if necessary to assure that each jurisdiction receives at least such an amount. (Pub. L. 93-380, Section 614(a) (1974))

(b) Subsequent fiscal years. Beginning after fiscal year 1975, funds appropriated under section 611 of the Act for the jurisdictions of Guam, American Samoa, the Virgin Islands, and the Trust Territory of the Pacific Islands will be allocated proportionately among those jurisdictions on the basis of the number of children aged three to twenty-one, inclusive, in each jurisdiction, except that no jurisdiction shall receive less than an amount equal to $150,000, and other allocations will be ratably reduced if necessary to assure that each jurisdiction receives at least that amount.

(Pub. L. 94-142, Section 2(a)(1)−(3) and Section 5(a) (1975)) 41 FR 11311, Mar. 18, 1976]

PART 1-INTRODUCTION

Sec. 1.1 Scope of guidelines.

(a) The guidelines contained in this document are recommendations and suggestions for meeting the legal requirements which apply to Federal assistance under the Education of the Handicapped Act, Part B, sections 611-614. The legal requirements include the Act itself (20 U.S.C. 1411-1414) and the regulations (45 CFR Part 121a). The guidelines are not to be construed as requirements. However, where the guidelines set forth a permissible means of meeting a legal requirement, the guidelines may be relied upon.

(20 U.S.C. 1411; 113 Cong: Rec. 5936, 5939 (daily ed. May 23, 1967); United States v. Jefferson County Board of Education, 372 F. 2d 836, 857 (5th Cir., 1966))

(b) Where a guideline is issued in connection with or affecting a provision in the regulations, the pertinent regulation will be cited after the citation of legal authority for the guideline in the parentheses following the guideline. For example, if the legal authority for the guideline is section 613 of the Act (20 U.S.C. 1413), and the guideline affects § 1218.53 of the regulations (45 CFR 121a.53), the following citation will be placed on the line immediately following the guideline: ((20 U.S.C. 1413); 45 CFR 1218.52). If no particular section of the regulation is affected, no citation to the Code of Federal Regulations (CFR) will be made. (20 U.S.C. 1232 (a))

Sec. 2.1

PART 2-OVERVIEW

Basic goals and objectives.

(a) The planning and implementation of Part B of the Education of the Handicapped Act is intended to be carried out according to priorities based upon identified needs for handicapped children in a State. These programs should also be cognizant of U.S. Office of Education's goals and objectives for the handicapped.

(b) The basic goal of the Federal effort in education for handicapped children is to provide for equality of educational opportunity. This goal is based on two fundamental concepts:

(1) That education for a handicapped child should be a benefit to which the child and his family are entitled; and

(2) That it is cost beneficial to society to help each handicapped child become as independent and productive as possible.

(20 U.S.C. 1411)

Sec. 2.2 Overview.

(a) Programs assisted under Part B of the Education of the Handicapped Act are not general support programs or construction, media, or training programs, although these latter three activities can be included as parts of projects, phases of multiyear projects, or as individual projects and supplement an existing comprehensive educational program.

(b) Part B funds have generally been used to stimulate the development of comprehensive quality programs and services, to demonstrate innovative practices and procedures, and to encourage educational reforms which will enhance the learning potential of handicapped children. These funds are used to support activities which are in addition to, or go beyond, minimal basic types of programs normally provided for through State or other funds.

(c) A wide variety of activities can be supported if such activities are designed to meet the special educational and related needs of the participating handicapped children. ((20 U.S.C. 1411, 1413); 45 CFR 1218.2, 121a.9, 1218.10(a), 1218.24, 1218.25)

PART 3-PROJECT DEVELOPMENT

Sec. 3.1 Project design.

The basic steps involved in designing a Part B project are essentially the same as those involved in developing any other type of project proposal. They include:

(a) Identifying the needs. Identification has two major concerns: (1) the location and diagnosis of children who meet the definition of "handicapped," as defined in the Act, and who, by reason of such handicapping conditions are in need of special educational services, (2) and the recognition of special learning or behavioral needs of children who have been identified as "handicapped."

(b) Stating the objectives. (1) An objective is an intent communicated by a statement describing a proposed change in a learner designed to meet his needs. It is a statement of what the learner is to achieve or is to be like when he has successfully completed a learning experience. Clearly stating an objective in terms of academic or performance achievement makes it possible to evaluate an activity and provides a sound basis for selecting appropriate materials, content or instructional methods. Carefully defined objectives provide measurements by which a participating student can evaluate his own efforts and organize them into more relevant activities. The writing of objectives

may be facilitated by identifying the academic or performance achievement by name, specifying the kind of achievement that will be accepted as evidence that the learner has achieved the objective, (2) describing the important conditions under which the achievement will be expected to occur, and (3) specifying how well the learner must perform to be considered acceptable.

(c) Developing a plan (project) to achieve the objectives. A plan to achieve objectives of a project includes a series of specific, clearly described activities. These activities should contribute to the desired change in children that can be appropriately measured and assessed.

(d) Implementing the plan (project). Once a project has been approved by the State educational agency, the critical step of implementation should be taken. Such implementation includes the careful employment of project staff, judicious purchase of equipment and supplies, and the systematic establishment and continuation of the educational environment designed to directly serve the handicapped child.

((20 U.S.C. 1413(a)(1)); 45 CFR 121a.24, 121a.25)

(e) Evaluating the effectiveness of the results. Evaluation is inherent in all acceptable project designs. It is both ongoing and summary in scope. Ongoing project evaluation begins simultaneously with project implementaton. A careful summary evaluation is meant to reveal not only whether the activity objectives and consequently the identified needs of handicapped children have been met through a project, but also to indicate the desirability of instituting subsequent projects, paralleling or modifying the one which has been completed.

(1) Evaluation. The steps in evaluating educational outcomes of projects can be enumerated as follows:

(1) Definition of educational objectives (preferably in terms of specific units of output) to be achieved through the experience being evaluated. These objectives should reflect the most pressing needs of handicapped children;

(il) Translation of the educational objectives into academic or performance achievement which will be displayed if the objectives are achieved; (111) Identification of situations in which the presence or absence of the achievement can be observed and recorded;

(iv) Establishment of some type of interpretative device (standard or norm) which can be used in measuring desired growth;

(v) Application of the evaluation methods derived from (iii) and (iv) above to all those participating in the program;

90-004-7625

(2) The objectives of proposed projects should be related to specific characteristics possessed by pupils prior to the initiation of the project. The evaluation procedures, therefore, should involve measuring changes in pupil achievement over a period of time. This means, in most instances, that evaluation procedures will involve obtaining appropriate measurements at the start of a project, during the project period, and at the conclusion of the project. The difference between these successive measurements, if properly selected, then become an indication of change and effectiveness of the use of project funds. Consequently, it is important that project directors gather baseline data on students when projects are initiated.

((20 U.S.C. 1413(a) (1), (a)(5)); 45 CFR 121a.24, 1218.25, 1218.26)

Sec. 3.2 Types of projects.

There are two basic categories of projects which may be conducted under Part B: Comprehensive self-contained projects and supplementary projects.

(a) Comprehensive self-contained projects. Comprehensive self-contained projects are those which provide within themselves the full range of services required by the participating children including project staff paid from project funds. (An example of this category would be a demonstration project to improve the communication skills of a selected group of preschool deaf children.) The project, to be complete within itself, should include all of the following:

(1) Diagnostic services (provided in concert with the health department or other appropriate agency);

(2) Employment of project staff;

(3) Inservice training of project staff;

(4) Remodeling and equipping a special room (including installation of a one-way mirror and various amplification and visual equipment);

(5) Weekly orientation and counseling sessions for parents (provided by project staff and possibly outside consultants);

(6) Individual and small group instruction with the children;

(7) Special transportation and attendant services, where necessary;

(8) Periodic followup meetings in each home to reinforce the teaching techniques which the parents have observed; and

or local funds being used to pay staff salaries).

((20 U.S.C. 1413); 45 CFR 1218.24, 1218.25) Sec. 3.3 Multiyear projects.

(a) Description. (1) Projects may be designed to be supported by funds from more than one fiscal year period and approved in principle for the full period requested. Funding of the second and any subsequent years or phases of such projects is contingent upon satisfactory completion of the first year or phase as evaluated by the State educational agency, and upon the availability of Federal funds. (2) A multiyear project is one planned to utilize project funds from more than one fiscal year.

((20 U.S.C. 1413); 45 CFR 1218.5, 121a.22)

(b) Components. Multiyear projects are usually designed so that particular components are identified with each of the fiscal years from which the project is to be funded. For example, the inservice training of staff members or the purchase of equipment might be provided by funds from one fiscal year, while direct services are provided through funds from another fiscal year. Another example of a multiyear project in a school is one in which the first of two years is devoted to diagnosis and identification of mentally retarded children who could profit educationally from a behavior modification technique heretofore not utilized in the school. During the following summer, school staff might receive inservice training in this technique, and during the second year use the technique in direct service to those children identified in the first phase of the project.

(c) Evaluation. Each year of a multiyear project should be evaluated in terms of how its child-centered objectives have been met, or how the accomplishments of a particular phase or year of the project are anticipated to contribute to such objectives. A final, summary evaluation, following the completion of the entire project, should assess the overall impact of all the project activities on the behavior or performance of handicapped children for whom the project was designed.

(d) Application. The basic, overall plan of a multiyear project should be incorporated into the original application. It should specify when each project component is to occur and how each of these elements is intended to contribute to the fulfillment of project objectives. Statistical and fiscal information relevant to the first year activities should be given in detail. Approval of the multiyear project by the State educational agency con⚫ stitutes the agency's commitment of funds for the first year of the project but only signifies the agency's intention to fund subsequent years of the project pending satisfactory completion or implementation of the initial project phase and the availability of the requested Federal monies. Each applica

(9) Evaluation of project outcomes. (b) Supplementary projects. Supplementary projects are those which do not provide direct educational services within themselves, but which supplement existing special educational programs in which such direct services are provided. An example of a supplementary project would be one designed to increase braille reading speed and comprehension of visually handicapped children, which provided, from project funds, for the purchase of equipment (1.e. programmed learning equipment and braille writers), and inservice instruction for staff members (State

project designed for the most severely handicapped living in one of ten cottages within a large school or hospital may have greater impact than a generalized effort to improve the quality of instruction throughout the entire school on a piecemeal basis. Thus, minimal, widely dispersed, and fragmentary projects should be discouraged in preference to more concentrated, effective projects.

(b) If a service required to obtain a stated objective of a project is not being provided, the project would not be approved unless it is expanded to include provision of the service, or unless the project application contains a plan which assures that the required service will be provided within a reasonable period of time.

(20 U.S.C. 1413; 45 CFR 1218.9)

Applicants should demonstrate that in planning and conducting activities they have considered the benefits available for handicapped children from other Federal, State, and local sources. Programs or services may be carried out jointly between several agencies, or may be supported through a variety of Federal programs such as other Parts of EHA; the Vocational Education Act; Title III ESEA; etc. While there can be no commingling of funds, the various Federal resources can be used to finance identifiable portions of such combined efforts.

(20 U.S.C. 1413; 45 CFR 121a.28)

(a) Importance. (1) Essential to every project is the process of appraising what is happening or has happened as a result of the expenditures of effort and money. Evaluation is important to those who conduct the project as a part of their ongoing efforts to achieve their goals and to keep educators and members of the community apprised of educational developments.

(2) In designing a project, an applicant should carefully consider how each component of the project will contribute to the overriding project objective of meeting educational needs of handicapped children. All assessments should be considered and allowed to contribute to the continued direction of project activities.

(3) Evaluation is an ongoing process, done periodically and consistently if a cause-effect relationship is to be identified between what the teacher does and how the student responds. Evaluation reinforces good teaching by identifying what teaching procedures and materials yield the greatest benefits. The greatest beneficiaries of effective evaluation are therefore the teachers and students

concerned.

achieved. State educational agencies are encouraged to require potential applicants to submit abstracts or prospectuses in advance for proposed programs and projects, and to employ specialists in evaluation from institutions of higher education, in regional educational laboratories, and in other appropriate agencies to serve as consultants on the program and projects. These specialists can provide assistance in the design and writing of the application, and they may be utilized throughout the term of the program or project to assure that proper records are made of changes as they occur.

(2) Provision of expert guidance during the planning stage will do much to assure that approved programs and projects comply with the spirit and intent of the Act, especially in terms of the objectives and evaluation of the impact of expenditures on the children served. The cost of providing such assistance may be paid with the State's Part B administration funds or with amounts specified in each approved program or project.

(c) Methods. (1) Project funds should not be used extensively for the development of new test instruments where none are currently available. The nature of the evaluation of a project will depend upon the project design and stated objectives.

(2) Where appropriate, reference should be made to evaluations of similar activities carried on with the same children during preceding years, the changes that have been made as a result of such evaluations, and the types of improved performance expected by the end of the new project year.

(d) Projects providing direct instructional services. Projects which provide direct instructional services should include in their evaluation an assessment of the impact of these services on the educational achieve. ment of participating handicapped children, as well as the extent and manner in which other major project objectives have been met. For example, a project designed to introduce modern mathematics skills and understanding to deaf children, for which purpose project funds were used to provide direct instructional services (such as the employment of specially trained teachers of the deaf who have been schooled in teaching modern mathematics, or the implementation of individualized programmed instruction in this subject), should be evaluated in terms of the improvement in modern mathematics skills and understanding achieved by the deaf children in the project.

(e) Multiyear projects. Phases of multiyear projects which in themselves provide only related services, but which are followed in a subsequent fiscal year by another phase of the project which does provide direct instructional services, should be given a brief evaluation in terms of how the major objectives of the services have been met, and indicate how these related services are anticipated to contribute to the effectiveness of the direct instructional services which are

(b) Assistance. (1) Project applicants may be assisted whenever necessary in stating their objectives as precisely as possible and in selecting specific methods and instruments to be used at the end of the project to determine whether each objective has been