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(c) Other definitions. The following definitions also apply to regulations for adult education programs:

Act means the Adult Education Act (20 U.S.C. 1201 et seq.).

Adult basic education means instruction designed for an adult who

(1) Has minimal competence in reading, writing, and computation;

(2) Is not sufficiently competent to meet the educational requirements of adult life in the United States; or

(3) Is not sufficiently competent to speak, read, or write the English language to allow employment commensurate with the adult's real ability.

If grade level measures are used, adult basic education includes grades 0 through 8.9.

Adult secondary education means instruction designed for an adult who

(1) Is literate and can function in everyday life, but is not proficient; or

(2) Does not have a certificate of graduation (or its equivalent) from a school providing secondary education. If using grade level measures, adult secondary education includes grades 9 through 12.9.

Adults with Limited English proficiency, persons with limited English proficiency, individuals of limited English proficiency, and limited English proficient adults mean individuals who

(1) Were not born in the United States or whose native language is a language other than English;

(2) Come from environments where a language other than English is dominant; or

(3) Are American Indian or Alaska Natives and who come from environments where a language other than English has had a significant impact

on their level of English language proficiency; and

(4) Who, by reason thereof, have sufficient difficulty speaking, reading, writing, or understanding the English language to deny these individuals the opportunity to learn successfully in classrooms where the language of instruction is English or to participate fully in our society.

(Authority: 20 U.S.C. 3283(a)(1))

Expansion means that the State educational agency (SEA) has increased during the period covered by the State's four-year plan the number of agencies, institutions, and organizations-other than local educational agencies-used to provide adult education and support services in order to increase the number of adults served, particularly the number of typically underserved adults participating in the adult education program, such as educationally disadvantaged adults, individuals of limited English proficiency, and adults with handicaps.

Homeless or homeless adult:

(1) The terms mean an adult lacking a fixed, regular, and adequate nighttime residence as well as an individual having a primary nighttime residence that is

(i) A supervised publicly or privately operated shelter designed to provide temporary living accommodations (including welfare hotels, congregate shelters, and transitional housing for the mentally ill);

(ii) An institution that provides a temporary residence for individuals intended to be institutionalized; or

(iii) A public or private place not designed for, or ordinarily used as, a regular sleeping accommodation for human beings.

(2) The terms do not include any adult imprisoned or otherwise detained pursuant to an Act of the Congress or a State law.

(Authority: 42 U.S.C. 11301)

Immigrant means any refugee admitted or paroled into this country or any alien except one who is exempt under the provisions of the Immigration and Nationality Act, as amended. (Authority: 8 U.S.C. 1101(a)(15))

Institutionalized individual means an adult, as defined in the Act, who is an inmate, patient, or resident of a correctional, medical, or special institution.

Migrant farmworker means a person who has moved within the past 12 months from one school district to another-or, in a State that is comprised of a single school district, has moved from one school administrative area to another to enable him or her to obtain temporary or seasonal employment in any activity directly related to

(1) The production or processing of crops, dairy products, poultry, or livestock for initial commercial sale or as a principal means of personal subsistence;

(2) The cultivation or harvesting of trees; or

(3) Fish farms.

Outreach means activities designed


(1) Inform educationally disadvantaged adult populations of the availability and benefits of the adult education program;

(2) Actively recruit these adults to participate in the adult education program; and

(3) Assist these adults to participate in the adult education program by providing reasonable and convenient access and support services to remove barriers to their participation in the program.

Program year means the twelvemonth period during which a State operates its adult education program.

State means any of the 50 States, the District of Columbia, the Commonwealth of Puerto Rico, Guam, American Samoa, the Trust Territory of the Pacific Islands (Republic of Palau), the Northern Mariana Islands, and the Virgin Islands.

(Authority: 20 U.S.C. 1201a(7) and 48 U.S.C. 1681)

State administrative costs means costs for those management and supervisory activities necessary for direction and control by the State educational agency responsible for developing the State plan and overseeing the implementation of the adult education program under the Act. The term includes those costs incurred for State

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

426.40 What are the State and local administrative costs requirements?

426.41 What are the cost-sharing requirements?

426.42 What is the maintenance of effort requirement?

426.43 Under what circumstances may the Secretary waive the maintenance of effort requirement?

426.44 How does a State request a waiver of the maintenance of effort requirement?

426.45 How does the Secretary compute maintenance of effort in the event of a waiver?

426.46 What requirements for program reviews and evaluations must be met by a State?

Subpart F-What Are the Administrative
Responsibilities of a State?

426.50 What are a State's responsibilities regarding a State advisory council on adult education?

426.51 What are the membership requirements of a State advisory council on adult education?

426.52 What are the responsibilities of a State advisory council on adult education?

426.53 May a State establish an advisory body other than a State advisory council?

AUTHORITY: 20 U.S.C. 1201 et seq., unless otherwise noted.

SOURCE: 54 FR 34411, Aug. 18, 1989, unless otherwise noted.

Subpart A-General

§ 426.1 What is the Adult Education Stateadministered Basic Grant Program? The Adult Education State-administered Basic Grant Program (the program) is a cooperative effort between the Federal Government and the States to provide adult education. Federal funds are granted to the States on a formula basis. The States fund local programs of adult basic and secondary education based on need and resources available.

(Authority: 20 U.S.C. 1203)

§ 426.2 Who is eligible for an award? State Educational Agencies (SEAS) are eligible for awards under this part. (Authority: 20 U.S.C. 1203)

§ 426.3 What are the general responsibilities of the State educational agency?

(a) A State that desires to participate in the program shall designate the SEA as the sole State agency responsible for the administration and supervision of the program under this part.

(b) The SEA has the following general responsibilities:

(1) Development, submission, and implementation of the State application and plan, and any amendments to these documents.

(2) Evaluation of activities, as described in section 352 of the Act and § 426.46.

(3) Consultation with the State advisory council, if a State advisory council has been established under section 332 of the Act and § 426.50.

(4) Consultation with other appropriate agencies, groups, and individuals involved in the planning, administration, evaluation, and coordination of programs funded under the Act.

(5)(i) Assignment of personnel as may be necessary for State administration of programs under the Act.

(ii) The SEA must ensure that(A) These personnel are sufficiently qualified by education and experience; and

(B) There is a sufficient number of these personnel to carry out the responsibilities of the State.

(6) If the State imposes any rule or policy relating to the administration and operation of programs under the Act (including any rule or policy based on State interpretation of any Federal law, regulation, or guidance), the SEA shall identify the rule or policy as a State-imposed requirement.

(Authority: 20 U.S.C. 1205 (a) and (b))

§ 426.4 What regulations apply to the program?

The following regulations apply to the program:

(a) The regulations in this part 426. (b) The regulations in 34 CFR part 425.

(Authority: 20 U.S.C. 1201 et seq.)

§ 426.5 What definitions apply to the program?

The definitions in 34 CFR 425.4 apply to this part.

(Authority: 20 U.S.C. 1201 et seq.)

Subpart B-How Does a State Apply for a Grant?

§ 426.10 What documents must a State submit to receive a grant?

An SEA shall submit the following to the Secretary as one document:

(a) A State plan, developed once every four years, that meets the requirements of the Act and the regulations in this part.

(b) A State application consisting of program assurances, signed by an authorized official of the SEA, to provide that

(1) The SEA will provide such methods of administration as are necessary for the proper and efficient administration of the Act;

(2) Federal funds granted to the State under the Act will be used to supplement, and not supplant, the amount of State and local funds available for uses specified in the Act;

(3) Programs, services, and activities funded in accordance with the uses specified in section 322 of the Act are designed to expand or improve the quality of adult education programs, including programs for educationally disadvantaged adults, to initiate new programs of high quality, or, where necessary, to maintain programs;

(4) The SEA will provide such fiscal control and fund accounting procedures as may be necessary to ensure proper disbursement of, and accounting for, Federal funds paid to the State (including such funds paid by the State to eligible recipients under the Act);

(5) The SEA has instituted policies and procedures to ensure that copies of the State plan and all statements of general policy, rules, regulations, and procedures will be made available to the public;

(6) The SEA will comply with the maintenance of effort requirements in section 361(b) of the Act;

CROSS-REFERENCE: See § 426.42, What is the maintenance of effort requirement?

(7) Adults enrolled in adult basic education programs will not be charged tuition, fees, or any other charges, or be required to purchase any books or any other materials that are needed for participation in the program;

(8) The SEA may use not more than 20 percent of the funds granted to the State under the Act for programs of equivalency for a certificate of graduation from secondary school;

(9) As may be required by the Secretary, the SEA will report information concerning special experimental demonstration projects and teacher training projects supported under section 353 of the Act; and

(10) The SEA annually will report information about the State's adult education students, programs, expenditures, and goals, as may be required by the Secretary.

(Approved by the Office of Management and Budget under control numbers 18300026 and 1830-0027)

(Authority: 20 U.S.C. 1203a(b)(2), 1206a(c) (3) and (5), 1206b, 1207a, 1208, and 1209(b))

§ 426.11 How is the State plan developed? In formulating the State plan, the SEA shall

(a) Meet with and utilize the State advisory council, if a council is established under section 332 of the Act and § 426.50;

(b) After providing appropriate and sufficient notice to the public, conduct at least two public hearings in the State for the purpose of affording all segments of the public, including groups serving educationally disadvantaged adults, and interested organizations and groups an opportunity to present their views and make recommendations regarding the State plan;

(c) Make a thorough assessment of(1) The needs of adults, including educationally disadvantaged adults, eligible to be served as well as adults proposed to be served and those currently served by the program; and

(2) The capability of existing programs and institutions to meet those needs; and

(d) State the changes and improvements required in adult education to fulfill the purposes of the Act and the

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§ 426.12 What must the State plan contain?

(a) Consistent with the assessment described in § 426.11(c), a State plan shall, for the four-year period covered by the plan, described the following:

(1) The adult education needs of all segments of the adult population in the State identified in the assessment, including the needs of those adults who are educationally disadvantaged.

(2)(i)(A) The goals the SEA intends to achieve in meeting the needs described in paragraph (a)(1) of this section for the period covered by the plan.

(B) These goals must be designed to develop a statewide program in which the adult populations in the State, especially adults who are educationally disadvantaged, are served in a manner whereby they learn most effectively; and

(ii)(A) Proposed activities, methods, and strategies for reaching each goal, including the estimated percentages of funds under the State plan to be allocated to each goal; and

(B) The expected outcomes of programs, services, and activities.

(3) The curriculum, equipment, and instruments that are being used by instructional personnel in programs and how current these elements are.

(4) The means by which the delivery of adult education services will be significantly expanded (including efforts to reach typically underserved groups such as educationally disadvantaged adults, individuals of limited English proficiency, and adults with handicaps) through the use of agencies, institutions, and organizations other than the public school system, such as businesses, labor unions, libraries, institutions of higher education, public health authorities, employment or training programs, antipoverty programs, organizations providing assistance to the homeless, and community and voluntary organizations.

(5) The means by which representatives of the public and private sectors were involved in the development of

the State plan and how they will continue to be involved in the implementation of the plan, especially in the expansion of the delivery of adult educaton services by cooperation and collaboration with those public and private agencies, institutions, and organizations.

(6) The capability of existing programs and institutions to meet the needs described in paragraph (a)(1) of this section, including the other Federal and non-Federal resources available to meet those needs.

(7) The outreach activities that the State intends to carry out during the period covered by the plan, including specialized efforts-such as flexible course schedules, auxiliary aids and services, convenient locations, adequate transportation, and child care services-to attract and assist meaningful participation in adult education programs.

(8)(i) The manner in which the SEA will provide for the needs of adults of limited English proficiency or no English proficiency by providing programs designed to teach English and, as appropriate, to allow these adults to progress effectively through the adult education program or to prepare them to enter the regular program of adult education as quickly as possible.

(ii) These programs may, to the extent necessary, provide instruction in the native language of these adults or may provide instruction exclusively in English.

(iii) These programs must be carried out in coordination with programs assisted under the Bilingual Education Act and with bilingual vocational education programs under the Carl D. Perkins Vocational Education Act.

(9) How the particular educational needs of adult immigrants, the incarcerated, adults with handicaps, the chronically unemployed, homeless adults, the disadvantaged, and minorities in the State will be addressed.

(10)(i) The progress the SEA has made in achieving the goals set forth in each State plan subsequent to the initial State plan filed in 1989; and

(ii) How the assessment of accomplishments and the findings of program reviews and evaluations required by section 352 of the Act and § 426.46

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