34 C.F.R. Subpart B—How Does a State Apply for a Grant?
Title 34 - Education
An SEA shall submit the following to the Secretary as one document: (a) A State plan, developed once every four years, that meets the requirements of the Act and contains the information required in §461.12. (b) A State application consisting of program assurances, signed by an authorized official of the SEA, to provide that— (1) The SEA will provide such methods of administration as are necessary for the proper and efficient administration of the Act; (2) Federal funds granted to the State under the Act will be used to supplement, and not supplant, the amount of State and local funds available for uses specified in the Act; (3) Programs, services, and activities funded in accordance with the uses specified in section 322 of the Act are designed to expand or improve the quality of adult education programs, including programs for educationally disadvantaged adults, to initiate new programs of high quality, or, if necessary, to maintain programs; (4) The SEA will provide such fiscal control and fund accounting procedures as may be necessary to ensure proper disbursement of, and accounting for, Federal funds paid to the State (including Federal funds paid by the State to eligible recipients under the Act); (5) The SEA has instituted policies and procedures to ensure that copies of the State plan and all statements of general policy, rules, regulations, and procedures will be made available to the public; (6) The SEA will comply with the maintenance of effort requirements in section 361(b) of the Act; See §461.42 What is the maintenance of effort requirement? (7) Adults enrolled in adult basic education programs, including programs for adults with limited English proficiency, will not be charged tuition, fees, or any other charges, or be required to purchase any books or any other materials that are needed for participation in the program; (8) The SEA may use not more than 20 percent of the funds granted to the State under the Act for programs of equivalency for a certificate of graduation from secondary school; (9) As may be required by the Secretary, the SEA will report information concerning special experimental demonstration projects and teacher training projects supported under section 353 of the Act; and (10) The SEA annually will report information abut the State's adult education students, programs, expenditures, and goals, as may be required by the Secretary. (Authority: 20 U.S.C. 1203a(b)(2), 1206(a), 1206b, 1207a, 1208, and 1209(b)) In formulating the State plan, the SEA shall— (a) Meet with and utilize the State advisory council, if a council is established under section 332 of the Act and §461.50; (b) After providing appropriate and sufficient notice to the public, conduct at least two public hearings in the State for the purpose of affording all segments of the public, including groups serving educationally disadvantaged adults, and interested organizations and groups, an opportunity to present their views and make recommendations regarding the State plan; (c) Make a thorough assessment of— (1) The needs of adults, including educationally disadvantaged adults, eligible to be served as well as adults proposed to be served and those currently served by the program; and (2) The capability of existing programs and institutions to meet those needs; and (d) State the changes and improvements required in adult education to fulfill the purposes of the Act and the options for implementing these changes and improvements. (Authority: 20 U.S.C. 1206a(a)(1) and (2), (b)) (a) Consistent with the assessment described in §461.11(c), a State plan must, for the four-year period covered by the plan— (1) Describe the adult education needs of all segments of the adult population in the State identified in the assessment, including the needs of those adults who are educationally disadvantaged: (2) Describe and provide for the fulfillment of the literacy needs of individuals in the State; (3) Set forth measurable goals for improving literacy levels, retention in literacy programs, and long-term learning gains of individuals in the State and describe a comprehensive approach for achieving those goals, including the development of indicators of program quality as required by section 331(a)(2) of the Act and §461.3(b)(7). (4) Describe the curriculum, equipment, and instruments that are being used by instructional personnel in programs and indicate how current these elements are; (5) Describe the means by which the delivery of adult education services will be significantly expanded (including efforts to reach typically underserved groups such as educationally disadvantaged adults, individuals of limited English proficiency, and adults with disabilities) through coordination by agencies, institutions, and organizations including the public school system, businesses, labor unions, libraries, institutions of higher education, public health authorities, employment or training programs, antipoverty programs, organizations providing assistance to the homeless, and community and voluntary organizations; (6) Describe the means by which representatives of the public and private sectors were involved in the development of the State plan and how they will continue to be involved in the implementation of the plan, especially in the expansion of the delivery of adult education services by cooperation and collaboration with those public and private agencies, institutions, and organizations; (7) Describe the capability of existing programs and institutions to meet the needs described in paragraph (a)(1) of this section, including the other Federal and non-Federal resources available to meet those needs; (8) Describe the outreach activities that the State intends to carry out during the period covered by the plan, including specialized efforts—such as flexible course schedules, auxiliary aids and services, convenient locations, adequate transportation, and child care services—to attract and assist meaningful participation in adult education programs; (9)(i) Describe the manner in which the SEA will provide for the needs of adults of limited English proficiency or no English proficiency by providing programs designed to teach English and, as appropriate, to allow these adults to progress effectively through the adult education program or to prepare them to enter the regular program of adult education as quickly as possible. (ii) These programs may, to the extent necessary, provide instruction in the native language of these adults or may provide instruction exclusively in English. (iii) These programs must be carried out in coordination with programs assisted under the Bilingual Education Act and with bilingual vocational education programs under the Carl D. Perkins Vocational and Applied Technology Education Act; (10) Describe how the particular education needs of adult immigrants, the incarcerated, adults with disabilities, the chronically unemployed, homeless adults, the disadvantaged, and minorities in the State will be addressed; (11)(i) Describe the progress the SEA has made in achieving the goals set forth in each State plan subsequent to the initial State plan filed in 1989; and (ii) Describe how the assessment of accomplishments and the findings of program reviews and evaluations required by section 352 of the Act and §461.46 were considered in establishing the State's goals for adult education in the plan being submitted; (12) Describe the criteria the SEA will use in approving applications by eligible recipients and allocating funds made available under the Act to those recipients; (13) Describe the methods proposed for joint planning and coordination of programs carried out under the Act with programs conducted under applicable Federal and State programs, including the Carl D. Perkins Vocational and Applied Technology Education Act, the Job Training Partnership Act, the Rehabilitation Act of 1973, the Individuals with Disabilities Education Act, the Immigration Reform and Control Act of 1986, the Higher Education Act of 1965, and the Domestic Volunteer Service Act, to ensure maximum use of funds and to avoid duplication of services; (14) Describe the steps taken to utilize volunteers, particularly volunteers assigned to the Literacy Corps established under the Domestic Volunteer Service Act and volunteers trained in programs carried out under section 382 of the Act and 34 CFR part 476, but only to the extent that those volunteers supplement and do not supplant salaried employees; (15) Describe the measures to be taken to ensure that adult education programs, services, and activities under the Act will take into account the findings of program reviews and evaluations required by section 352 of the Act and §461.46; See §461.22. What criteria does the Secretary use in approving a State's description of efforts relating to program reviews and evaluation? (16) Report the amount of administrative funds to be spent on program improvements; (17) Contain assurances that financial assistance provided under this part is used to assist and expand existing programs and to develop new programs for— (i) Adults whose lack of basic skills renders them unemployable; (ii) Adults whose lack of basic skills keeps them, whether employed or unemployed, from functioning independently in society; and (iii) Adults whose lack of basic skills severely reduces their ability to have a positive effect on the literacy of their children; (18) Describe the SEA's policies, procedures, and activities for carrying out special experimental demonstration projects and teacher training projects that meet the requirements of §461.33; (19) Describe the SEA's policies, procedures, and activities for carrying out corrections education and education for other institutionalized adults that meet the requirements of §461.32; (20) Describe the SEA's planned use of Federal funds for administrative costs under §461.40(a), including any planned expenditures for a State advisory council under §461.50. Note: An additional source of funding exists under section 356(g) of the Act and 34 CFR part 464, but need not be reported under this paragraph. and (21) Include a summary of recommendations received and the SEA's responses to the recommendations made through the State plan development process required under §461.11(b). (b) Each State plan must provide assurance that public or private non-profit entities eligible under §461.30—local educational agencies, public or private nonprofit agencies, community-based organizations, correctional education agencies, postsecondary educational institutions, institutions that serve educationally disadvantaged adults, and any other institution that has the ability to provide literacy services to adults and families—will be provided direct and equitable access to all Federal funds provided under this part, including— (1) The right to submit applications directly to the SEA for those funds; and (2) Use by the SEA of a process for selecting recipients of those funds that gives each agency, institution, and organization a fair chance of receiving an award. (c) To be eligible to participate in the State-administered Workplace Literacy Program under section 371(b) of the Act, an SEA shall comply with the requirements in 34 CFR 462.10. (d) To be eligible to participate in the State-administered English Literacy Program under section 372(a) of the Act, an SEA shall comply with the requirements in 34 CFR 463.10. (e) In order for a State, or the local recipients within the State, to be eligible to apply for funds under the Adult Migrant Farmworker and Immigrant Education Program under section 381 of the Act and 34 CFR part 475, an SEA shall describe the types of projects appropriate for meeting the educational needs of adult migrant farm workers and immigrants under section 381 of the Act. (Authority: 20 U.S.C. 1203a(a)(1); 1204; 1205(c); 1206a(a)(2), (b)(1)(B), (c), (d); 1208; 1211(b)(3)(A); 1211a(a)(2); and 1213(a)) (a) An SEA shall submit its State plan to the Secretary not later than 90 days prior to the first program year for which the plan is in effect. (b)(1) Not less than sixty days prior to submitting the State plan to the Secretary, the SEA shall give the State advisory council, if one is established under section 332 of the Act and §461.50, an opportunity to review and comment on the plan. (2) The SEA shall respond to all timely and substantive objections of the State advisory council and include with the State plan a copy of those objections and its response. (c)(1) Not less than sixty days prior to submitting the State plan to the Secretary, the SEA shall give the following entities an opportunity to review and comment on the plan: (i) The State board or agency for vocational education. (ii) The State Job Training Coordinating Council under the Job Training Partnership Act. (iii) The State board or agency for postsecondary education. (2) Comments (to the extent those comments are received in a timely fashion) of entities listed in paragraph (c)(1) of this section and the SEA's response must be included with the State plan. (Authority: 20 U.S.C. 1206(b) and 1206a(a)(3) (A) and (B)) (a) General. If an amendment to the State plan is necessary, the SEA shall submit the amendment to the Secretary not later than 90 days prior to the program year of operation to which the amendment applies. (b) Indicators of program quality. Each SEA shall amend its plan by July 25, 1993, to include the indicators of program quality required by section 331 of the Act and §461.3(b)(7). Cross-Reference: See 34 CFR 76.140–76.142 Amendments. (Authority: 20 U.S.C. 1207(a))
Title 34: Education
PART 461—ADULT EDUCATION STATE-ADMINISTERED BASIC GRANT PROGRAM
Subpart B—How Does a State Apply for a Grant?
§ 461.10 What documents must a State submit to receive a grant?
§ 461.11 How is the State plan developed?
§ 461.12 What must the State plan contain?
§ 461.13 What procedures does a State use to submit its State plan?
§ 461.14 When are amendments to a State plan required?
