriate services for children who are not eligible for preschool services under Part B, to discuss the appropriate services that the child may receive;
(3) Review the child's program options for the period from the child's third birthday through the remainder of the school year; and
(4) Establish a transition plan; and
(c) If the State educational agency, which is responsible for administering preschool programs under part B of the Act, is not the lead agency under this part, an interagency agreement between the two agencies to ensure coordination on transition matters.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1437(a)(8))
Note: Among the matters that should be considered in developing policies and procedures to ensure a smooth transition of children from one program to the other are the following:
• The financial responsibilities of all appropriate agencies.
• The responsibility for performing evaluations of children.
• The development and implementation of an individualized education program (“IEP”) or an individualized family service plan (“IFSP”) for each child, consistent with the requirements of law (see §303.344(h) and sections 612(a)(9) of the Act).
• The coordination of communication between agencies and the child's family.
• The mechanisms to ensure the uninterrupted provision of appropriate services to the child.
[58 FR 40959, July 30, 1993, as amended at 63 FR 18294, Apr. 14, 1998]
Components of a Statewide System—Application Requirements
§ 303.160 Minimum components of a statewide system.
Each application must address the minimum components of a statewide system of coordinated, comprehensive, multidisciplinary, interagency programs providing appropriate early intervention services to all infants and toddlers with disabilities and their families, including Indian infants and toddlers with disabilities and their families residing on a reservation geographically located in the State. The minimum components of a statewide system are described in §§303.161 through 303.176.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1435(a), 1437(a)(9))
[58 FR 40959, July 30, 1993, as amended at 63 FR 18295, Apr. 14, 1998]
§ 303.161 State definition of developmental delay.
Each application must include the State's definition of “developmental delay,” as described in §303.300.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1435(a)(1))
§ 303.162 Central directory.
Each application must include information and assurances demonstrating to the satisfaction of the Secretary that the State has developed a central directory of information that meets the requirements in §303.301.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1435(a)(7))
§ 303.163 [Reserved]
§ 303.164 Public awareness program.
Each application must include information and assurances demonstrating to the satisfaction of the Secretary that the State has established a public awareness program that meets the requirements in §303.320.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1435(a)(6))
§ 303.165 Comprehensive child find system.
Each application must include—
(a) The policies and procedures required in §303.321(b);
(b) Information demonstrating that the requirements on coordination in §303.321(c) are met;
(c) The referral procedures required in §303.321(d), and either—
(1) A description of how the referral sources are informed about the procedures; or
(2) A copy of any memorandum or other document used by the lead agency to transmit the procedures to the referral sources; and
(d) The timelines in §303.321(e).
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1435(a)(5))
§ 303.166 Evaluation, assessment, and nondiscriminatory procedures.
Each application must include information to demonstrate that the requirements in §§303.322 and 303.323 are met.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1435(a)(3); 1436(a)(1), (d)(2), and (d)(3))
§ 303.167 Individualized family service plans.
Each application must include—
(a) An assurance that a current IFSP is in effect and implemented for each eligible child and the child's family;
(b) Information demonstrating that—
(1) The State's procedures for developing, reviewing, and evaluating IFSPs are consistent with the requirements in §§303.340, 303.342, 303.343 and 303.345; and
(2) The content of IFSPs used in the State is consistent with the requirements in §303.344; and
(c) Policies and procedures to ensure that—
(1) To the maximum extent appropriate, early intervention services are provided in natural environments; and
(2) The provision of early intervention services for any infant or toddler occurs in a setting other than a natural environment only if early intervention cannot be achieved satisfactorily for the infant or toddler in a natural environment.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1435(a)(4), 1436(d))
[58 FR 40959, July 30, 1993, as amended at 63 FR 18295, Apr. 14, 1998]
§ 303.168 Comprehensive system of personnel development (CSPD).
Each application must include information to show that the requirements in §303.360(b) are met.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1435(a)(8))
§ 303.169 Personnel standards.
(a) Each application must include policies and procedures that are consistent with the requirements in §303.361.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1435(a)(9))
§ 303.170 Procedural safeguards.
Each application must include procedural safeguards that—
(a) Are consistent with §§303.400 through 303.406, 303.419 through 303.425 and 303.460; and
(b) Incorporate either—
(1) The due process procedures in 34 CFR 300.506 through 300.512; or
(2) The procedures that the State has developed to meet the requirements in §§303.419, 303.420(b) and 303.421 through 303.425.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1435(a)(13))
[58 FR 40959, July 30, 1993, as amended at 63 FR 18295, Apr. 14, 1998]
§ 303.171 Supervision and monitoring of programs.
Each application must include information to show that the requirements in §303.501 are met.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20. U.S.C. 1435(a)(10)(A))
§ 303.172 Lead agency procedures for resolving complaints.
Each application must include procedures that are consistent with the requirements in §§303.510 through 303.512.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1435(a)(10))
§ 303.173 Policies and procedures related to financial matters.
Each application must include—
(a) Funding policies that meet the requirements in §§303.520 and 303.521;
(b) Information about funding sources, as required in §303.522;
(c) Procedures to ensure the timely delivery of services, in accordance with §303.525; and
(d) A procedure related to the timely reimbursement of funds under this part, in accordance with §§303.527(b) and 303.528.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1435(a)(10) (D) and (E), 1435(a)(12), 1440)
§ 303.174 Interagency agreements; resolution of individual disputes.
Each application must include—
(a) A copy of each interagency agreement that has been developed under §303.523; and
(b) Information to show that the requirements in §303.524 are met.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1435(a)(10) (E) and (F)
§ 303.175 Policy for contracting or otherwise arranging for services.
Each application must include a policy that meets the requirements in §303.526.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1435(a)(11))
§ 303.176 Data collection.
Each application must include procedures that meet the requirements in §303.540.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1435(a)(14))
Participation by the Secretary of the Interior
§ 303.180 Payments to the Secretary of the Interior for Indian tribes and tribal organizations.
(a) The Secretary makes payments to the Secretary of the Interior for the coordination of assistance in the provision of early intervention services by the States to infants and toddlers with disabilities and their families on reservations served by elementary and secondary schools for Indian children operated or funded by the Department of the Interior.
(b)(1) The Secretary of the Interior shall distribute payments under this part to tribes or tribal organizations (as defined under section 4 of the Indian Self-Determination and Education Assistance Act), or combinations of those entities, in accordance with section 684(b) of the Act.
(2) A tribe or tribal organization is eligible to receive a payment under this section if the tribe is on a reservation that is served by an elementary or secondary school operated or funded by the Bureau of Indian Affairs (“BIA”).
(c)(1) Within 90 days after the end of each fiscal year the Secretary of the Interior shall provide the Secretary with a report on the payments distributed under this section.
(2) The report must include—
(i) The name of each tribe, tribal organization, or combination of those entities that received a payment for the fiscal year;
(ii) The amount of each payment; and
(iii) The date of each payment.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1443(b))
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