(7) Any delegation of functions under § 401.12(d). (Authority: Sec. 111(a)(2); 20 U.S.C. 2321(a)(2)) (8) If the Secretary requires, the manner in which the State board will comply with the requirements of Titles I, II, III, and V of the Act (including the maintenance of fiscal effort requirement in § 401.22). (Authority: Sec. 113(b)(1); 20 U.S.C. 2323(b)(1)) (9) The uniform methods the State board will use to identify economically disadvantaged families and individ uals. (Authority: Sec. 521(20); 20 U.S.C. 2471(20)) (10) The appropriate criteria for determining which eligible recipients are exempt from the local application requirements under § 401.41. (Authority: Sec. 115(c)(2); 20 U.S.C. 2325(c)(2)) (11) The methods and procedures the State will use for coordinating vocational education programs, services, and activities under the Adult Training, Retraining, and Employment Development Program authorized by Title III, Part C of the Act with programs of assistance for dislocated workers funded under Title III of the JTPA. (Authority: Sec. 323(a); 20 U.S.C. 2373(a)) (12) The criteria the State uses to designate an economically depressed area or an area with high unemployment. (Authority: Sec. 521(13); 20 U.S.C. 2471(13)) (13) A summary of the recommendations made at the public hearings on the State plan and the State board's response. (Approved by the Office of Management and Budget under control number 18300029) (Authority: Sec. 113(a)(2)(B); 20 U.S.C. 2323(a)(2)(B)) [50 FR 33235, Aug. 16, 1985; 50 FR 38802, Sept. 25, 1985, as amended at 51 FR 25493, July 14, 1986; 53 FR 35258, Sept, 12, 1988] § 40 0 What procedures does a State use to submit its State plan? (a)(1) The State board shall submit its State plan for review and comment to the State legislature and the State job training coordinating council under section 122 of the JTPA not less than sixty days before the State plan is submitted to the Secretary. (2) If the matters raised by the comments of the State legislature and the State job training coordinating council are not addressed in the State plan, the State board shall submit those comments to the Secretary with the State plan. (3) If the State legislature is not in session during the sixty-day period described in paragraph (a)(1) of this section, the State board shall submit the plan to the State legislature for review and comment at its next session, and forward any comments to the Secretary. (b)(1) The State board shall submit its State plan for review and comment to the State council on vocational education not less than sixty days before the State plan is submitted to the Secretary. (2) If the State council on vocational education finds that the final State plan is objectionable for any reason, including that it does not meet the labor market needs of the State, the State council shall file its objections with the State board. (3) The State board shall respond to any objections of the State council in submitting the State plan to the Secretary. (c)(1) The State board shall submit its State plan to the Secretary by the May 1 preceding the first program year for which the plan will be in effect. (2) The State plan shall be considered to be the general application required by section 435 of the General Education Provisions Act. (Approved by the Office of Management and Budget under control number 18300029) (Authority: Sec. 114; 20 U.S.C. 2324) § 401.21 When are amendments to State plans required? The State board, in consultation with the State council, shall submit one or more amendments to the State plan to the Secretary when required by 34 CFR 76.140 or when changes in program conditions, labor market conditions, funding, or other factors require substantial amendment of an approved State plan. All amendments must be subject to review by the State job training coordinating council and the State council on vocational education. (Approved by the Office of Management and Budget under control number 18300029) (Authority: Sec. 113(c)(1); 20 U.S.C. 2323(c)(1)) 8 401.22 What is the maintenance of fiscal effort requirement under the State Vocational Education Program? (a) 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). (b)(1) If the Secretary makes a determination that a waiver would be equitable due to exceptional or uncontrollable circumstances affecting the ability of the State to meet the requirements of paragraph (a) of this section, the Secretary may waive those requirements for one year only. Examples of exceptional or uncontrollable circumstances affecting the financial ability of the State are a natural disaster or an unforeseen and precipitous decline in financial resources. (2) No level of expenditures permitted under a waiver may be used as a basis for computing the fiscal effort required under paragraph (a) of this section for subsequent years. Instead, for subsequent years, fiscal effort must be computed on the basis of the level of expenditures that would have been required had a waiver not been granted. (Authority: Sec. 503; 20 U.S.C. 2463) [50 FR 33235, Aug. 16, 1985, as amended at 51 FR 25493, July 14, 1986] Subpart C-How Does the Secretary Make a Grant to a State? § 401.30 How does the Secretary make allotments under the State Vocational Education Program? (a)(1) From funds appropriated under section 3(a) of the Act for the basic State grant and section 3(b) of the Act for the programs that compose the Special Programs, the Secretary allots funds each fiscal year according to the provisions of section 101 of the Act. (2) Upon approval of its State plan and any annual amendments, the Secretary makes one or more grant awards from those allotments to the State. (b)(1) From funds appropriated under section 3(c) of the Act, the Secretary allots funds each fiscal year for State councils on vocational education according to the provisions of section 112(f)(1) of the Act. (2) Upon approval of the State plan and submission of an annual budget covering the proposed expenditures of the State council on vocational education for the following program year, the Secretary makes an award to the State council. (Authority: Sec. 501(b); 20 U.S.C. 2461(b)) [50 FR 33235, Aug. 16, 1985, as amended at 51 FR 25493, July 14, 1986] § 401.31 How does the Secretary make reallotments under the State Vocational Education Program? (a)(1) If the Secretary determines that any amount of a State's allotment under § 401.30(a) will not be required for any fiscal year for carrying out the program for which the allotment was made, the Secretary reallots those funds to one or more States that demonstrate a current need for additional funds and the ability to utilize them promptly and effectively upon reallotment. (2) The Secretary announces in the FEDERAL REGISTER the dates on which funds will be reallotted. (b)(1) No funds reallotted under paragraph (a) of this section may be used for any purpose other than the purposes for which they were appropriated. (2) Any amount reallotted to a State under paragraph (a) of this section remains available for obligation during the succeeding fiscal year and is deemed to be part of the State's allotment for the fiscal year in which the reallotted funds are obligated. (Authority: Sec. 101(b); 20 U.S.C. 2311(b)) § 401.32 When does the Secretary approve State plans and amendments? a (a)(1) The Secretary approves State plan, or an amendment to a State plan, unless the amendments propose changes that are inconsistent with the requirements and purposes of the Act, within sixty days of its receipt if it complies with the requirements of the Act and applicable regulations. (2) Before the Secretary finally disapproves a State plan, or an amendment to a State plan, the Secretary gives reasonable notice and an opportunity for a hearing to the State board. (b) In reviewing a State plan, or an amendment to a State plan, the Secretary considers available comments from the State legislature, the State job training coordinating council, and the State council on vocational education. (Authority: Sec. 114; 20 U.S.C. 2324) Subpart D-How Does a State Make an Award to an Eligible Recipient? § 401.40 How does a State carry out the State Vocational Education Program? (a) Unless otherwise indicated in the regulations in this part, a State board shall carry out projects, services, and activities under the State Vocational Education Program (1) Directly; (2) Through a school operated by the State board; (3) Through awards to State agencies or institutions such as vocational schools or correctional institutions; or (4) Through awards to eligible recipients. (b) For the purpose of paragraph (a) of this section, a State board acts directly when it (1) Carries out projects, services, or activities using its own staff (except at a school operated by the State board); or (2) Contracts for State-wide projects, services, or activities such as research, curriculum development, and teacher training. (c) The regulations in this part also authorize a State to carry out certain projects, services, and activities under the State Vocational Education Program by making an award to an entity other than an eligible recipient, such as a community-based organization, or an employer. (d)(1) For the purpose of requirements dealing with local applications (§ 401.41) and the distribution of funds to eligible recipients (§§ 401.19(a) (4) and (5) and 401.19(b)(4)), projects, services, and activities carried out by a school operated by the State board under paragraph (a)(2) of this section, carried out by a State agency or institution under paragraph (a)(3) of this section, or carried out by an entity other than an eligible recipient under paragraph (c) of this section, are considered to be carried out by an eligible recipient. (2) For the purpose of § 401.19(a)(4), regarding the requirement that a State distribute at least eighty percent of its total basic State grant allotment to eligible recipients, a State shall consider all funds awarded to an eligible recipient as part of this local portion (at least eighty percent) of the State's allotment. (Authority: Secs. 113(b) (4), (5), 115, 201(f)(3), 201(h)(2), 203(a), 252(b); 20 U.S.C. 2323(b) (4), (5), 2325, 2331(f)(3), 2331(h)(2), 2333(a), 2342(b); House Report No. 98-1129, 98th Cong. 2d Sess. p. 96 (1984)) § 401.41 What are the local application requirements under the State Vocational Education Program? (a) Except as provided in paragraph (d) of this section, and unless otherwise provided by the regulations in this part, each eligible recipient that desires to receive funds under the State vocational education program shall submit to the State board an application for the use of those funds that (1) Satisfies the requirements established by the State board; and (2) Is for any period of time covered by the State plan. (b) The State board shall establish requirements for local applications, and amendments to local applications, except that each local application must (1) Describe the vocational education programs, services, and activities to be funded; and (2) Describe how the proposed programs, services, and activities will be coordinated with relevant programs under the JTPA and the Adult Education Act, in order to avoid duplication. (c) The eligible recipient shall make the local application available for review and comment by interested parties, including the appropriate administrative entity under the JTPA. (d) The State board may exempt an eligible recipient which provides relatively few vocational education programs, services, and activities with a limited total of Federal and State funds, from the requirements of this section. (Approved by the Office of Management and Budget under control number 18300030) (Authority: Sec. 115; 20 U.S.C. 2325) Subpart E-What Kinds of Activities Does the Secretary Assist Under the Basic State Grant? § 401.50 What are the components of the basic State grant? The basic State grant, authorized by Title II of the Act, consists of two programs (a) The Vocational Education Opportunities Program; and (b) The Vocational Education Improvement, Innovation, and Expansion Program. (Authority: 20 U.S.C. 2331 et seq.) 8 401.51 What is the Vocational Education Opportunities Program? Each State shall use funds reserved in accordance with §§ 401.90(b) and 401.92 to provide vocational education services and activities designed to meet the special needs of, and enhance the participation of— (a) Handicapped individuals; (c) Adults who are in need of training or retraining; (d) Individuals who are single parents, homemakers, or single pregnant women; (e) Individuals who participate in programs designed to eliminate sex bias and stereotyping in vocational education; and (f) Criminal offenders who are serving in a correctional institution. (Authority: 20 U.S.C. 2331 (a), (b)) [50 FR 33235, Aug. 16, 1985, as amended at 53 FR 35259, Sept. 12, 1988] § 401.52 How may funds under the Vocational Education Opportunities Program be used to serve handicapped individuals? (a) A State shall use funds reserved for handicapped individuals in accordance with § 401.92(a) only for the Federal share of expenditures that are limited to supplemental or additional staff, equipment, materials, and services that are not provided to other individuals in vocational education and that are essential for handicapped individuals to participate in vocational education. (b) If the conditions of handicapped students require a separate program, each State may use these funds only for the Federal share of the costs of the services and activities in separate vocational education programs for handicapped individuals which exceed the average per-pupil expenditures for the comparable regular vocational education services and activities of the eligible recipient. (Authority: Sec. 201 (c)(1); 20 U.S.C. 2331(c)(1)) § 401.53 How may funds under the Vocational Education Opportunities Program be used to serve disadvantaged individuals? (a)(1) A state shall use funds reserved for disadvantaged individuals in accordance with § 401.92(b) only for the Federal share of expenditures that are limited to supplemental or additional staff, equipment, materials, and services that are not provided to other individuals in vocational education and that are essential for disadvantaged individuals to participate in vocational education. (2) If the conditions of disadvantaged students require a separate program, each State may use these funds only for the Federal share of the costs of the services and activities in separate vocational education programs for disadvantaged individuals which exceed the average per-pupil expenditures for the comparable regular vocational education services and activities of the eligible recipient. (b)(1) A State may use funds described in paragraph (a) of this section for (i) The improvement of vocational education services and activities designed to provide equal access to quality vocational education to disadvantaged individuals; and (ii) Services and activities which apply the latest technological advances to courses of instruction for disadvantaged individuals. (2) A State may also use funds described in paragraph (a) of this section to acquire modern machinery and tools, but only for schools at which at least seventy-five percent of the students enrolled are economically disadvantaged. (Authority: Sec. 201 (c)(2), (d); 20 U.S.C. 2331 (c)(2), (d)) § 401.54 How may funds under the Vocational Education Opportunities Program be used to serve adults who are in need of training or retraining? (a) A State shall use funds reserved for adults in need of training or retraining in accordance with § 401.92(c) to provide, improve, and expand adult and postsecondary vocational education services and activities to train and retrain adults. (b) A State may use funds described in paragraph (a) of this section for (1) Services and activities developed in coordination with the State agency administering Title III of the JTPA; (2) Additional training under Title III of the JTPA; (3) Vocational education programs for training or retraining adults, including programs for older individuals and displaced homemakers; (4) Services for adults in other vocational education programs, including the costs of instruction and the costs of keeping school facilities open longer; (5) Individuals who have completed or left high school and who are enrolled in organized programs of study for which credit is given toward an associate or other degree, but which are not designed as baccalaureate higher degree programs; and or (6) Individuals who have already entered the labor market, or have completed or left high school, and who are not described in paragraph (b)(5) of this section. (Authority: Sec. 201(e); 20 U.S.C. 2331(e)) [50 FR 33235, Aug. 16, 1985; 50 FR 38802, Sept. 25, 1985] § 401.55 How may funds under the Vocational Education Opportunities Program be used to serve individuals who are single parents, homemakers, or single pregnant women? A State shall use funds reserved for individuals who are single parents, homemakers, or single pregnant women in accordance with § 401.92(d) only to (a) Provide, subsidize, reimburse, or pay for vocational education and |