(20 U.S.C. 246; Sen. Rpt. No. 93-763 at p. 103 (1974))

§ 156.11 Adequate educational programs.

In the development of the financial assistance plan, the State shall determine that level of educational programs, supportive services and facilities in such State which is adequate to assure equal educational opportunity for all pupils enrolled in the local educational agencies of the State.

(20 U.S.C. 246)

§ 156.12 Cost variations.

In determining the relative financial need of local educational agencies, the financial assistance plan,

(a) shall be designed to identify those pupils with varying and greater educational needs and take these needs into account in amounts provided and expended for appropriate educational programs, supportive services, and facilities; and

(b) shall take into account any variations among such local agencies in the costs of providing equivalent educational programs, supportive services, and facilities which might be associated with such factors as sparsity or density of population, cost of resources and socio-economic characteristics of the population of the local educational agencies.

(20 U.S.C. 246)

§ 156.13 Comprehensiveness of program. The financial assistance plan shall be designed to include all necessary and required program, supportive service, and facility costs such as but not limited to: (1) costs for the regular educational programs, special education programs, vocational education programs, educationally disadvantaged pupil programs, and bilingual education programs; (2) costs of guidance and counseling, and transportation; and (3) costs for capital outlay and debt service.

(20 U.S.C. 246)

§ 156.14 Equalizing financial ability.

The financial assistance plan shall be designed to ensure that the resources expended for the educational programs, supportive services, and fa

cilities provided to a pupil within that State reflects the wealth of the State as a whole and not the wealth of the local educational agency in which the pupil attends school. If the financial assistance plan is designed to share the educational costs between the State and its local educational agencies,

(a) the plan shall justify and set forth an equitable measure of the relative financial abilities of local educational agencies; and

(b) the plan shall provide assurances that the State and local educational agencies will apply procedures which will ensure uniformity in the measurement of wealth against which taxes for education are levied.

157.14 Travel. 157.15

Coordination of administration with other programs authorized by Title IVA-4 of the Act.

AUTHORITY: Sec. 417A-417B, Title IV of the Higher Education Act of 1965 as amended by sec. 131(b) of Title I, Pub. L. 92-318, 86 Stat. 258-259 and 88 Stat. 603-604 Sec. 124(b), Title I, Pub. L. 94-482. (20 U.S.C. 1070d-1070d-1), unless otherwise noted.

SOURCE: 42 FR 26541, May 24, 1977, unless otherwise noted.

§ 157.1 Scope and purpose—general provisions regulations.

(a) The regulations in this part govern the administration of the Special Services for Disadvantaged Students (Special Services) Program. Services under this program are designed to assist in enabling youths from lowincome families who have academic potential, but who may lack adequate secondary school preparation, who may be physically handicapped, or who may be disadvantaged because of severe rural isolation, to enter, continue, or resume programs of postsecondary education. Projects under this program shall provide remedial and other special services for students with academic potential who (1) are enrolled or accepted for enrollment at an institution of higher education which is a beneficiary of a grant or contract made under this part and (2) by reason of deprived educational, cultural, or economic background, or physical handicap, or limited English speaking ability, are in need of such services to assist them to initiate, continue, or resume their postsecondary

education. The goal of the program and projects funded under this part shall be to increase the retention and graduation rates of such students.

(b) Assistance provided under this part is subject to applicable provisions contained in subchapter A of this chapter relating to fiscal, administrative, and other matters (General Provisions for Office of Education Programs-45 CFR 100a).

(20 U.S.C. 1070d-1070d-1)

§ 157.2 Definitions.

For the purpose of this part: (a) "Academic potential" means having abilities to complete a postsecondary educational program, with supportive services, at the institution which is the beneficiary of the grant, as documented by the written recommendations of counselors, teachers, or personal interviews, or standardized measurement instruments.

(20 U.S.C. 1070d-1)

(b) "Act" means the Higher Education Act of 1965, as amended. (20 U.S.C. 1001 et seq.)

(c) "Bilingual educational teaching, guidance, and counseling" means teaching, guidance, and counseling in two languages, one of which is English.

(20 U.S.C. 1070d-1)

(d) "Combination of institutions of higher education" means a group of institutions of higher education that have entered into a cooperative arrangement for the purpose of carrying out a common objective or a public or private nonprofit agency, organization, or institution designated or created by a group of institutions of higher education for the purpose of carrying out a common objective on their behalf.

(20 U.S.C. 1141(j))

(e) "Deprived cultural background,” with regard to a student, means an environment that has not provided those educational and other necessary skills, exposures, and experiences that equip a student to succeed in postsecondary education.

90-215 78 - 4

(f) "Deprived economic background," with regard to a student, means an environment in which the family income, at most, only provided for basic necessities, such as food, housing, and clothing, or where such necessities were provided wholly or in part by public assistance.

(g) "Deprived educational background," with regard to a student, means an educational environment that did not provided those skills, knowledge, and understandings that would enable a student to complete a course of study at the host institution without supportive services.

(20 U.S.C. 1070d-1)

(h) "Institution of higher education" means an educational institution as defined in section 1201(a) of the Higher Education Act of 1965, as amended.

(20 U.S.C. 1141(a); 1088(b)(1))

(i) "Limited English-speaking ability," when used with reference to an individual, means (i) individuals who were not born in the United States or whose native language is a language other than English, or (ii) individuals who came from environments where a language other than English is dominant and, for reasons indicated in (i) or (ii) of this paragraph, have difficulty speaking and understanding instruction in the English language.

(20 U.S.C. 880b-1(a)(1))

(j) "Other special services" means special classes, tutoring, counseling and guidance, cultural enrichment, and referrals to health, employment, housing, and legal agencies and resources to resolve noneducational problems related to academic success.

(k) "Physically handicapped students" means those students who, because of their physical disabilities, need specifically designed instructional materials or programs, modified physical facilities, or related services to participate fully in the experience and opportunities offered by postsecondary institutions. Physical disabilities include but are not limited to: (1) Legal blindness,

(2) Deafness,

(3) Cerebral palsy,

(4) Epilepsy,

(m) "State" means, in addition to the several States of the Union, the Commonwealth of Puerto Rico, the District of Columbia, Guam, American Samoa, the Virgin Islands, and the Trust Territory of the Pacific Islands. (20 U.S.C. 1141(b); 1088(a))

(n) "Youth" means a person aged 14 through 27.

(20 U.S.C. 1141(b); 1088(a))

(20 U.S.C. 1070d-1070d-1, unless otherwise noted)

§ 157.3 Eligible project participants.

A student is eligible to participate in a program or project authorized under this part if such student:

(a) Is enrolled or accepted for enrollment at an institution which is the beneficiary of a grant or contract made under this part;

(b) Is a citizen or national of the U.S., or is in the U.S. for other than a temporary purpose and is or intends to become a permanent resident thereof, or is a permanent resident of the Trust Territory of the Pacific Islands; and

(c)(i) Is an individual with academic potential who demonstrates a need for the remedial and special services authorized under this part as a result of a deprived educational, cultural or economic background, or a physical handicap, or (ii) is an individual with academic potential with a limited English-speaking ability who is in need of bilingual education, teaching, guidance, and counseling in order to successfully pursue postsecondary education.

(20 U.S.C. 1070d-1)

§ 157.4 Eligible applicants.

(a) The Commissioner is authorized to make grants to and contracts with institutions of higher education and combinations of such institutions.

(b) A combination of institutions receiving a grant or contract under this part shall vest responsibility for administering the project in one of the participating institutions or in an agency established or designated by the institutions for carrying out the project on their behalf. A combination of institutions or an applicant institution that wishes to designate an agency to carry out the project on its behalf must designate or establish that agency prior to the submission of its application. The combination of institutions must also vest responsibility for administering the project in one of the participating institutions or in the agency prior to such submission.

(c) An agency which has been established or designated by a combination of institutions must have a written agreement setting forth the duties and responsibilities of each participating institution prior to the submission of its application, and include a copy of such agreement in the application for funds.

(20 U.S.C. 1070d-1)

§ 157.5 Applications.

con

(a) Applicants for grants or tracts under this part shall file an application with the Commissioner before the closing date for such applications established annually by the Commissioner. Such applications shall contain the following information and such other information as the Commissioner may from time to time prescribe:

(1) Need. (i) The number and percentage of students from low-income families, physically handicapped students, students who are disadvantaged because of severe rural isolation, and students of limited English-speaking ability enrolled or accepted for enrollment at the institution who are or will be eligible for program services and a description of the ethnic/racial background of the students to be served by the project; and

(ii) A description of the academic and other problems these students encounter at the time of entry into the institution and continue to encounter while pursuing their education at the institution; and

(2) Design. (i) A description of the methods by which project participants will be selected and their needs assessed;

(ii) A description of the manner in which the comprehensive services will be provided to meet the students' needs;

(iii) A description of the applicant's plan for evaluating the effectiveness of the project; and

(3) Resources and organization. (i) A description of the project's staffing pattern, the required professional qualifications and experience, duties and salary range for each professional category, and the plan for staff selection and in-service training;

(ii) The amount and type of student financial aid available at the applicant institution that will be awarded to participants;

(iii) A description of the institution's administrative and academic policies, such as grading systems, retention policies, and probation procedures that bear on the project participant's progress toward graduation;

(iv) An organizational chart describing where the project will be placed in the institution's structure to assure that project director will be consulted on those administrative and academic policies that affect the participant's chances of completing an educational program at the institution;

(v) A description of the manner in which the applicant will orient the faculty and staff of the institution to the goals and objectives of the Special Services Program and a description of the institutional resources available to the project and the manner in which those resources will be used;

(vi) If the applicant has carried out a Special Services project or a project comparable to a Special Services project, a description of that project, including the number of students served, the methods used to select students, the services offered, the number of such students who graduated from the

institution, and any evaluation reports made on that project; and

(vii) Evidence that an applicant has the resources, organization and personnel to successfully carry out a Special Services project; and

(4) Budget. The proposed budget.

(b) Where the applicant is a combination of institutions of higher education, the applicant shall describe the role and function that each member of the combination will play in the operation of the project and shall include written commitments from each institution that it will perform the activities ascribed to it.

(c) Applications for projects with bilingual educational components shall provide the information necessary to determine whether the proposed project satisfies the requirements of § 157.8.

(d) Applications for national demonstration projects shall provide the information needed to determine whether the proposed project satisfies the requirements of § 157.10.

(20 U.S.C. 1070d-1)

§ 157.6 Funding criteria.

(a) Continuation awards. Priority will be given to a request for funds for the continuation of a project that (1) was begun in a prior fiscal year and (2) was approved for a multi-year work period that has not expired (continuation award).

(b) Conditions for approval. Requests for continuation awards will be approved only if (1) the need continues to exist for the services provided by the project;

(2) Satisfactory progress has been made in implementing the approved work plan and in achieving the project's goals and objectives, as indicated by site visits, progress reports, and other relevant data;

(3) The project continues to offer promise of success in enabling students to complete their postsecondary education;

(4) All required reports have been received and accepted by the Commissioner; and

(5) Funds are available to continue the project.

(c) New awards. Except as provided in paragraphs (a) and (b) of this sec

tion, the Commissioner will select applicants to be funded under this part on the basis of the criteria set forth in 45 CFR 100a.26(b), as well as the following additional criteria:

(1) Need. (i) The extent to which the institution has made available educational opportunities to students of deprived educational, cultural, or economic backgrounds, and to students of limited English-speaking ability, or with physical handicaps, or who are disadvantaged because of severe rural isolation; and

(2) Design. (i) The comprehensiveness of the applicant's plan for selecting students to be served by the project, conducting an assessment of supportive services needed by the students, and providing the services;

(ii) The quality of the applicant's plan to evaluate the project in terms of the effects of project services on the progress made by students participating in the project and the extent to which project participants graduate from the institution; and

(3) Resources and organization. (i) The quality of the applicant's plan to staff the project with personnel with appropriate qualifications and experiences to carry out proposed activities, and the plan for providing in-service training;

(ii) The degree to which student financial assistance at the applicant institution will be used to meet the needs of the students who will be participating in the project;

(iii) The degree to which administrative and academic policies have as their purpose the maximization of a student's chances for graduating from the host institution;

(iv) The extent to which the project director will be consulted on those administrative and academic policies that affect the participant's chances of completing an educational program at the institution;

(v) The extent to which the applicant proposes to orient the faculty and staff of the institution to the goals and objectives of the Special Services Program and to utilize institutional resources available to the project; and

(vi) The extent to which the applicant has the resources, organization,