Title 34: Education
PART 403—STATE VOCATIONAL AND APPLIED TECHNOLOGY EDUCATION PROGRAM
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Subpart G—What Financial Conditions Must Be Met by a State?
§ 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 §403.81, and the Sex Equity Program under §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 §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 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 §403.111;
(2) Ten and one-half percent for the Program for Single Parents, Displaced Homemakers, and Single Pregnant Women described in §403.81 and the Sex Equity Program described in §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 §§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 §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 §403.12(b)(1); and
(5) One percent for Programs for Criminal Offenders described in §403.101.
(c) The procedure for meeting the “hold-harmless” requirements in §403.180(a) and the $250,000 minimum for State administration provision in §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 §403.81, the Sex Equity Program in §403.91, or the Program for Criminal Offenders in §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, B, and C of the Act in the absence of a shortfall in the set-aside amount for administration, as follows:
3.0% $120,000 for Sex x$4,000,000 = Equity Programs. 7.5% 300,000 for x$4,000,000 = Programs for Single Parents, Displaced Homemakers, and Single Pregnant Women. 8.5% 340,000 for State x$4,000,000 = Programs and State Leadership Activities. 1.0% 40,000 for x$4,000,000 = 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:
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($120,000/ $118,421 for Sex $3,800,000) Equity x$3,750,000 = Programs.($300,000/ 296,053 for $3,800,000) Programs x$3,750,000 = for Single Parents, Displaced Homemakers, and Single Pregnant Women.($340,000/ 335,526 for State $3,800,000) Programs x$3,750,000 = and State Leadership Activities.($40,000/ 39,474 for $3,800,000) Programs x$3,750,000 = for Criminal Offenders.($3,000,000/ 2,960,526 for part C $3,800,000) of title x$3,750,000 = II. ----------------------- 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 §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:
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5.0% $1,000,000 for x$20,000,000 = administrat ion. 3.5% 700,000 for Sex x$20,000,000 = Equity Programs. 8.5% 1,700,000 for State x$20,000,000 = Programs and State Leadership Activities. 1.0% 200,000 for x$20,000,000 = Programs for Criminal Offenders. 75.0% 15,000,000 for part C x$20,000,000 = 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:
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($1,000,000/ $990,269 for $18,600,000) administrat x$18,419,000 = ion.($700,000/ 693,188 for Sex $18,600,000) Equity x$18,419,000 = Programs.($1,700,000/ 1,683,457 for State $18,600,000) Programs x$18,419,000 = and State Leadership Activities.($200,000/ 198,054 for $18,600,000) Programs x$18,419,000 = for Criminal Offenders.($15,000,000/ 14,854,032 for part C $18,600,000) of title x$18,419,000 = II. ----------------------- 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 1992. The other programs under title II, part B meet the “hold-harmless” requirement of §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:
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5.0% $1,000,000 for x20,000,000 = administrat ion. 3.5% 700,000 for Sex x20,000,000 = Equity Programs. 7.0% 1,400,000 for x20,000,000 = Programs for Single Parents, Displaced Homemakers, and Single Pregnant Women. 8.5% 1,700,000 for State x20,000,000 = Programs and State Leadership Activities. 75.0% 15,000,000 for part C x20,000,000 = 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:
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($1,000,000/ $997,475 for $19,800,000) administrati x$19,750,000 = on.($700,000/ $698,232 for Sex $19,800,000) Equity x$19,750,000 = Programs.($1,400,000/ $1,396,465 for Programs $19,800,000) for Single x$19,750,000 = Parents, Displaced Homemakers, and Single Pregnant Women.($1,700,000/ $1,695,707 for State $19,800,000) Programs and x$19,750,000 = State Leadership Activities.($15,000,000/ $14,962,121 for part C $19,800,000) of title II. x$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) § 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 §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 §403.13. The $60,000 must be matched, but the matching funds need not be used for the activities described in §403.13.
(Authority: 20 U.S.C. 2312(b) and 2468d; H.R. Rep. No. 660, 101st Cong., 2nd Sess. 103–104 (1990)) § 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)) § 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 §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)) § 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 §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)) § 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)) § 403.186 What are the administrative cost requirements applicable to a State?
(a) Basic Programs. A State may use only funds reserved under §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 §403.180(b)(4) to administer any of the special programs listed in §403.130.
(2) In addition to the funds reserved under §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 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 §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 §§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)) § 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 §403.60 and the special programs listed in §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 §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)) § 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 §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 §§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)
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