(Approved by the Office of Management and Budget under control number 18300027)

§ 426.12 What must the State plan contain?

An SEA shall include all of the following in its State plan:

(a) The SEA shall describe the means by which one or more representatives of each of the following agencies and groups were involved in the development of the State plan and how they will continue to be involved in carrying out the plan:

(1) The business community. (2) Industry.

(3) Labor unions.

(4) Public educational agencies and institutions.

(5) Private educational agencies and institutions.

(6) Churches.

(7) Fraternal/sororal organizations. (8) Voluntary organizations. (9) Community organizations.

(10) State employment and training agencies.

(11) Local employment and training agencies.

(12) Adult residents of rural areas. (13) Adult residents of urban areas with high rates of unemployment. (14) Adults with limited English language skills.

(15) Institutionalized adults.

(16) Other entities concerned with adult education, such as basic skills programs, volunteer literacy programs, libraries, and organizations offering education programs for older persons and military personnel and their adult dependents.

(b) The SEA shall describe

(1) Its accomplishments in meeting the goals included in the previous three-year plan; and

(2) How the assessment of accomplishments and the evaluation required by paragraph (o) of this section were considered in establishing the State's goals for adult education in the plan being submitted.

(c) The SEA shall describe, for the three-year period covered by the plan, the adult education needs of all segments of the adult population in the State.

(d) The SEA shall

(1) Demonstrate that the special educational needs of adult immigrants in the State have been examined; and

(2) Provide for the implementation of adult education and adult basic education programs for immigrants to meet existing needs.

(e) The SEA shall identify the other Federal and non-Federal resources available to meet the needs described in paragraph (c) of this section.

(f) The SEA shall describe its planned use of Federal funds for the administration of the program under § 426.21 including any planned expenditures for a State advisory council under § 426.45.

(g) The SEA shall

(1) Identify the goals it intends to achieve in meeting the needs described in paragraph (c) of this section for the period covered by the plan. These goals must be designed to develop a statewide program in which the adult populations in the State that are least educated and most in need of assistance are served in a manner whereby they learn most effectively; and

(2) Describe proposed activities for reaching each goal and give estimated percentages of funds under the State plan to be allocated to each goal.

(h) The SEA shall describe

(1) The outreach activities that the State intends to carry out during the period covered by the plan; and

(2) In conjunction with these outreach activities, for the period covered by the State plan, the efforts it will undertake to assist adult participation in adult education programs through flexible course schedules, covenient locations, adequate transportation, and child care services.

(i) The SEA shall describe the procedures the State will use to ensure that in carrying out the program there will be

(1) Adequate consultation, cooperation, and coordination among the SEA State job training coordinating councils, State occupational information systems, and other agencies, organizations, and institutions in the State which operate employment and training programs or other educational or training programs for adults; and

(2) Coordination of programs carried out under this part with other pro

grams carried out by State and local agencies, including reading improvement programs, designed to provide reading instruction for adults.

(j) The SEA shall describe the local application process and the criteria for evaluating local applications submitted by all eligible applicants for subgrants or contracts.

(k) The SEA shall describe the method of determining the amount of funds to be distributed to applicants approved for funding.

(1) The SEA shall describe the means by which the delivery of adult education services will be significantly expanded by

(1) Efforts to increase the number of participating agencies, institutions, and organizations other than the public school systems, such as business, labor unions, libraries, institutions of higher education, public health authorities, antipoverty programs, and community organizations; and

(2) Efforts to increase the number of participants in adult basic education.

(m) An SEA that is prohibited by State law from awarding Federal funds by grant or contract to public or private agencies, organizations, or institutions, other than local educational agencies, shall describe in its State plan

(1) The legal basis of this prohibition; and

(2) How public or private agencies, organizations, or institutions will be used for expanding the delivery of services.

(n) The SEA shall describe

(1) Its policies, procedures, and activities for carrying out special experimental demonstration projects and teacher training projects in accordance with § 426.33; and

(2) Its criteria and priorities for awarding special projects and teacher training projects.

(Authority: Secs. 306 and 310; 20 U.S.C. 1205, 1208)

(Approved by the Office of Management and Budget under control number 18300026)

§ 426.30 Who is eligible for a subgrant or contract?

(a) Local educational agencies and public or private agencies, organizations, and institutions are eligible to apply for funds.

(b) An SEA shall give public notification of the availability of Federal and State funds to eligible applicants

(1) For the purpose of notifying local educational agencies, an SEA shall provide the notice directly; and

(2) For the purpose of notifying public or private agencies, organizations, and institutions, an SEA shall give sufficient public notice throughout all regions of the State.

(Authority: Sec. 304; 20 U.S.C. 1203)

§ 426.31 How does a State distribute funds?

(a) An SEA shall distribute funds on the basis of applications submitted by eligible applicants.

(b) If funds are awarded to a forprofit agency, organization, or institu

tion, the award must be in the form of a contract.

(Authority: Sec. 304; 20 U.S.C. 1203)

§ 426.32 How does a State approve applications?

(a) An SEA may not approve an application from a for-profit agency, organization, or institution unless the State has first determined that the applicant

(1) Can make a significant contribution to attaining the objectives of the Act; and

(2) Can provide substantially equivalent education at a lesser cost or can provide services and equipment not available in public institutions.

(b) An SEA may not approve an application from a public or private agency, organization, or institution other then a local educational agency unless the applicant

(1) Provides assurance to the State that advice on the development of its application has been sought from the applicable local educational agency, located in the same city, county, township, school district, or other political subdivision of the State to be served by the applicant; and

(2) Provides the applicable local educational agency the opportunity to comment on the application.

(Authority: Sec. 304; 20 U.S.C. 1203)

§ 426.33 What are special experimental demonstration projects and teacher training projects?

In accordance with section 310 of the Act, the SEA shall provide assistance for

(a) Special projects which will be carried out in furtherance of the purposes of the Act, and which

(1) Involve the use of innovative methods, including methods for educating persons of limited Englishspeaking ability, systems, materials, or programs which may have national significance or may be of special value in promoting effective programs under the Act; or

(2) Involve programs of adult education, including education for persons of limited English-speaking ability, which are part of community school programs, carried out in cooperation

with other Federal, federally assisted, State, or local programs which have unusual promise in promoting a comprehensive or coordinated approach to the problems of persons with educational deficiencies; and

(b) Training persons engaged, or preparing to engage, as personnel in programs designed to carry out the purposes of the Act.

(Authority: Sec. 310; 20 U.S.C. 1208)

§§ 426.34-426.39 [Reserved]

Subpart E-What Conditions Must be Met by a State?

§ 426.40 What are the matching requirements of the program?

(a) The Federal share of expenditures made under a State plan may not exceed 90 percent of the cost of carrying out a State's program.

(b) The Federal share for American Samoa, Guam, the Northern Mariana Islands, the Trust Territory of the Pacific Islands, and the Virgin Islands is 100 percent.

(Authority: Sec. 307; 20 U.S.C. 1206)

§ 426.41 What are the maintenance of effort requirements of the program?

(a) To be eligible for Federal funds a State shall expend for adult education from non-Federal sources an amount equal to the fiscal effort of the State in the preceding fiscal year.

(b) A State may determine its fiscal effort on a per student expenditure basis or on a total expenditure basis. (Authority: Sec. 307; 20 U.S.C. 1206)

§ 426.42 How is a maintenance of effort waiver granted?

(a) The Secretary may waive for one fiscal year only the maintenance of effort requirement in section 307(b) of the Act if the Secretary determines it would be equitable to do so in view of exceptional or uncontrollable circumstances affecting a State.

(b)(1) If an SEA wishes to receive a waiver from the maintenance of effort requirement in paragraph (a) of this section, the SEA shall submit a request for a waiver.

(2) An SEA shall include in the request for a waiver the reason for the request and any additional information the Secretary may require. (Authority: Sec. 307; 20 U.S.C. 1206)

§ 426.43 What are exceptional or uncontrollable circumstances?

(a) The Secretary considers exceptional or uncontrollable circumstances under § 426.42 to include situations in which a State had no control of the events resulting in decreased expenditures but has made a reasonable effort in a timely fashion to comply with the maintenance of effort requirement of the Act.

(b) Exceptional or uncontrollable circumstances include, but are not limited to, the following situations:

(1) A sudden, substantial reduction in available revenue due to—

(i) A natural disaster;

(ii) The unforeseen removal of property from the tax roll by government action; or

(iii) The unforeseen departure of an industrial or commercial facility.

(2) An uncontrollable diversion of available revenue to other purposes outside the control of the State due to emergency circumstances such as those resulting from a disaster of human or natural causes.

(Authority: Sec. 307; 20 U.S.C. 1206)

§ 426.44 How is maintenance of effort computed in the event of a waiver?

A State shall determine fiscal effort for the year following the year for which a waiver is granted based on the level of effort that existed prior to the waiver. For example, if in fiscal year (FY) 1986 a State receives a waiver for its failure in FY 1985 to maintain fiscal effort at the level established in FY 1984, the State shall compute its fiscal effort for FY 1986 on the basis of the fiscal effort for FY 1984. (Authority: Sec. 307; 20 U.S.C. 1206)

§ 426.45 What are a State's responsibilities regarding State advisory councils and what are the functions of these councils?

(a) A State may use funds received under section 304 of the Act to support a State advisory council.

AUTHORITY: Sec. 309 of the Adult Education Act, as amended by Pub. L. 98-511; 20 U.S.C.1207a, unless otherwise noted. SOURCE: 50 FR 29358, July 18, 1985, unless otherwise noted.

Subpart A-General

§ 431.1 What is the National Adult Education Discretionary Program?

The National Adult Education Discretionary Program supports projects that contribute to the improvement and expansion of adult education.

Authority: Sec. 309(a)(1); 20 U.S.C. 1207a(a)(1))

431.2 Who is eligible to apply for an award under the National Adult Education Discretionary Program?

The following are eligible to apply for grants, contracts, or cooperative greements under this program:

(a) Public and private institutions, gencies, and organizations.

(b) Individuals.

(c) Business concerns.

the improvement and expansion of adult education. Funds may be used for

(1) Applied research;

(2) Development;
(3) Demonstration;
(4) Dissemination;
(5) Evaluation; and
(6) Related activities.

(b) Projects may include, but are not limited to

(1) Improving adult education opportunities for elderly individuals and adult immigrants;

(2) Evaluating educational technology and computer software suitable for providing instruction to adults; and

(3) Supporting exemplary cooperative adult education programs that combine the resources of businesses, schools, and community organizations. (Authority: Sec. 309(a)(1); 20 1207a(a)(1))

U.S.C.

§ 431.11 How does the Secretary establish priorities for this program?

(a) The Secretary announces, through one or more notices published in the FEDERAL REGISTER, the priorities for this program, if any, from the topics described in § 431.10, and the manner in which those priorities will be implemented.

(b) The Secretary may establish a separate competition for one or more of the priorities selected. If a separate competition is established for one or more priorities, the Secretary may reserve all applications that relate to those priorities for review as part of the separate competition. (Authority: 20 U.S.C. 1201 et seq.) §§ 431.12-431.19 [Reserved]

Subpart C-[Reserved]

§§ 431.20-431.29 [Reserved]

Subpart D-How Does the Secretary Make an Award?

§ 431.30 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 § 431.31.